[Federal Register Volume 77, Number 237 (Monday, December 10, 2012)]
[Rules and Regulations]
[Pages 73302-73305]
[FR Doc No: 2012-29712]

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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 240

[Release No. 34-68357; File No. S7-44-10]
RIN 3235-AK87

Extension of Dates for Certain Requirements and Amendment of Form
19b-4

AGENCY: Securities and Exchange Commission.

ACTION: Final rule; extension of dates for certain requirements.

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SUMMARY: The Commission is amending its regulations under the
Securities Exchange Act of 1934 (``Exchange Act'') to extend the dates
for certain requirements therein and amending the General Instructions
to Form 19b-4 to clarify the process for submitting advance notices and
security-based swap submissions to the Commission. The Commission is
extending the dates with respect to the requirements that designated
clearing agencies for which the Commission is the supervisory agency
file advance notices and clearing agencies file security-based swap
submissions with the Commission in an electronic format to dedicated
email addresses to December 10, 2013 in order to prevent the scenario
that such filings are required to be filed with the Commission through
a system that is not yet technologically able to accept them.

DATES: The effective date for this release is December 10, 2012.

FOR FURTHER INFORMATION CONTACT: Kenneth Riitho, Special Counsel, at
551-5592; and Wyatt A. Robinson, Attorney-Adviser, at 551-5649,
Division of Trading and Markets, Securities and Exchange Commission,
100 F Street NE., Washington, DC 20549-7010.

SUPPLEMENTARY INFORMATION:

I. Introduction

    On June 28, 2012, the Commission adopted amendments to Rule 19b-4
and Form 19b-4 to define and describe when notices of proposed changes
to rules, procedures, or operations are required to be filed by
designated financial market utilities in accordance with Section 806(e)
of Title VIII of the Dodd-Frank Act \1\ (``Advance Notices''), to set
forth the process for filing such Advance Notices with the Commission,
and to specify the process for a clearing agency's submission for
review of any security-based swap, or any group, category, type, or
class of security-based swaps that the clearing agency plans to accept
for clearing (``Security-Based Swap Submissions'').\2\ The effective
date for the amendments to Rule 19b-4 was August 13, 2012. The
effective date for all amendments to Form 19b-4 and 17 CFR 249.819 is
December 10, 2012.
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    \1\ Section 806(e) of Title VIII of the Dodd-Frank Act requires
any financial market utility designated by the Financial Stability
Oversight Council (``Council'') as systemically important to file
with its supervisory agency 60 days advance notice of changes to its
rules, procedures, or operations that could materially affect the
nature or level of risk presented by the financial market utility.
12 U.S.C. 5465(e)(1)(A).
    \2\ See Securities Exchange Act Release No. 67286 (June 28,
2012), 77 FR 41602 (July 13, 2012) (``Adopting Release'').
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    Rule 19b-4(n)(1)(i) requires a DCA \3\ for which the Commission is
the supervisory agency to provide an Advance Notice to the Commission
of any proposed change to its rules, procedures, or operations that
could materially affect the nature or level of risks presented by such
DCA.\4\ Except as provided in Rule 19b-4(n)(1)(ii), a DCA for which the
Commission is the supervisory agency is required to submit such Advance
Notice to the Commission electronically on Form 19b-4. Rule 19b-
4(n)(1)(ii) requires a DCA that files an Advance Notice with the
Commission prior to December 10, 2012 to file such Advance Notice in an
electronic format to a dedicated email address established by the
Commission.\5\
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    \3\ Six clearing agencies registered with the Commission are
DCAs: Chicago Mercantile Exchange Inc. (``CME''), The Depository
Trust Company (``DTC''), Fixed Income Clearing Corporation
(``FICC''), ICE Clear Credit (``ICC''), National Securities Clearing
Corporation (``NSCC''), and The Options Clearing Corporation
(``OCC''). However, the Commission is the supervisory agency for
only DTC, FICC, NSCC, and OCC.
    \4\ See 17 CFR 240.19b-4(n)(1)(i).
    \5\ See 17 CFR 240.19b-4(n)(1)(ii). Currently, DCAs file Advance
Notices with the Commission via the dedicated email address
<EMAIL_ADDRESS>---------------------------------------------------------------------------

    Rule 19b-4(o)(2)(i) requires that except as provided in Rule 19b-
4(o)(2)(ii), a clearing agency shall submit each Security-Based Swap
Submission to the Commission electronically on Form 19b-4.\6\ Rule 19b-
4(o)(2)(ii) requires a clearing agency that files a Security-Based Swap
Submission with the Commission prior to December 10, 2012 to file such
Security-Based Swap Submission in electronic format to a dedicated
email address established by the Commission.\7\
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    \6\ See 17 CFR 240.19b-4(o)(2)(i).
    \7\ See 17 CFR 240.19b-4(o)(2)(ii). The Commission has
established the dedicated email address<EMAIL_ADDRESS>for Security-Based Swap Submissions.
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    The amendments to Form 19b-4 contained in the Adopting Release
provide that, among other things, after December 10, 2012, Advance
Notices and Security-Based Swap Submissions, and amendments,
extensions, and withdrawals thereto, shall be filed in an electronic
format through the Electronic Form 19b-4 Filing System (``EFFS'').\8\
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    \8\ Adopting Release at 41653, 41654. Currently, EFFS is used by
self-regulatory organizations (``SRO''), which include registered
clearing agencies, to file proposed rule changes electronically with
the Commission pursuant to Exchange Act Section 19(b) and Rule 19b-
4.
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II. Discussion

A. Rules 19b-4(n)(1)(ii) and 19b-4(o)(2)(ii)

    The Commission stated in the Adopting Release that it was in the
process of designing and implementing EFFS system upgrades that are
necessary for Advance Notices and Security-Based Swap Submissions to be
filed through EFFS.\9\ The Commission anticipated in the Adopting
Release that the EFFS system upgrades would be completed no later than
December 10, 2012.\10\ Prior to December 10, 2012, DCAs for which the
Commission is the supervisory agency are required to file Advance
Notices and clearing agencies are required to file Security-Based Swap
Submissions through dedicated email addresses established by the
Commission.\11\
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    \9\ See Adopting Release at 41606, 41620.
    \10\ See id.
    \11\ See id. The Commission has maintained a dedicated email
address to receive Advance Notices and a dedicated email address to
receive Security-Based Swap Submissions since July 19, 2012. The
Commission has received five Advance Notices and zero Security-Based
Swap Submissions through November 28, 2012.
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    Though the Commission has made progress on designing and
implementing the EFFS system upgrades since the date of the Adopting
Release, the Commission has determined that additional time is required
to design, test, and implement the EFFS system upgrades. Therefore, the
Commission is amending Rule 19b-

4(n)(1)(ii) and Rule 19b-4(o)(2)(ii) to extend the dates with respect
to the requirements that a DCA for which the Commission is the
supervisory agency file an Advance Notice and a clearing agency file a
Security-Based Swap Submission with the Commission in an electronic
format to a dedicated email address established by the Commission to
December 10, 2013. Extending the date prevents the scenario that DCAs
for which the Commission is the supervisory agency are required to file
Advance Notices and clearing agencies are required to file Security-
Based Swap Submissions with the Commission through a system that is not
yet technologically able to accept such filings. The Commission
believes that an extension of the date to December 10, 2013, should
provide the time necessary to complete implementation of the EFFS
system upgrades.
    In considering whether to extend the date with respect to the
filing of Advance Notices and Security-Based Swap Submissions in an
electronic format to a dedicated email address established by the
Commission, the Commission's primary objective is to ensure that DCAs
for which the Commission is the supervisory agency desiring to submit
Advance Notices and clearing agencies desiring to submit Security-Based
Swap Submissions to the Commission have a dependable mechanism with
which to do so. As noted above, the Commission has maintained dedicated
email addresses to receive Advance Notices and Security-Based Swap
Submissions since July 19, 2012, and DCAs for which the Commission is
the supervisory agency have developed a familiarity with this temporary
mechanism to deliver Advance Notices to the Commission. Furthermore,
the dedicated email address for submitting Advance Notices has operated
according to design at all times during the period for which it has
been in effect and the Commission has not received any complaints
regarding the dedicated email address from DCAs for which the
Commission is the supervisory agency.

B. General Instructions for Form 19b-4

    In the Adopting Release, the Commission amended the General
Instructions for Form 19b-4 to require, among other things, DCAs for
which the Commission is the supervisory agency to submit Advance
Notices and clearing agencies to submit Security-Based Swap Submissions
to the Commission in an electronic format through EFFS.\12\ The
effective date of the amendments to Form 19b-4, including the
amendments to the General Instructions, is December 10, 2012.
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    \12\ See Adopting Release at 41624.
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    In this release, the Commission is amending the General
Instructions for Form 19b-4 to continue the requirement that DCAs for
which the Commission is the supervisory agency file Advance Notices and
amendments, extensions, or withdrawals thereto, and clearing agencies
file Security-Based Swap Submissions, and amendments, extensions, or
withdrawals thereto, to the Commission through dedicated email
addresses until December 10, 2013. Specifically, the Commission is
amending section A, ``Use of the Form,'' and section F, ``Signature and
Filing of the Completed Form,'' of the General Instructions for Form
19b-4 to require DCAs for which the Commission is the supervisory
agency to file Advance Notices and amendments, extensions, and
withdrawals thereto, with the Commission by using the dedicated email
address<EMAIL_ADDRESS>and to require clearing agencies
to file Security-Based Swap Submissions and amendments, extensions, and
withdrawals thereto, with the Commission by using the dedicated email
address<EMAIL_ADDRESS>Finally, to facilitate the filing
of Form 19b-4 to the dedicated email addresses, the Commission is also
amending section A of the General Instructions for Form 19b-4 to state
that blank electronic and PDF versions of Form 19b-4 are available on
EFFS and www.sec.gov.
    To the extent that EFFS is available for such Advance Notices and
Security-Based Swap Submissions before December 10, 2013, the
Commission will issue a notice to inform DCAs for which the Commission
is the supervisory agency that they may begin voluntarily to submit
Advance Notices and clearing agencies that they may begin voluntarily
to submit Security-Based Swap Submissions through EFFS.
    The Commission finds, for good cause, that notice and solicitation
of comment regarding the extension of the dates and the conforming
change to the General Instructions for Form 19b-4 set forth herein are
impractical, unnecessary, and contrary to the public interest.\13\
Notice and solicitation of comment is unnecessary because the extension
of the dates and amendment to the General Instructions for Form 19b-4
simply preserve the status quo \14\ until the EFFS system upgrade is
completed by continuing the mechanism by which DCAs for which the
Commission is the supervisory agency file Advance Notices with the
Commission and clearing agencies file Security-Based Swap Submissions
with the Commission. Notice and solicitation of comment is impractical
and contrary to the public interest because it would temporarily create
the scenario that DCAs for which the Commission is the supervisory
agency are required to file Advance Notices and clearing agencies are
required to file Security-Based Swap Submissions with the Commission
through a system that is not yet technologically able to accept such
filings.
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    \13\ See Section 553(b)(3)(B) of the Administrative Procedure
Act (5 U.S.C. 553(b)(3)(B)) (stating that an agency may dispense
with prior notice and comment when it finds, for good cause, that
notice and comment are ``impractical, unnecessary, or contrary to
the public interest''). This finding also satisfies the requirements
of 5 U.S.C. 808(2), allowing the rules to become effective
notwithstanding the requirement of 5 U.S.C. 801 (stating that if a
federal agency finds that notice and public comment are
``impractical, unnecessary or contrary to the public interest,'' a
rule ``shall take effect at such time as the federal agency
promulgating the rule determines''). Also, because the Regulatory
Flexibility Act (5 U.S.C. 601-612) only requires agencies to prepare
analyses when the Administrative Procedures Act requires general
notice of rulemaking, that Act does not apply to the actions that we
are taking in this release.
    \14\ A dedicated email address has been used successfully for
these purposes since the effective date of the Adopting Release. See
supra note 11 and accompanying text.
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III. Paperwork Reduction Act

    The rule amendments contain ``collection of information''
requirements as defined by the Paperwork Reduction Act of 1995, as
amended (``PRA''),\15\ but the Commission believes that these rule
amendments will not impose any new burdens or costs upon DCAs or
clearing agencies.
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    \15\ 44 U.S.C. 3501, et seq.
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    The rule amendments further modify recent amendments to Rule 19b-4
under the Exchange Act, by amending Rule 19b-4(n)(1)(ii) to extend the
date with respect to the requirement that a DCA shall file an Advance
Notice with the Commission in electronic format to a dedicated email
address established by the Commission to December 10, 2013, and
amending Rule 19b-4(o)(2)(ii) to extend the date with respect to the
requirement that a clearing agency file Security-Based Swap Submissions
with the Commission in an electronic format to a dedicated email
address established by the Commission to December 10, 2013.
    The Commission therefore does not believe that these amendments
would require any new or additional ``collection of information'' as
such term

is defined in the PRA and will not impose any new burdens or costs upon
DCAs or clearing agencies.

IV. Economic Analysis

    The Commission is sensitive to the economic effects of the
amendments to Rule 19b-4, including its costs and benefits. Section
23(a) \16\ of the Exchange Act requires the Commission, when making
rules and regulations under the Exchange Act, to consider the impact a
new rule would have on competition. Section 23(a)(2) of the Exchange
Act prohibits the Commission from adopting any rule that would impose a
burden on competition not necessary or appropriate in furtherance of
the purposes of the Exchange Act. Section 3(f) of the Exchange Act \17\
requires the Commission, when engaging in rulemaking that requires it
to consider whether an action is necessary or appropriate in the public
interest, to consider, in addition to the protection of investors,
whether the action would promote efficiency, competition, and capital
formation.
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    \16\ 15 U.S.C. 78w(a).
    \17\ 15 U.S.C. 78c(f).
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    The amendments to Rule 19b-4(n)(1)(ii) and Rule 19b-4(o)(2)(ii)
will affect DCAs for which the Commission is the Supervisory Agency and
clearing agencies registered with the Commission that clear security-
based swaps. Four clearing agencies are DCAs for which the Commission
is the supervisory agency (DTC, FICC, NSCC, and OCC) and three clearing
agencies registered with the Commission currently clear security-based
swaps (CME, ICC, and ICE Clear Europe).
    The extension of the dates and amendment to the General
Instructions for Form 19b-4 simply preserve the status quo that has
operated without complaint \18\ by continuing the method by which DCAs
for which the Commission is the supervisory agency file Advance Notices
and clearing agencies file Security-Based Swap Submissions with the
Commission.\19\ Though the Commission stated in the Adopting Release
that Advance Notices and Security-Based Swap Submissions, and
amendments, extensions, and withdrawals thereto, should be filed in an
electronic format through EFFS starting on December 10, 2012, because
the EFFS system upgrades that are necessary for Advance Notices and
Security-Based Swap Submissions to be filed on EFFS were not complete
when the Commission adopted Rule 19b-4(n) and Rule 19b-4(o), the
Commission mandated through Rules 19b-4(n)(1)(ii) and 19b-4(o)(2)(ii)
that a DCA for which the Commission is the supervisory agency that
files an Advance Notice or a clearing agency that files a Security-
Based Swap Submission with the Commission prior to December 10, 2012
shall file such Advance Notice or Security-Based Swap Submission in
electronic format to a dedicated email address established by the
Commission.\20\ Because the Commission has determined that additional
time is required to design, test, and implement the EFFS system
upgrades, an extension of the December 10, 2012 date for the use of
dedicated email addresses to file Advance Notices or Security-Based
Swap Submissions is necessary and appropriate to prevent the scenario
that DCAs for which the Commission is the supervisory agency are
required to file Advance Notices and clearing agencies are required to
file Security-Based Swap Submissions with the Commission through a
system that is not yet technologically able to accept such filings and
to ensure the Commission continues to obtain the information necessary
to meet its statutory obligations in connection with Advance Notices
and Security-Based Swap Submissions.
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    \18\ See supra note 11 and accompanying text.
    \19\ The Commission does not believe that there are any viable
and more cost-efficient alternatives to extending the date of the
use of the dedicated email addresses for the submission of Advance
Notices and Security-Based Swap Submissions given the fact that the
EFFS system upgrades that are necessary for Advance Notices and
Security-Based Swap Submissions to be filed on EFFS will not be
complete by December 10, 2012.
    \20\ See 17 CFR 240.19b-4(n)(1)(ii) and 17 CFR 240.19b-
4(o)(2)(ii).
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    Theoretically, the cost of foregoing the ability to file Advance
Notices and Security-Based Swap Submissions through the EFFS system
could be incurred by DCAs for which the Commission is the supervisory
agency and clearing agencies as a result of the amendments to the rules
extending the dates with respect to the filing of Advance Notices and
Security-Based Swap Submissions to dedicated email addresses
established by the Commission. However, this theoretical cost is not a
real cost of the rule because use of the EFFS system is not an option.
Instead, the amendments to the rules extending the dates for filing
Advance Notices and Security-Based Swap Submissions to dedicated email
addresses established by the Commission avoids the cost of eliminating
the ability of DCAs for which the Commission is the supervisory agency
to file Advance Notices and clearing agencies to file Security-Based
Swap Submissions to the Commission through the only method that is
currently technologically available. Furthermore, extending the dates
also enables the Commission to continue to obtain the information that
is necessary to meet its statutory obligations with respect to the
enhanced oversight of systemically important financial market utilities
and the mandatory clearing of security-based swaps.
    The Commission believes that the rule amendments will not lead to
any material increase in the costs associated with filing Advance
Notices and Security-Based Swap Submissions. The Commission stated in
the Adopting Release that it believed that the requirements to file
Advance Notices and Security-Based Swap Submissions by email, as well
as the temporary nature of such requirements, would impose relatively
little additional burden on DCAs for which the Commission is the
supervisory agency or clearing agencies, both of which can use their
existing email systems to make such filings.\21\ The Commission further
believes that any additional negligible costs are justified because
additional time is required to design, test, and implement the EFFS
system upgrades that will facilitate the filing of Advance Notices and
Security-Based Swap Submissions with the Commission in accordance with
Rule 19b-4(n) and Rule 19b-4(o). As stated above, the Commission's
primary objective is to ensure that clearing agencies desiring to
submit Advance Notices or Security-Based Swap Submissions to the
Commission have a dependable mechanism with which to do so.
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    \21\ See Adopting Release at 41642, 41645.
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    Because these rules merely extend the date for the process by which
DCAs for which the Commission is the supervisory agency file Advance
Notices and clearing agencies file Security-Based Swap Submissions, the
Commission believes that the rules being adopted today will have a
negligible, if any, impact on efficiency, competition, and capital
formation. To the extent that the rule amendments impose a new burden
upon market participants, such burden will result from the requirement
that DCAs for which the Commission is the supervisory agency filing
Advance Notices and clearing agencies filing Security-Based Swap
Submissions with the Commission submit Form 19b-4 to a dedicated email
address as opposed to submitting it through EFFS. Regardless of whether
Form 19b-4 is submitted through EFFS or a dedicated email address, DCAs
for which the Commission is the supervisory agency

and clearing agencies will still be required to adequately and
accurately complete such form. Furthermore, the Commission believes
that the interest of gaining additional time to effectively develop,
test, and implement the EFFS system upgrades necessary for filing
Advance Notices and Security-Based Swaps Submissions in a manner that
would be consistent with the requirements and goals of Rule 19b-
4(n)(1)(i) and Rule 19b-4(o)(2)(i) justifies the risk of possibly
imposing a negligible burden on DCAs for which the Commission is the
supervisory agency and clearing agencies.

V. Statutory Authority

    Pursuant to the Exchange Act, and particularly Sections 3C, 17A,
and 19(b) thereof, 15 U.S.C. 78c-3, 78q-1, and 78s(b), and Section
806(e) of the Clearing Supervision Act, 12 U.S.C. 5465(e), the
Commission is amending Rule 19b-4 and Form 19b-4 as set forth below.

List of Subjects in 17 CFR Part 240

    Brokers, Reporting and recordkeeping requirements, Securities.

Text of the Final Rule

    In accordance with the foregoing, Title 17, chapter II of the Code
of Federal Regulations is amended as follows:

PART 240--GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF
1934

0
1. The general authority citation for part 240 is revised to read as
follows:

    Authority:  15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3,
77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78c-3, 78d, 78e, 78f, 78g,
78i, 78j, 78j-1, 78k, 78k-1, 78l, 78m, 78n, 78o, 78o-4, 78p, 78q,
78s, 78u-5, 78w, 78x, 78ll, 78mm, 80a-20, 80a-23, 80a-29, 80a-37,
80b-3, 80b-4, 80b-11, and 7201 et seq.; 18 U.S.C. 1350, 12 U.S.C.
5221(e)(3), and Pub. L. 111-203, section 939A, 124 Stat. 1376,
(2010), unless otherwise noted.
* * * * *

0
2. Section 240.19b-4 is amended by:
0
a. In paragraph (n)(1)(ii), removing the phrase ``December 10, 2012''
and adding in its place ``December 10, 2013'';
0
b. In paragraph (o)(2)(ii), removing the phrase ``December 10, 2012''
and adding in its place ``December 10, 2013''.

PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934

0
3. The general authority citation for part 249 is revised to read as
follows:

    Authority:  15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C.
5461 et seq.; and 18 U.S.C. 1350, unless otherwise noted.
* * * * *

0
4. Form 19b-4 (referenced in Sec.  249.819) is amended by revising
General Instructions for Form 19b-4 Sections A and F to read as
follows: \22\
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    \22\ Because Section 19(b)(7)(C) of the Act states that filings
abrogated pursuant to this Section should be re-filed pursuant to
paragraph (b)(1) of Section 19 of the Act, SROs are required to file
electronically such proposed rule changes in accordance with this
form.

    Note:  The text of Form 19b-4 does not and the amendments will
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not appear in the Code of Federal Regulations.

General Instructions for Form 19b-4

A. Use of the Form

    This form shall be used for all self-regulatory organization
filings of proposed rule changes pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act'') (except filings with respect
to proposed rule changes by self-regulatory organizations submitted
pursuant to Section 19(b)(7) of the Act), security-based swap
submissions, and advance notices. National securities exchanges,
registered securities associations, registered clearing agencies, and
the Municipal Securities Rulemaking Board are self-regulatory
organizations for purposes of this form. All proposed rule changes
(except filings with respect to proposed rule changes by self-
regulatory organizations submitted pursuant to Section 19(b)(7) of the
Act) shall be filed in an electronic format through the Electronic Form
19b-4 Filing System (``EFFS''), a secure Web site operated by the
Commission. All security-based swap submissions and advance notices
shall be filed by submitting Form 19b-4 to a dedicated email address,
<EMAIL_ADDRESS>for security-based swap submissions and
<EMAIL_ADDRESS>for advance notices. An electronic version
of Form 19b-4 is available in EFFS. A PDF version of the Form is also
available on www.sec.gov.
* * * * *

F. Signature and Filing of the Completed Form

    All proposed rule changes, amendments, extensions, and withdrawals
of proposed rule changes shall be filed through the EFFS. All security-
based swap submissions, advance notices, and amendments, extensions,
and withdrawals of security-based swap submissions and advance notices
shall be filed to a dedicated email address established by the
Commission<EMAIL_ADDRESS>for security-based swap
submissions and<EMAIL_ADDRESS>for advance notices. In
order to file Form 19b-4 through EFFS, self-regulatory organizations
must request access to the SEC's External Application Server by
completing a request for an external account user ID and password.
Initial requests will be received by contacting the Trading and Markets
Administrator located on our Web site (http://www.sec.gov). An email
will be sent to the requestor that will provide a link to a secure Web
site where basic profile information will be requested.
    A duly authorized officer of the self-regulatory organization shall
electronically sign the completed Form 19b-4 as indicated on Page 1 of
the Form. In addition, a duly authorized officer of the self-regulatory
organization shall manually sign one copy of the completed Form 19b-4,
and the manually signed signature page shall be maintained pursuant to
Section 17 of the Act. A registered clearing agency for which the
Commission is not the appropriate regulatory agency also shall file
with its appropriate regulatory agency three copies of the form, one of
which shall be manually signed, including exhibits. A clearing agency
that also is a designated clearing agency shall file with the Board of
Governors of the Federal Reserve System (``Federal Reserve'') three
copies of any form containing an advance notice, one of which shall be
manually signed, including exhibits; provided, however, that this
requirement may be satisfied instead by providing the copies to the
Federal Reserve in an electronic format as permitted by the Federal
Reserve. The Municipal Securities Rulemaking Board also shall file
copies of the form, including exhibits, with the Federal Reserve, the
Comptroller of the Currency, and the Federal Deposit Insurance
Corporation.
* * * * *

    Dated: December 5, 2012.

    By the Commission.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-29712 Filed 12-7-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 85, Number 188 (Monday, September 28, 2020)]
[Notices]
[Pages 60814-60818]
[FR Doc No: 2020-21300]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Docket ID FEMA-2020-0002; Internal Agency Docket No. FEMA-B-2056]

Changes in Flood Hazard Determinations

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice lists communities where the addition or
modification of Base Flood Elevations (BFEs), base flood depths,
Special Flood Hazard Area (SFHA) boundaries or zone designations, or
the regulatory floodway (hereinafter referred to as flood hazard
determinations), as shown on the Flood Insurance Rate Maps (FIRMs), and
where applicable, in the supporting Flood Insurance Study (FIS)
reports, prepared by the Federal Emergency Management Agency (FEMA) for
each community, is appropriate because of new scientific or technical
data. The FIRM, and where applicable, portions of the FIS report, have
been revised to reflect these flood hazard determinations through
issuance of a Letter of Map Revision (LOMR), in accordance with Federal
Regulations. The LOMR will be used by insurance agents and others to
calculate appropriate flood insurance premium rates for new buildings
and the contents of those buildings. For rating purposes, the currently
effective community number is shown in the table below and must be used
for all new policies and renewals.

DATES: These flood hazard determinations will be finalized on the dates
listed in the table below and revise the FIRM panels and FIS report in
effect prior to this determination for the listed communities.
    From the date of the second publication of notification of these
changes in a newspaper of local circulation, any person has 90 days in
which to request through the community that the Deputy Associate
Administrator for Insurance and Mitigation reconsider the changes. The
flood hazard determination information may be changed during the 90-day
period.

ADDRESSES: The affected communities are listed in the table below.
Revised flood hazard information for each community is available for
inspection at both the online location and the respective community map
repository address listed in the table below. Additionally, the current
effective FIRM and FIS report for each community are accessible online
through the FEMA Map Service Center at https://msc.fema.gov for
comparison.
    Submit comments and/or appeals to the Chief Executive Officer of
the community as listed in the table below.

FOR FURTHER INFORMATION CONTACT: Rick Sacbibit, Chief, Engineering
Services Branch, Federal Insurance and Mitigation Administration, FEMA,
400 C Street SW, Washington, DC 20472,<PHONE_NUMBER>, or (email)
<EMAIL_ADDRESS>or visit the FEMA Mapping and Insurance
eXchange (FMIX) online at https://www.floodmaps.fema.gov/fhm/fmx_main.html.

SUPPLEMENTARY INFORMATION: The specific flood hazard determinations are
not described for each community in this notice. However, the online
location and local community map repository address where the flood
hazard determination information is available for inspection is
provided.
    Any request for reconsideration of flood hazard determinations must
be submitted to the Chief Executive Officer of the community as listed
in the table below.
    The modifications are made pursuant to section 201 of the Flood
Disaster Protection Act of 1973, 42 U.S.C. 4105, and are in accordance
with the National Flood Insurance Act of 1968, 42 U.S.C. 4001 et seq.,
and with 44 CFR part 65.
    The FIRM and FIS report are the basis of the floodplain management
measures that the community is required either to adopt or to show
evidence of having in effect in order to qualify or remain qualified
for participation in the National Flood Insurance Program (NFIP).
    These flood hazard determinations, together with the floodplain
management criteria required by 44 CFR 60.3, are the minimum that are
required. They should not be construed to mean that the community must
change any existing ordinances that are more stringent in their
floodplain management requirements. The community may at any time enact
stricter requirements of its own or pursuant to policies established by
other Federal, State, or regional entities. The flood hazard
determinations are in accordance with 44 CFR 65.4.
    The affected communities are listed in the following table. Flood
hazard determination information for each community is available for
inspection at both the online location and the respective community map
repository address listed in the table below. Additionally, the current
effective FIRM and FIS report for each community are accessible online
through the FEMA Map Service Center at https://msc.fema.gov for
comparison.

(Catalog of Federal Domestic Assistance No. 97.022, ``Flood
Insurance.'')

Michael M. Grimm,
Assistant Administrator for Risk Management, Department of Homeland
Security, Federal Emergency Management Agency.

------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
                                                            Chief executive officer of                                    Online location of letter of map                            Community
         State and county          Location and case No.             community               Community map repository                 revision                Date of modification       No.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Alaska: Valdez-Cordova Census      City of Valdez (19-10- The Honorable Jeremy O'Neil,    City Hall, 212 Chenega         https://msc.fema.gov/portal/        Nov. 13, 2020.........       020094
 Area.                              0070P).                Mayor, City of Valdez, P.O.     Avenue, Valdez, AK 99686.      advanceSearch.
                                                           Box 307, Valdez, AK 99686.
Arizona:

    Maricopa.....................  City of Buckeye (20-   The Honorable Jackie A. Meck,   Engineering Department, 530    https://msc.fema.gov/portal/        Nov. 20, 2020.........       040039
                                    09-0463P).             Mayor, City of Buckeye, 530     East Monroe Avenue, Buckeye,   advanceSearch.
                                                           East Monroe Avenue, Buckeye,    AZ 85326.
                                                           AZ 85326.
    Maricopa.....................  City of Chandler (20-  The Honorable Kevin Hartke,     Transportation & Development   https://msc.fema.gov/portal/        Dec. 11, 2020.........       040040
                                    09-0945P).             Mayor, City of Chandler, P.O.   Department, 215 East Buffalo   advanceSearch.
                                                           Box 4008, Chandler, AZ 85244.   Street, Chandler, AZ 85225.
    Maricopa.....................  City of Goodyear (20-  The Honorable Georgia Lord,     Engineering and Development    https://msc.fema.gov/portal/        Dec. 11, 2020.........       040046
                                    09-1530P).             Mayor, City of Goodyear, 190    Services, 14455 West Van       advanceSearch.
                                                           North Litchfield Road,          Buren Street, Suite D101,
                                                           Goodyear, AZ 85338.             Goodyear, AZ 85338.
    Maricopa.....................  City of Litchfield     The Honorable Thomas L.         City Hall, 214 West Wigwam     https://msc.fema.gov/portal/        Oct. 20, 2020.........       040128
                                    Park (20-09-0240P).    Schoaf, Mayor, City of          Boulevard, Litchfield Park,    advanceSearch.
                                                           Litchfield Park, 214 West       AZ 85340.
                                                           Wigwam Boulevard, Litchfield
                                                           Park, AZ 85340.
    Maricopa.....................  Unincorporated Areas   The Honorable Clint L.          Flood Control District of      https://msc.fema.gov/portal/        Dec. 11, 2020.........       040037
                                    of Maricopa County     Hickman, Chairman, Board of     Maricopa County, 2801 West     advanceSearch.
                                    (19-09-2188P).         Supervisors, Maricopa County,   Durango Street, Phoenix, AZ
                                                           301 West Jefferson Street,      85009.
                                                           10th Floor, Phoenix, AZ
                                                           85003.
    Pima.........................  Town of Marana (19-09- The Honorable Ed Honea, Mayor,  Engineering Department,        https://msc.fema.gov/portal/        Sep. 24, 2020.........       040118
                                    1247P).                Town of Marana, 11555 West      Marana Municipal Complex,      advanceSearch.
                                                           Civic Center Drive, Marana,     11555 West Civic Center
                                                           AZ 85653.                       Drive, Marana, AZ 85653.
    Pima.........................  Town of Marana (20-09- The Honorable Ed Honea, Mayor,  Engineering Department,        https://msc.fema.gov/portal/        Sep. 18, 2020.........       040118
                                    0618P).                Town of Marana, 11555 West      Marana Municipal Complex,      advanceSearch.
                                                           Civic Center Drive, Marana,     11555 West Civic Center
                                                           AZ 85653.                       Drive, Marana, AZ 85653.
    Pima.........................  Town of Oro Valley     The Honorable Joseph Winfield,  Planning and Zoning            https://msc.fema.gov/portal/        Nov. 19, 2020.........       040109
                                    (20-09-1126P).         Mayor, Town of Oro Valley,      Department, 11000 North La     advanceSearch.
                                                           11000 North La Canada Drive,    Canada Drive, Oro Valley, AZ
                                                           Town of Oro Valley, AZ 85737.   85737.
    Pima.........................  Unincorporated Areas   The Honorable Ram[oacute]n      Pima County Flood Control      https://msc.fema.gov/portal/        Nov. 3, 2020..........       040073
                                    of Pima County (20-    Valdez, Chairman, Board of      District, 201 North Stone      advanceSearch.
                                    09-0478P).             Supervisors, Pima County, 130   Avenue, 9th Floor, Tucson,
                                                           West Congress Street, 11th      AZ 85701.
                                                           Floor, Tucson, AZ 85701.
California:
    Fresno.......................  City of Clovis (20-09- The Honorable Drew Bessinger,   City Clerk's Office, Civic     https://msc.fema.gov/portal/        Dec. 14, 2020.........       060044
                                    0450P).                Mayor, City of Clovis, 1033     Center, 1033 5th Street,       advanceSearch.
                                                           5th Street, Clovis, CA 93612.   Clovis, CA 93612.
    Imperial.....................  Unincorporated Areas   The Honorable Luis A.           Imperial County, Public Works  https://msc.fema.gov/portal/        Nov. 18, 2020.........       060065
                                    of Imperial County     Plancarte, Chairman, Board of   Department, 155 South 11th     advanceSearch.
                                    (20-09-0728P).         Supervisors, Imperial County,   Street, El Centro, CA 92243.
                                                           940 West Main Street, Suite
                                                           209, El Centro, CA 92243.
    Los Angeles..................  City of Santa Clarita  The Honorable Cameron Smyth,    City Hall, Planning            https://msc.fema.gov/portal/        Sep. 23, 2020.........       060729
                                    (20-09-0137P).         Mayor, City of Santa Clarita,   Department, 23920 Valencia     advanceSearch.
                                                           23920 Valencia Boulevard,       Boulevard, Suite 300, Santa
                                                           Suite 300, Santa Clarita, CA    Clarita, CA 91355.
                                                           91355.
    Placer.......................  City of Roseville (20- The Honorable John B. Allard    Engineering Department, 316    https://msc.fema.gov/portal/        Nov. 23, 2020.........       060243
                                    09-0505P).             II, Mayor, City of Roseville,   Vernon Street, Roseville, CA   advanceSearch.
                                                           311 Vernon Street, Roseville,   95678.
                                                           CA 95678.
    Santa Barbara................  City of Santa Barbara  The Honorable Cathy Murillo,    Community Development          https://msc.fema.gov/portal/        Dec. 8, 2020..........       060335
                                    (19-09-2341P).         Mayor, City of Santa Barbara,   Department, Building and       advanceSearch.
                                                           735 Anacapa Street, Santa       Safety Division, 630 Garden
                                                           Barbara, CA 93101.              Street, Santa Barbara, CA
                                                                                93101.

    Santa Barbara................  Unincorporated Areas   The Honorable Gregg Hart,       Santa Barbara County Public    https://msc.fema.gov/portal/        Dec. 8, 2020..........       060331
                                    of Santa Barbara       Chairman, Board of              Works, Water Resources         advanceSearch.
                                    County (19-09-         Supervisors, Santa Barbara      Division, 130 East Victoria
                                    2341P).                County, 105 East Anapamu        Street, Suite 200, Santa
                                                           Street, 4th Floor, Santa        Barbara, CA 93101.
                                                           Barbara, CA 93101.
    Santa Clara..................  City of Sunnyvale (20- The Honorable Larry Klein,      Public Works Department, 456   https://msc.fema.gov/portal/        Nov. 18, 2020.........       060352
                                    09-0849P).             Mayor, City of Sunnyvale, 456   West Olive Avenue,             advanceSearch.
                                                           West Olive Avenue, Sunnyvale,   Sunnyvale, CA 94086.
                                                           CA 94086.
Florida: St. Johns...............  Unincorporated Areas   The Honorable Jeb S. Smith,     St. Johns Administration       https://msc.fema.gov/portal/        Nov. 20, 2020.........       125147
                                    of St. Johns County    Chair, St. Johns County Board   Building, 4020 Lewis           advanceSearch.
                                    (20-04-1346P).         of Commissioners, 500 San       Speedway, St. Augustine, FL
                                                           Sebastian View, St.             32084.
                                                           Augustine, FL 32084.
Idaho: Ada.......................  Unincorporated Areas   Ms. Kendra Kenyon, Chair, Ada   Ada County Courthouse, 200     https://msc.fema.gov/portal/        Nov. 23, 2020.........       160001
                                    of Ada County (20-10-  County Board of                 West Front Street, Boise, ID   advanceSearch.
                                    0791P).                Commissioners, Ada County       83702.
                                                           Courthouse, 200 West Front
                                                           Street, 3rd Floor, Boise, ID
                                                           83702.
Illinois:
    Champaign....................  City of Champaign (18- The Honorable Deborah Frank     City Hall, 102 North Neil      https://msc.fema.gov/portal/        Nov. 12, 2020.........       170026
                                    05-1977P).             Feinen, Mayor, City of          Street, Champaign, IL 61820.   advanceSearch.
                                                           Champaign, 102 North Neil
                                                           Street, Champaign, IL 61820.
    DuPage.......................  City of Naperville     The Honorable Steve Chirico,    Municipal Center, 400 South    https://msc.fema.gov/portal/        Dec. 17, 2020.........       170213
                                    (20-05-2895P).         Mayor, City of Naperville,      Eagle Street, Naperville, IL   advanceSearch.
                                                           Municipal Center, 400 South     60540.
                                                           Eagle Street, Naperville, IL
                                                           60540.
    Will.........................  City of Lockport (19-  The Honorable Steven Streit,    Public Works and Engineering,  https://msc.fema.gov/portal/        Dec. 21, 2020.........       170703
                                    05-1153P).             Mayor, City of Lockport, 222    17112 South Prime Boulevard,   advanceSearch.
                                                           East 9th Street, Lockport, IL   Lockport, IL 60441.
                                                           60441.
    Will.........................  Unincorporated Areas   Denise E. Winfrey, County       Land Use Department, 58 East   https://msc.fema.gov/portal/        Dec. 21, 2020.........       170695
                                    of Will County (19-    Executive, Will County, Will    Clinton Street, Suite 100,     advanceSearch.
                                    05-1153P).             County Office Building, 302     Joliet, IL 60432.
                                                           North Chicago Street, Joliet,
                                                           IL 60432.
Indiana:
    Allen........................  City of Fort Wayne     The Honorable Tom Henry,        Department of Planning         https://msc.fema.gov/portal/        Nov. 24, 2020.........       180003
                                    (20-05-2353P).         Mayor, City of Fort Wayne,      Services, 200 East Berry       advanceSearch.
                                                           200 East Berry Street, Suite    Street, Suite 150, Fort
                                                           420, Fort Wayne, IN 46802.      Wayne, IN 46802.
    Allen........................  Unincorporated Areas   Mr. Nelson Peters, District 1   Allen County, Department of    https://msc.fema.gov/portal/        Nov. 24, 2020.........       180302
                                    of Allen County (20-   Commissioner, Allen County      Planning Services, 200 East    advanceSearch.
                                    05-2353P).             Citizens Square, 200 East       Berry Street, Suite 150,
                                                           Berry Street, Suite 410, Fort   Fort Wayne, IN 46802.
                                                           Wayne, IN 46802.
Iowa: Dallas.....................  City of Waukee (20-07- The Honorable Courtney Clarke,  City Hall, 230 West Hickman    https://msc.fema.gov/portal/        Jan. 4, 2021..........       190678
                                    0452P).                Mayor, City of Waukee, 230      Road, Waukee, IA 50263.        advanceSearch.
                                                           West Hickman Road, Waukee, IA
                                                           50263.
Kansas: Johnson..................  City of Shawnee (20-   The Honorable Michelle          City Hall, 11110 Johnson       https://msc.fema.gov/portal/        Dec. 23, 2020.........       200177
                                    07-0477P).             Distler, Mayor, City of         Drive, Shawnee, KS 66203.      advanceSearch.
                                                           Shawnee, City Hall, 11110
                                                           Johnson Drive, Shawnee, KS
                                                           66203.
Michigan: Macomb.................  City of Sterling       The Honorable Michael Taylor,   City Hall, 40555 Utica Road,   https://msc.fema.gov/portal/        Nov. 9, 2020..........       260128
                                    Heights (20-05-        Mayor, City of Sterling         Sterling Heights, MI 48313.    advanceSearch.
                                    1130P).                Heights, City Hall, 40555
                                                           Utica Road, Sterling Heights,
                                                           MI 48311.
Minnesota: Nobles................  City of Worthington    The Honorable Mike Kuhle,       City Hall, 303 9th Street,     https://msc.fema.gov/portal/        Dec. 31, 2020.........       270321
                                    (20-05-0776P).         Mayor, City of Worthington,     Worthington, MN 56187.         advanceSearch.
                                                           303 9th Street, Worthington,
                                                           MN 56187.

Nebraska: Saline.................  City of Wilber (20-07- The Honorable Roger Chrans,     City Hall, 101 West 3rd,       https://msc.fema.gov/portal/        Dec. 10, 2020.........       310189
                                    1032P).                Mayor, City of Wilber, P.O.     Wilber, NE 68465.              advanceSearch.
                                                           Box 486, Wilber, NE 68465.
Nevada:
    Carson City..................  City of Carson City    The Honorable Robert L.         Building Division, Permit      https://msc.fema.gov/portal/        Dec. 17, 2020.........       320001
                                    (20-09-1420X).         Crowell, Mayor, City of         Center, 108 East Proctor       advanceSearch.
                                                           Carson City, City Hall, 201     Street, Carson City, NV
                                                           North Carson Street, Suite 2,   89701.
                                                           Carson City, NV 89701.
    Clark........................  City of North Las      The Honorable John J. Lee,      Public Works Department, 2250  https://msc.fema.gov/portal/        Dec. 15, 2020.........       320007
                                    Vegas (20-09-0781P).   Mayor, City of North Las        Las Vegas Boulevard North,     advanceSearch.
                                                           Vegas, 2250 Las Vegas           Suite 200, North Las Vegas,
                                                           Boulevard North, North Las      NV 89030.
                                                           Vegas, NV 89030.
    Lyon.........................  Unincorporated Areas   The Honorable Vida Keller,      Lyon County Planning           https://msc.fema.gov/portal/        Nov. 19, 2020.........       320029
                                    of Lyon County (20-    Chair, Board of                 Division, 27 South Main        advanceSearch.
                                    09-1267P).             Commissioners, Lyon County,     Street, Yerington, NV 89447.
                                                           P.O. Box 201, Silver Springs,
                                                           NV 89429.
New York: Dutchess...............  Town of LaGrange (19-  The Honorable Alan Bell,        Town Hall, 120 Stringham       https://msc.fema.gov/portal/        Dec. 30, 2020.........       361011
                                    02-0952P).             Supervisor, Town of LaGrange,   Road, LaGrangeville, NY        advanceSearch.
                                                           120 Stringham Road,             12540.
                                                           LaGrangeville, NY 12540.
Ohio:
    Fairfield....................  Unincorporated Areas   The Honorable Dave L. Levacy,   Fairfield County Regional      https://msc.fema.gov/portal/        Nov. 25, 2020.........       390158
                                    of Fairfield County    Fairfield County                Planning Commission, 210       advanceSearch.
                                    (20-05-2573P).         Commissioner, 210 East Main     East Main Street, Room 104,
                                                           Street, Room 301, Lancaster,    Lancaster, OH 43130.
                                                           OH 43130.
    Fairfield....................  Unincorporated Areas   The Honorable Dave L. Levacy,   Fairfield County Regional      https://msc.fema.gov/portal/        Nov. 25, 2020.........       390158
                                    of Fairfield County    Fairfield County                Planning Commission, 210       advanceSearch.
                                    (20-05-2574P).         Commissioner, 210 East Main     East Main Street, Room 104,
                                                           Street, Room 301, Lancaster,    Lancaster, OH 43130.
                                                           OH 43130.
Oregon: Clackamas................  City of Happy Valley   The Honorable Tom Ellis,        City Hall, 12915 Southeast     https://msc.fema.gov/portal/        Nov. 12, 2020.........       410026
                                    (20-10-0119P).         Mayor, City of Happy Valley,    King Road, Happy Valley, OR    advanceSearch.
                                                           16000 Southeast Misty Drive,    97086.
                                                           Happy Valley, OR 97086.
Texas:
    Collin.......................  Town of Prosper (20-   The Honorable Ray Smith,        Town Hall, 250 West 1st        https://msc.fema.gov/portal/        Dec. 23, 2020.........       480141
                                    06-0402P).             Mayor, Town of Prosper, P.O.    Street, Prosper, TX 75078.     advanceSearch.
                                                           Box 307, Prosper, TX 75078.
    Collin and Dallas............  City of Dallas (20-06- The Honorable Eric Johnson,     Trinity Watersheed Management  https://msc.fema.gov/portal/        Dec. 11, 2020.........       480171
                                    1079P).                Mayor, City of Dallas, City     Department/Floodplain and      advanceSearch.
                                                           Hall, 1500 Marilla Street,      Drainage Management, 320
                                                           Suite 5EN, Dallas, Texas        East Jefferson Boulevard,
                                                           75201.                          Room 307, Dallas, TX 75203.
    Dallas.......................  City of Irving (20-06- The Honorable Rick Stopfer,     Capital Improvement            https://msc.fema.gov/portal/        Dec. 11, 2020.........       480180
                                    1079P).                Mayor, City of Irving, City     Department, 825 West Irving    advanceSearch.
                                                           Hall, 825 West Irving           Boulevard, Irving, TX 75060.
                                                           Boulevard, Irving, TX 75060.
    Dallas.......................  Unincorporated Areas   The Honorable Clay L. Jenkins,  Dallas County Public Works     https://msc.fema.gov/portal/        Dec. 11, 2020.........       480165
                                    of Dallas County (20-  County Judge, Dallas County,    Department, 411 Elm Street,    advanceSearch.
                                    06-1079P).             Administration Building, 411    4th Floor, Dallas, TX 75202.
                                                           Elm Street, Dallas, TX 75202.
Wisconsin:
    Brown........................  Unincorporated Areas   Mr. Patrick Buckley, Chair,     Brown County Zoning Office,    https://msc.fema.gov/portal/        Nov. 24, 2020.........       550020
                                    of Brown County (19-   Brown County Board of           305 East Walnut Street,        advanceSearch.
                                    05-5377P).             Supervisors, P.O. Box 23600,    Green Bay, WI 54301.
                                                           Green Bay, WI 54305.
    Brown........................  Village of Howard (20- Mr. Burt McIntyre, Village      Village Hall, 2456 Glendale    https://msc.fema.gov/portal/        Nov. 27, 2020.........       550023
                                    05-2635P).             President, Village of Howard,   Avenue, Green Bay, WI 54313.   advanceSearch.
                                                           2456 Glendale Avenue, Green
                                                           Bay, WI 54313.

    Buffalo......................  Unincorporated Areas   Mr. Dennis Bork, Chair,         Buffalo County Courthouse,     https://msc.fema.gov/portal/        Dec. 4, 2020..........       555547
                                    of Buffalo County      Buffalo County Board, P.O.      407 South 2nd Street, Alma,    advanceSearch.
                                    (20-05-1547P).         Box 58, Alma, WI 54610.         WI 54610.
    Chippewa.....................  City of Chippewa       The Honorable Gregory Hoffman,  City Hall, Inspection Zoning   https://msc.fema.gov/portal/        Oct. 26, 2020.........       550044
                                    Falls (20-05-0796P).   Mayor, City of Chippewa         Office, 30 West Central        advanceSearch.
                                                           Falls, 30 West Central          Street, Chippewa Falls, WI
                                                           Street, Chippewa Falls, WI      54729.
                                                           54729.
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[FR Doc. 2020-21300 Filed 9-25-20; 8:45 am]
BILLING CODE 9110-12-P


[Federal Register: March 1, 2007 (Volume 72, Number 40)]
[Notices]
[Page 9370-9371]
[DOCID:fr01mr07-118]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-55337; File No. SR-NYSE-2006-04]

Self-Regulatory Organizations; New York Stock Exchange LLC; Order
Approving Proposed Rule Change as Modified by Amendment Nos. 1 and 2
Thereto Relating to NYSE Rule 116 (``Stop'' Constitutes Guarantee) and
NYSE Rule 123B (Exchange Automated Order Routing Systems)

February 23, 2007.

I. Introduction

    On February 9, 2006, the New York Stock Exchange LLC (f/k/a New
York Stock Exchange, Inc.) (``NYSE'' or ``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 proposal to amend NYSE
Rule 116 (``Stop'' Constitutes Guarantee) and NYSE Rule 123B (Exchange
Automated Order Routing Systems) regarding a specialist's ability to
``stop'' stock and report such a transaction. On April 5, 2006, NYSE
filed Amendment No. 1 to the proposed rule change. On September 8,
2006, NYSE filed Amendment No. 2 to the proposed rule change. The
proposed rule change was published for comment in the Federal Register
on October 18, 2006.\3\ The Commission received one comment regarding
the proposal.\4\ This order approves the proposed rule change, as
modified by Amendment Nos. 1 and 2.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 54592 (October 12,
2006), 71 FR 61524.
    \4\ See letter from George Rutherfurd, Consultant, dated April
24, 2006 to Commission's rule-comments e-mail.
---------------------------------------------------------------------------

II. Description of the Proposal

    NYSE Rule 116 provides that an agreement by a member to ``stop''
stock at a specified price constitutes a guarantee of a purchase or
sale by the member of the security at that price. Paragraph .30 in the
Rule's Supplementary Material provides three circumstances in which a
specialist may stop stock, including: (i) At the opening or reopening
of trading in a stock; (ii) when a broker in the trading crowd is
representing another order at the stop price; or (iii) when requested
to by another member.\5\ The practice of stopping stock by specialists
on the Exchange refers to a guarantee by a specialist that an order he
or she receives will be executed at no worse a price than the contra
side price in the market at the time the order was stopped, with the
understanding that the order may in fact receive a better price.
---------------------------------------------------------------------------

    \5\ A specialist may only stop stock when requested to by
another member if certain other conditions are met. See Exchange
Rule 116.30(3).
---------------------------------------------------------------------------

    The Exchange proposes to remove the provisions in NYSE Rule 116.30
that permit a specialist to ``stop'' stock. According to the Exchange,
the practice of specialists stopping stock makes less sense in the
Hybrid Market, primarily due to the dynamics of increased speed of
trading and automated functioning of the market. The Exchange further
stated that the procedures in NYSE Rule 116.30(3) for granting stops
are not an efficient mechanism for seeking price improvement an
automated market due to the time required to perform the current manual
procedures.

III. Comment Summary

    The Commission received one comment letter on the proposal,\6\ to
which NYSE has filed a response letter.\7\ In the comment letter, the
commenter argued the proposal is not in the public interest because the
Hybrid Market, and specifically NYSE's Auction Market and Auction Limit
Orders, do not provide investors with the price improvement
opportunities that the NYSE's auction market did. The commenter stated
that he believed that specialists in the Hybrid Market have been
relieved of

their responsibility to obtain price improvement for orders.
---------------------------------------------------------------------------

    \6\ See note 4 supra.
    \7\ See letter from Mary Yeager, Assistant Secretary, NYSE, to
Nancy M. Morris, Secretary, Commission, dated January 19, 2007.
---------------------------------------------------------------------------

    In its response letter, NYSE noted that specialists are not
currently obligated to stop stock and further noted that, in fact,
specialists infrequently choose to stop stock. NYSE reiterated its
belief that there are many opportunities for price improvement in the
Hybrid Market and stated that specialists were not ``being relieved of
their responsibility to obtain price improvement.'' The Exchange argued
that it was eliminating a practice that its data showed was rarely
used. The Exchange also argued that retaining the manual process for
the specialist to stop stock would increase specialist risk if used.
    The commenter also asserted that NYSE could easily reprogram its
systems to replicate electronically the manual practice of stopping
stock. In response, NYSE disagreed, indicating that there are
difficulties inherent in maintaining the stopping stock functionality
amid systems designed to enable increased automatic executions.
Further, NYSE argued that the decision to remove systemic support for
stopped orders was based in part on data that showed that specialists
do not stop stock frequently.

IV. Discussion

    The Commission finds that the proposed rule change is consistent
with the requirements of the Act and the rules and regulations
thereunder applicable to a national securities exchange \8\ and, in
particular, the requirements of Section 6 of the Act.\9\ Specifically,
the Commission finds that the proposed rule change is consistent with
Section 6(b)(5) of the Act,\10\ which requires, among other things,
that the rules of a national securities 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.
---------------------------------------------------------------------------

    \8\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. 15 U.S.C. 78c(f).
    \9\ 15 U.S.C. 78f.
    \10\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    According to the Exchange, the practice of stopping stock by
specialists is rarely used. Therefore, the Exchange decided that it
would not develop an electronic, systemic process to support this
little used, voluntary function. The Exchange also argued that
retaining a manual process to stop stock in the Hybrid Market would be
inefficient. Accordingly, the Commission finds that eliminating
specialists' ability to stop stock is reasonable and consistent with
the Act.

IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\11\ that the proposed rule change (SR-NYSE-2006-04), as modified
by Amendment Nos. 1 and 2, be, and it hereby is approved.
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\12\
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    \12\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7-3556 Filed 2-28-07; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 88, Number 175 (Tuesday, September 12, 2023)]
[Notices]
[Pages 62559-62560]
[FR Doc No: 2023-19583]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

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

    Docket Numbers: EC23-127-000.
    Applicants: Walton County Power, LLC.
    Description: Application for Authorization Under Section 203 of the
Federal Power Act of Walton County Power, LLC.
    Filed Date: 9/1/23.
    Accession Number: 20230901-5218.
    Comment Date: 5 p.m. ET 9/22/23.

    Docket Numbers: EC23-128-000.
    Applicants: SR DeSoto II, LLC, SR DeSoto III, LLC.
    Description: Joint Application for Authorization Under Section 203
of the Federal Power Act of SR DeSoto II, LLC, et al.
    Filed Date: 9/1/23.
    Accession Number: 20230901-5221.
    Comment Date: 5 p.m. ET 9/22/23.

    Docket Numbers: EC23-129-000.
    Applicants: SR Millington, LLC.
    Description: Application for Authorization Under Section 203 of the
Federal Power Act of SR Millington, LLC.
    Filed Date: 9/1/23.
    Accession Number: 20230901-5224.
    Comment Date: 5 p.m. ET 9/22/23.

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

    Docket Numbers: ER10-1342-007; ER23-283-001.
    Applicants: CP Energy Marketing (US) Inc., CP Energy Marketing (US)
Inc.
    Description: Triennial Market Power Analysis for Southwest Region
of CP Energy Marketing (US) Inc.
    Filed Date: 8/31/23.
    Accession Number: 20230831-5285.
    Comment Date: 5 p.m. ET 10/30/23.

    Docket Numbers: ER23-1851-002.
    Applicants: PJM Interconnection, L.L.C.
    Description: Tariff Amendment: Amended Filing of ISA and CSA,SA
Nos. 6917 and 6918; Queue No. AD1-031 to be effective 7/8/2023.
    Filed Date: 9/5/23.
    Accession Number: 20230905-5121.
    Comment Date: 5 p.m. ET 9/26/23.

    Docket Numbers: ER23-2766-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Original ISA, Service
Agreement No. 7057; Queue No. AE2-345 to be effective 8/4/2023.
    Filed Date: 9/5/23.
    Accession Number: 20230905-5002.
    Comment Date: 5 p.m. ET 9/26/23.

    Docket Numbers: ER23-2767-000.
    Applicants: Arizona Public Service Company.
    Description: Sec.  205(d) Rate Filing: Rate Schedule No. 217,
Exhibit B.BKE-LIB to be effective 11/5/2023.
    Filed Date: 9/5/23.
    Accession Number: 20230905-5087.
    Comment Date: 5 p.m. ET 9/26/23.

    The filings are accessible in the Commission's eLibrary system
(https://elibrary.ferc.gov/idmws/search/fercgensearch.asp) by querying
the docket number.
    Any person desiring to intervene, to protest, or to answer a
complaint in any of the above proceedings must file in accordance with
Rules 211, 214, or 206 of the Commission's Regulations (18 CFR 385.211,
385.214, or 385.206) on or before 5:00 p.m. Eastern time on the
specified comment date. Protests may be considered, but intervention is
necessary to become a party to the proceeding.
    eFiling is encouraged. More detailed information relating to filing

requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.
    The Commission's Office of Public Participation (OPP) supports
meaningful public engagement and participation in Commission
proceedings. OPP can help members of the public, including landowners,
environmental justice communities, Tribal members and others, access
publicly available information and navigate Commission processes. For
public inquiries and assistance with making filings such as
interventions, comments, or requests for rehearing, the public is
encouraged to contact OPP at<PHONE_NUMBER> or [email protected].

    Dated: September 5, 2023.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2023-19583 Filed 9-11-23; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 87, Number 184 (Friday, September 23, 2022)]
[Notices]
[Pages 58177-58178]
[FR Doc No: 2022-20606]

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

Federal Aviation Administration

[DOT-OST-2022]

Research, Engineering, and Development Advisory Committee
(REDAC); Notice of Public Meeting

AGENCY: Federal Aviation Administration, Department of Transportation.

ACTION: Notice of public meeting.

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SUMMARY: This notice announces a meeting of the Research, Engineering,
and Development Advisory Committee (REDAC).

DATES: The meeting will be held on October 5, 2022, from 9:30 a.m.-5:00
p.m., EST. Requests for accommodations to a disability must be received
by September 27, 2022. Individuals requesting to speak during the
meeting must submit a written copy of their remarks to DOT by September
27, 2022. Requests to submit written materials to be reviewed during
the meeting must be received no later than September 27, 2022.

ADDRESSES: The meeting will be held virtually or in a hybrid setting.
Virtual attendance information will be provided upon registration. A
detailed agenda will be available on the REDAC internet website at
http://www.faa.gov/go/redac at least one week before the meeting, along
with copies of the meeting minutes after the meeting.

FOR FURTHER INFORMATION CONTACT: Chinita Roundtree-Coleman, REDAC PM/
Lead, FAA/U.S. Department of Transportation, at [email protected] or<PHONE_NUMBER>. Any committee-related request should
be sent to the person listed in this section.

SUPPLEMENTARY INFORMATION:

I. Background

    The Research, Engineering, and Development Advisory Committee was
created under the Federal Advisory Committee Act (FACA), in accordance
with Public Law 100-591 (1988) and Public Law 101-508 (1990) to provide
advice and recommendations to the FAA Administrator in support of the
Agency's Research and Development (R&D) portfolio.

II. Agenda

    At the meeting, the agenda will cover the following topics:
     FAA Research and Development Strategies, Initiatives and
Planning,
     Impacts of emerging technologies, new entrant vehicles,
and dynamic operations within the National Airspace System.

III. Public Participation

    The U.S. Department of Transportation is committed to providing
equal access to this meeting for all participants. If you need
alternative formats or services because of a disability, such as sign
language, interpretation, or other ancillary aids, please contact the
person listed in the FOR FURTHER INFORMATION CONTACT section.
    There will be 45 minutes allotted for oral comments from members of
the public joining the meeting. To accommodate as many speakers as
possible, the time for each commenter may be limited. Individuals
wishing to

reserve speaking time during the meeting must submit a request at the
time of registration, as well as the name, address, and organizational
affiliation of the proposed speaker. If the number of registrants
requesting to make statements is greater than can be reasonably
accommodated during the meeting, the FAA may conduct a lottery to
determine the speakers. Speakers are requested to submit a written copy
of their prepared remarks for inclusion in the meeting records and
circulation to REDAC members before the deadline listed in the DATES
section. All prepared remarks submitted on time will be accepted and
considered as part of the meeting's record. Any member of the public
may present a written statement to the committee at any time.

    Issued in Washington, DC.
Chinita Roundtree-Coleman,
REDAC PM/Lead, Federal Aviation Administration.
[FR Doc. 2022-20606 Filed 9-22-22; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 87, Number 47 (Thursday, March 10, 2022)]
[Notices]
[Pages 13780-13781]
[FR Doc No: 2022-05024]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-94362; File No. SR-NYSE-2021-42]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Designation of a Longer Period for Commission Action on
Proceedings To Determine Whether To Approve or Disapprove a Proposed
Rule Change To Amend the Requirements of Section 102.06 of the NYSE
Listed Company Manual To Allow an Acquisition Company To Contribute a
Portion of Its Trust Account to a New Acquisition Company and Spin-Off
the New Acquisition Company to Its Shareholders

March 4, 2022.
    On August 23, 2021, the New York Stock Exchange LLC (``NYSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'' or ``Exchange Act'') \1\ and Rule 19b-4
thereunder,\2\ a proposed rule change to amend the requirements of
Section 102.06 of the NYSE Listed Company Manual (``Manual'') to allow
an acquisition company to contribute a portion of the amount held in
its trust account to a trust account of a new

acquisition company and spin off the new acquisition company to its
shareholders in certain situations. The proposed rule change was
published for comment in the Federal Register on September 8, 2021.\3\
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 92839 (September 1,
2021), 86 FR 50408. Comments received on the proposal are available
on the Commission's website at: https://www.sec.gov/comments/sr-nyse-2021-42/srnyse202142.htm.
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    On September 30, 2021, pursuant to Section 19(b)(2) of the Act,\4\
the Commission designated a longer period within which to approve the
proposed rule change, disapprove the proposed rule change, or institute
proceedings to determine whether to disapprove the proposed rule
change.\5\ On December 3, 2021, the Commission instituted proceedings
under Section 19(b)(2)(B) of the Exchange Act \6\ to determine whether
to approve or disapprove the proposed rule change.\7\
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    \4\ 15 U.S.C. 78s(b)(2).
    \5\ See Securities Exchange Act Release No. 93222, 86 FR 55671
(October 6, 2021). The Commission designated December 7, 2021 as the
date by which the Commission shall approve or disapprove, or
institute proceedings to determine whether to approve or disapprove,
the proposed rule change.
    \6\ 15 U.S.C. 78s(b)(2)(B).
    \7\ See Securities Exchange Act Release No. 93714, 86 FR 70150
(Dec. 9, 2021).
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    Section 19(b)(2) of the Act \8\ provides that, after initiating
proceedings, the Commission shall issue an order approving or
disapproving the proposed rule change not later than 180 days after the
date of publication of notice of filing of the proposed rule change.
The Commission may extend the period for issuing an order approving or
disapproving the proposed rule change, however, by not more than 60
days if the Commission determines that a longer period is appropriate
and publishes the reasons for such determination. The proposed rule
change was published for comment in the Federal Register on September
8, 2021.\9\ The 180th day after publication of the proposed rule change
is March 7, 2022. The Commission is extending the time period for
approving or disapproving the proposed rule change for an additional 60
days.
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    \8\ 15 U.S.C. 78s(b)(2).
    \9\ See supra note 3.
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    The Commission finds that it is appropriate to designate a longer
period within which to issue an order approving or disapproving the
proposed rule change so that it has sufficient time to consider the
proposed rule change and the comments that have been submitted in
connection therewith. Accordingly, the Commission, pursuant to Section
19(b)(2) of the Act,\10\ designates May 6, 2022, as the date by which
the Commission shall either approve or disapprove the proposed rule
change (File No. SR-NYSE-2021-42).
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    \10\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\11\
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    \11\ 17 CFR 200.30-3(a)(57).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022-05024 Filed 3-9-22; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 140 (Monday, July 22, 2013)]
[Notices]
[Pages 43879-43880]
[FR Doc No: 2013-17517]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPP-2012-0737; FRL-9534-7]

Information Collection Request Submitted to OMB for Review and
Approval; Comment Request; Standards for Pesticide Containers and
Containment

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: The Environmental Protection Agency has submitted an
information collection request (ICR), ``Standards for Pesticide
Containers and Containment'' (EPA ICR No. 1632.04; OMB Control No.
2070-0133) to the Office of Management and Budget (OMB) for review and
approval in accordance with the Paperwork Reduction Act (44 U.S.C. 3501
et seq.). This is a proposed extension of the ICR, which is currently
approved through July 31, 2013. The ICR, which is abstracted below,
describes the nature of the information collection activity and its
expected burden and costs. Copies of the ICR and related documents are
available in the docket.

DATES: Additional comments may be submitted on or before August 21,
2013.

ADDRESSES: Submit your comments, referencing Docket ID Number EPA-HQ-
OPP-2012-0737, to (1) EPA online using http://www.regulations.gov (our
preferred method), by email to<EMAIL_ADDRESS>or by mail to: EPA
Docket Center, Environmental Protection Agency, Mail Code 28221T, 1200
Pennsylvania Ave. NW., Washington, DC 20460, and (2) OMB via email to
<EMAIL_ADDRESS>Address comments to OMB Desk Officer for
EPA.
    EPA's policy is that all comments received will be included in the
public docket without change including any personal information
provided, unless the comment includes profanity, threats, information
claimed to be Confidential Business Information (CBI) or other
information whose disclosure is restricted by statute.

FOR FURTHER INFORMATION CONTACT: Rame Cromwell, Field and External
Affairs Division (7506P), Office of Chemical Safety and Pollution
Prevention, Environmental Protection Agency, 1200 Pennsylvania Ave.
NW., Washington, DC 20460; telephone number:<PHONE_NUMBER>; fax number:
703 508-3884; email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Supporting documents which explain in detail
the information that the EPA will be collecting are available in the
public docket for this ICR. The docket can be viewed online at http://www.regulations.gov or in person at the EPA Docket Center, EPA West,
Room 3334, 1301 Constitution Ave. NW., Washington, DC. The telephone
number for the Docket Center is<PHONE_NUMBER>. For additional
information about EPA's public docket, visit http://www.epa.gov/dockets.
    Abstract: This information collection request covers the
information collection activities associated with the container design
and residue removal requirements and containment structure
requirements. With respect to the container design and residue removal
requirements, the information collection activities are associated with
the requirement that businesses subject to the container regulations
(pesticide registrants) and repackaging regulations (pesticide
registrants and refillers) maintain records of test data, cleaning
procedures, certain data when a container is refilled, and other
supporting information. These records are subject to both call-in by
EPA and on-site inspection by EPA and its representatives.
    EPA has not established a regular schedule for the collection of
these records, and there is no reporting. With respect to the
containment structure requirements, the information collection
activities are associated with the requirement that businesses subject
to the containment structure regulations maintain records of the: (1)
Monthly inspection and maintenance of each containment structure and
all stationary bulk containers; (2) duration over which non-stationary
bulk containers holding pesticide and not protected by a secondary
containment unit remain at the same location; and (3) construction date
of the containment structure.
    The businesses subject to the containment structure regulations
include agrichemical retailers and refilling establishments, custom
blenders and commercial applicators of agricultural pesticides. The
records have to be maintained by the owners and operators of such
businesses. There is no regular schedule for the collection of either
of these records, nor does EPA anticipate a call-in of records at some
future date. Instead, the records would be available to inspectors to
ensure that businesses are in compliance with containment requirements.
These inspections are generally conducted by the states, which enforce
FIFRA regulations through cooperative agreements with EPA.
    Form Numbers: None.
    Respondents/affected entities: Entities potentially affected by
this ICR include pesticide registrants and businesses who formulate
pesticide products or pesticide formulation intermediates (NAICS code
325320), farm supply wholesalers (NAICS code 422910), swimming pool
applicators (NAICS codes 561790,453998, and 235990), and agricultural
(aerial and ground) commercial applicators (NAICS code 115112).
    Respondent's obligation to respond: mandatory under sections 3, 8,
19, and 25 of the Federal Insecticide and Rodenticide Act (FIFRA) (7
U.S.C. 136f, 136q, and 136w).
    Estimated number of respondents: 23,586.
    Frequency of response: On occasion.
    Total estimated burden: 169,660 hours (per year). Burden is defined
at 5 CFR 1320.03(b).
    Total estimated cost: $6,248,079 (per year), includes $5,561,578
for container regulations and $686,501 for containment regulations.
    Changes in the Estimates: The renewal of this ICR will result in an
overall decrease of 4,890.5 hours in the total estimated respondent
burden indentified in the currently approved ICR. This decrease
reflects three revisions to the estimated annual burden. First, EPA
received very few waiver requests for complying with the non-refillable
container regulations, so the estimated rate of registrants requesting
waivers decreases from 5% to 1%. The decrease in estimated waiver
requests resulted in a corresponding decrease in the associated burden.
Second, since registrant repacking activities are similar to the
repacking activities conducted by refillers and swimming pool supply
companies, EPA increased the average annual burden per registrant
respondent from 1 hour to 12.5 hours per respondent to be consistent
with the average burden per refiller or swimming pool supply company.
Third, for entities subject to the containment requirements, some
activities in the previous ICR were one-time activities completed by
the compliance date of August 16, 2009. This ICR includes only the
ongoing annual information collection activities for the containment
requirements,

resulting in a corresponding decrease in the estimated annual burden
per respondent from the previous ICR. These changes are adjustments.

John Moses,
Director, Collection Strategies Division.
[FR Doc. 2013-17517 Filed 7-19-13; 8:45 am]
BILLING CODE 6560-50-P