[Federal Register Volume 87, Number 162 (Tuesday, August 23, 2022)]
[Notices]
[Pages 51706-51713]
[FR Doc No: 2022-18096]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-95526; File No. SR-NYSEARCA-2022-51]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To List and Trade
Shares of the Thrivent Small-Mid Cap ESG ETF Under NYSE Arca Rule
8.601-E

August 17, 2022.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given
that, on August 5, 2022, NYSE Arca, Inc. (``NYSE Arca'' or the
``Exchange'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I and II
below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to list and trade shares of the Thrivent
Small-Mid Cap ESG ETF under NYSE Arca Rule 8.601-E. The proposed rule
change is available on the Exchange's website at www.nyse.com, at the
principal office of the Exchange, and at the Commission's Public
Reference Room.

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

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

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

1. Purpose
    The Exchange has adopted NYSE Arca Rule 8.601-E for the purpose of
permitting the listing and trading, or trading pursuant to unlisted
trading privileges (``UTP''), of Active Proxy Portfolio Shares, which
are securities issued by an actively managed open-end investment
management company.\4\ Commentary .01 to Rule 8.601-E requires the
Exchange to file separate proposals under Section 19(b) of the Act
before listing and trading any series of Active Proxy Portfolio Shares
on the Exchange. Therefore, the Exchange is submitting this proposal in
order to list and trade shares (``Shares'') as Active

Proxy Portfolio Shares of the Thrivent Small-Mid Cap ESG ETF (the
``Fund'') under Rule 8.601-E.
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    \4\ See Securities Exchange Act Release No. 89185 (June 29,
2020), 85 FR 40328 (July 6, 2020) (SR-NYSEArca-2019-95). Rule 8.601-
E(c)(1) provides that ``[t]he term ``Active Proxy Portfolio Share''
means a security that (a) is issued by a investment company
registered under the Investment Company Act of 1940 (``Investment
Company'') organized as an open-end management investment company
that invests in a portfolio of securities selected by the Investment
Company's investment adviser consistent with the Investment
Company's investment objectives and policies; (b) is issued in a
specified minimum number of shares, or multiples thereof, in return
for a deposit by the purchaser of the Proxy Portfolio or Custom
Basket, as applicable, and/or cash with a value equal to the next
determined net asset value (``NAV''); (c) when aggregated in the
same specified minimum number of Active Proxy Portfolio Shares, or
multiples thereof, may be redeemed at a holder's request in return
for the Proxy Portfolio or Custom Basket, as applicable, and/or cash
to the holder by the issuer with a value equal to the next
determined NAV; and (d) the portfolio holdings for which are
disclosed within at least 60 days following the end of every fiscal
quarter.'' Rule 8.601-E(c)(2) provides that ``[t]he term ``Actual
Portfolio'' means the identities and quantities of the securities
and other assets held by the Investment Company that shall form the
basis for the Investment Company's calculation of NAV at the end of
the business day.'' Rule 8.601-E(c)(3) provides that ``[t]he term
``Proxy Portfolio'' means a specified portfolio of securities, other
financial instruments and/or cash designed to track closely the
daily performance of the Actual Portfolio of a series of Active
Proxy Portfolio Shares as provided in the exemptive relief pursuant
to the Investment Company Act of 1940 applicable to such series.''
Rule 8.601-E(c)(4) provides that the term ``Custom Basket'' means a
portfolio of securities that is different from the Proxy Portfolio
and is otherwise consistent with the exemptive relief issued
pursuant to the Investment Company Act of 1940 applicable to a
series of Active Proxy Portfolio Shares.
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Key Features of Active Proxy Portfolio Shares
    While funds issuing Active Proxy Portfolio Shares will be actively-
managed and, to that extent, will be similar to Managed Fund Shares,
Active Proxy Portfolio Shares differ from Managed Fund Shares in the
following important respects. First, in contrast to Managed Fund
Shares, which are actively-managed funds listed and traded under NYSE
Arca Rule 8.600-E \5\ and for which a ``Disclosed Portfolio'' is
required to be disseminated at least once daily,\6\ the portfolio for
an issue of Active Proxy Portfolio Shares will be publicly disclosed
within at least 60 days following the end of every fiscal quarter in
accordance with normal disclosure requirements otherwise applicable to
open-end management investment companies registered under the
Investment Company Act of 1940 (the ``1940 Act'').\7\ The composition
of the portfolio of an issue of Active Proxy Portfolio Shares would not
be available at commencement of Exchange listing and trading. Second,
in connection with the creation and redemption of Active Proxy
Portfolio Shares, such creation or redemption may be exchanged for a
Proxy Portfolio or Custom Basket, as applicable, and/or cash with a
value equal to the next-determined NAV. A series of Active Proxy
Portfolio Shares will disclose the Proxy Portfolio on a daily basis,
which, as described above, is designed to track closely the daily
performance of the Actual Portfolio of a series of Active Proxy
Portfolio Shares, instead of the actual holdings of the Investment
Company, as provided by a series of Managed Fund Shares. As set forth
in NYSE Arca Rule 8.601-E(d)(2)(B)(ii), for Active Proxy Portfolio
Shares using a Custom Basket, each Business Day,\8\ before the opening
of trading in the Core Trading Session (as defined in NYSE Arca Rule
7.34-E (a)), the Investment Company shall make publicly available on
its website the composition of any Custom Basket transacted on the
previous Business Day, except a Custom Basket that differs from the
applicable Proxy Portfolio only with respect to cash.
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    \5\ The Commission has previously approved listing and trading
on the Exchange of a number of issues of Managed Fund Shares under
NYSE Arca Rule 8.600-E. See, e.g., Securities Exchange Act Release
Nos. 57801 (May 8, 2008), 73 FR 27878 (May 14, 2008) (SR-NYSEArca-
2008-31) (order approving Exchange listing and trading of twelve
actively-managed funds of the WisdomTree Trust); 60460 (August 7,
2009), 74 FR 41468 (August 17, 2009) (SR-NYSEArca-2009-55) (order
approving listing of Dent Tactical ETF); 63076 (October 12, 2010),
75 FR 63874 (October 18, 2010) (SR-NYSEArca-2010-79) (order
approving Exchange listing and trading of Cambria Global Tactical
ETF); 63802 (January 31, 2011), 76 FR 6503 (February 4, 2011) (SR-
NYSEArca-2010-118) (order approving Exchange listing and trading of
the SiM Dynamic Allocation Diversified Income ETF and SiM Dynamic
Allocation Growth Income ETF). The Commission also has approved a
proposed rule change relating to generic listing standards for
Managed Fund Shares. See Securities Exchange Act Release No. 78397
(July 22, 2016), 81 FR 49320 (July 27, 2016) (SR-NYSEArca-2015-110)
(amending NYSE Arca Equities Rule 8.600 to adopt generic listing
standards for Managed Fund Shares).
    \6\ NYSE Arca Rule 8.600-E(c)(2) defines the term ``Disclosed
Portfolio'' as the identities and quantities of the securities and
other assets held by the Investment Company that will form the basis
for the Investment Company's calculation of net asset value at the
end of the business day. NYSE Arca Rule 8.600-E(d)(2)(B)(i) requires
that the Disclosed Portfolio will be disseminated at least once
daily and will be made available to all market participants at the
same time.
    \7\ A mutual fund is required to file with the Commission its
complete portfolio schedules for the second and fourth fiscal
quarters on Form N-CSR under the 1940 Act. Information reported on
Form N-PORT for the third month of a fund's fiscal quarter will be
made publicly available 60 days after the end of a fund's fiscal
quarter. Form N-PORT requires reporting of a fund's complete
portfolio holdings on a position-by-position basis on a quarterly
basis within 60 days after fiscal quarter end. Investors can obtain
a series of Active Proxy Portfolio Shares' Statement of Additional
Information (``SAI''), its Shareholder Reports, its Form N-CSR,
filed twice a year, and its Form N-CEN, filed annually. A series of
Active Proxy Portfolio Shares' SAI and Shareholder Reports will be
available free upon request from the Investment Company, and those
documents and the Form N-PORT, Form N-CSR, and Form N-CEN may be
viewed on-screen or downloaded from the Commission's website at
www.sec.gov.
    \8\ ``Business Day'' is defined to mean any day that the
Exchange is open, including any day when the Fund satisfies
redemption requests as required by Section 22(e) of the 1940 Act.
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    The Commission has previously approved \9\ and noticed for
immediate effectiveness \10\ the listing and trading on the Exchange of
series of Active Proxy Portfolio Shares under NYSE Arca Rule 8.601-E.
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    \9\ See Securities Exchange Act Release Nos. 89185 (June 29,
2020), 85 FR 40328 (July 6, 2020) (SR-NYSEArca-2019-95) (Notice of
Filing of Amendment No. 6 and Order Granting Accelerated Approval of
a Proposed Rule Change, as Modified by Amendment No. 6, to Adopt
NYSE Arca Rule 8.601-E to Permit the Listing and Trading of Active
Proxy Portfolio Shares and To List and Trade Shares of the Natixis
U.S. Equity Opportunities ETF Under Proposed NYSE Arca Rule 8.601-
E); 89192 (June 30, 2020), 85 FR 40699 (July 7, 2020) (SR-NYSEArca-
2019-96) (Notice of Filing of Amendment No. 5 and Order Granting
Accelerated Approval of a Proposed Rule Change, as Modified by
Amendment No. 5, to List and Trade Two Series of Active Proxy
Portfolio Shares Issued by the American Century ETF Trust under NYSE
Arca Rule 8.601-E); 89191 (June 30, 2020), 85 FR 40358 (July 6,
2020) (SR-NYSEArca-2019-92) (Notice of Filing of Amendment No. 3 and
Order Granting Accelerated Approval of a Proposed Rule Change, as
Modified by Amendment No. 3, to List and Trade Four Series of Active
Proxy Portfolio Shares Issued by T. Rowe Price Exchange-Traded
Funds, Inc. under NYSE Arca Rule 8.601-E); 89438 (July 31, 2020), 85
FR 47821 (August 6, 2020) (SR-NYSEArca-2020-51) (Order Granting
Approval of a Proposed Rule Change, as Modified by Amendment No. 2,
to List and Trade Shares of Natixis Vaughan Nelson Select ETF and
Natixis Vaughan Nelson MidCap ETF under NYSE Arca Rule 8.601-E).
    \10\ See Securities Exchange Act Release Nos. 92104 (June 3,
2021), 86 FR 30635 (June 9, 2021) (NYSEArca-2021-46) (Notice of
Filing and Immediate Effectiveness of Proposed Rule Change to List
and Trade Shares of the Nuveen Santa Barbara Dividend Growth ETF,
Nuveen Small Cap Select ETF, and Nuveen Winslow Large-Cap Growth ESG
ETF Under NYSE Arca Rule 8.601-E (Active Proxy Portfolio Shares);
and 92958 (September 13, 2021), 86 FR 51933 (September 17, 2021)
(NYSEArca-2021-77) (Notice of Filing and Immediate Effectiveness of
Proposed Rule Change To List and Trade Shares of the Nuveen Growth
Opportunities ETF Under NYSE Arca Rule 8.601-E (Active Proxy
Portfolio Shares).
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    The Shares of the Fund will be issued by the Thrivent ETF Trust
(the ``Trust''), which is organized a Massachusetts Business Trust and
registered with the Commission as an open-end management investment
company.\11\ Thrivent Asset Management, LLC will be the investment
adviser to the Fund (the ``Adviser''). State Street Bank and Trust
Company (``State Street'') will serve as the Fund's transfer agent.
State Street will serve as the Fund's custodian. ALPS Distributors,
Inc. will act as the distributor (the ``Distributor'') for the Fund.
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    \11\ The Trust is registered under the 1940 Act. On August 4,
2022, the Trust filed an amended registration statement on Form N-1A
under the 1940 Act relating to the Fund (File No. 333-261454) (the
``Registration Statement''). The Trust filed an application for an
order under Section 6(c) of the 1940 Act for exemptions from various
provisions of the 1940 Act and rules thereunder (File No. 812-
15288), dated February 9, 2022 (the ``Application''). See Investment
Company Act Release No. 34345 (July 27, 2021). On March 15, 2022,
the Commission issued an order (the ``Exemptive Order'') under the
1940 Act granting the exemptions requested in the Application
(Investment Company Act Release No. 34534, March 15, 2022).
Investments made by the Fund will comply with the conditions set
forth in the Application and the Exemptive Order. See e.g., note 12,
infra. The description of the operation of the Fund herein is based,
in part, on the Registration Statement, the Application and the
Exemptive Order. The Exchange will not commence trading in Shares of
the Fund until the Registration Statement is effective.
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    Commentary .04 to NYSE Arca Rule 8.601-E provides that, if the
investment adviser to the Investment Company issuing Active Proxy
Portfolio Shares is registered as a broker-dealer or is affiliated with
a broker-dealer, such investment adviser will erect and maintain a
``fire wall'' between the investment adviser and personnel of the
broker-dealer or broker-dealer affiliate, as applicable, with respect
to access to information concerning the composition and/or changes to
such Investment Company's Actual Portfolio, Proxy Portfolio, and/or
Custom Basket, as applicable. Any person related to the

investment adviser or Investment Company who makes decisions pertaining
to the Investment Company's Actual Portfolio, Proxy Portfolio, and/or
Custom Basket, as applicable, or has access to non-public information
regarding the Investment Company's Actual Portfolio, Proxy Portfolio,
and/or the Custom Basket, as applicable, or changes thereto must be
subject to procedures reasonably designed to prevent the use and
dissemination of material non-public information regarding the Actual
Portfolio, Proxy Portfolio, and/or the Custom Basket, as applicable, or
changes thereto. Commentary .04 is similar to Commentary .03(a)(i) and
(iii) to NYSE Arca Rule 5.2-E(j)(3); however, Commentary .04, in
connection with the establishment of a ``fire wall'' between the
investment adviser and the broker-dealer, reflects the applicable open-
end fund's portfolio, not an underlying benchmark index, as is the case
with index-based funds.\12\ Commentary .04 is also similar to
Commentary .06 to Rule 8.600-E related to Managed Fund Shares, except
that Commentary .04 relates to establishment and maintenance of a
``fire wall'' between the investment adviser and personnel of the
broker-dealer or broker-dealer affiliate, as applicable, applicable to
an Investment Company's Actual Portfolio, Proxy Portfolio, and/or
Custom Basket, as applicable, or changes thereto, and not just to the
underlying portfolio, as is the case with Managed Fund Shares.
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    \12\ An investment adviser to an open-end fund is required to be
registered under the Investment Advisers Act of 1940 (the ``Advisers
Act''). As a result, the Adviser and its related personnel will be
subject to the provisions of Rule 204A-1 under the Advisers Act
relating to codes of ethics. This Rule requires investment advisers
to adopt a code of ethics that reflects the fiduciary nature of the
relationship to clients as well as compliance with other applicable
securities laws. Accordingly, procedures designed to prevent the
communication and misuse of non-public information by an investment
adviser must be consistent with Rule 204A-1 under the Advisers Act.
In addition, Rule 206(4)-7 under the Advisers Act makes it unlawful
for an investment adviser to provide investment advice to clients
unless such investment adviser has (i) adopted and implemented
written policies and procedures reasonably designed to prevent
violations, by the investment adviser and its supervised persons, of
the Advisers Act and the Commission rules adopted thereunder; (ii)
implemented, at a minimum, an annual review regarding the adequacy
of the policies and procedures established pursuant to subparagraph
(i) above and the effectiveness of their implementation; and (iii)
designated an individual (who is a supervised person) responsible
for administering the policies and procedures adopted under
subparagraph (i) above.
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    In addition, Commentary .05 to Rule 8.601-E provides that any
person or entity, including a custodian, Reporting Authority,
distributor, or administrator, who has access to non-public information
regarding the Investment Company's Actual Portfolio, the Proxy
Portfolio, or the Custom Basket, as applicable, or changes thereto,
must be subject to procedures reasonably designed to prevent the use
and dissemination of material non-public information regarding the
applicable Investment Company Actual Portfolio, the Proxy Portfolio, or
the Custom Basket, as applicable, or changes thereto. Moreover, if any
such person or entity is registered as a broker-dealer or affiliated
with a broker-dealer, such person or entity will erect and maintain a
``fire wall'' between the person or entity and the broker-dealer with
respect to access to information concerning the composition and/or
changes to such Investment Company Actual Portfolio, Proxy Portfolio,
or Custom Basket, as applicable.
    The Adviser is not registered as a broker-dealer but is affiliated
with broker-dealers. The Adviser has implemented and will maintain a
``fire wall'' with respect to such broker-dealer affiliates regarding
access to information concerning the composition of and/or changes to
the Fund's Actual Portfolio, Proxy Portfolio, and/or Custom Basket, as
applicable.
    In the event (a) the Adviser becomes registered as a broker-dealer
or becomes newly affiliated with a broker-dealer, or (b) any new
adviser or sub-adviser is a registered broker-dealer, or becomes
affiliated with a broker-dealer, it will implement and maintain a
``fire wall'' with respect to its relevant personnel or its broker-
dealer affiliate regarding access to information concerning the
composition and/or changes to the Fund's Actual Portfolio, Proxy
Portfolio, and/or Custom Basket, as applicable, and will be subject to
procedures designed to prevent the use and dissemination of material
non-public information regarding the Fund's Actual Portfolio, Proxy
Portfolio, and/or Custom Basket, as applicable, or changes thereto. Any
person related to the Adviser or the Fund who makes decisions
pertaining to the Fund's Actual Portfolio, the Proxy Portfolio, or
Custom Basket, as applicable, or has access to non-public information
regarding the Fund's Actual Portfolio, the Proxy Portfolio, and/or the
Custom Basket, as applicable, or changes thereto are subject to
procedures reasonably designed to prevent the use and dissemination of
material non-public information regarding the Fund's Actual Portfolio,
the Proxy Portfolio, and/or the Custom Basket, as applicable, or
changes thereto.
    In addition, any person or entity, including any service provider
for the Fund, who has access to non-public information regarding the
Fund's Actual Portfolio, the Proxy Portfolio, and/or the Custom Basket,
as applicable, or changes thereto, will be subject to procedures
reasonably designed to prevent the use and dissemination of material
non-public information regarding the Fund's Actual Portfolio, the Proxy
Portfolio, and/or the Custom Basket, as applicable, or changes thereto.
Moreover, if any such person or entity is registered as a broker-dealer
or affiliated with a broker-dealer, such person or entity has erected
and will maintain a ``fire wall'' between the person or entity and the
broker-dealer with respect to access to information concerning the
composition and/or changes to the Fund's Actual Portfolio, Proxy
Portfolio, and/or Custom Basket, as applicable.
Description of the Fund
    According to the Registration Statement, the Fund will generate a
Proxy Portfolio that will be designed to closely track the daily
performance of the Fund but will not be the Fund's Actual Portfolio.
The Proxy Portfolio is comprised of (1) some but not all of the Fund's
actual holdings and will include only certain securities that trade on
a national securities exchange contemporaneously with the Fund's
Shares, and (2) cash and cash equivalents. The Fund will publish on its
website the Proxy Portfolio before the commencement of trading of the
Fund's Shares on each Business Day. In addition to the Proxy Portfolio,
the Fund will disclose daily the percentage weight overlap between the
holdings of the Proxy Portfolio and the Actual Portfolio that formed
the basis for the Fund's calculation of NAV at the end of the prior
Business Day (``Proxy Overlap'') and the standard deviation over the
past three months of the daily proxy spread (i.e., the difference, in
percentage terms, between the Proxy Portfolio per share NAV and that of
the Actual Portfolio) (``Tracking Error''). Daily disclosure of the
Proxy Portfolio, the Proxy Overlap, the Tracking Error and the other
related proxy portfolio information is designed to ensure that
investors can purchase and sell Fund shares in the secondary market at
prices that are at or close to the underlying NAV per share of the Fund
by enabling Authorized Participants and other market participants to
accurately assess the profitability of arbitrage trades in Shares of
the Fund.
    The Fund's holdings will conform to the permissible investments as
set forth in the Application and Exemptive Order, and the holdings will
be

consistent with all requirements in the Application and Exemptive
Order.\13\ Any foreign common stocks held by the Fund will be traded on
an exchange that is a member of the Intermarket Surveillance Group
(``ISG'') or with which the Exchange has in place a comprehensive
surveillance sharing agreement.
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    \13\ Pursuant to the Application and Exemptive Order, the
permissible investments for the Fund include only the following
instruments: ETFs, Exchange-traded notes, Exchange-traded common
stocks, common stocks listed on a foreign exchange that trade on
such exchange contemporaneously with the Shares, Exchange-traded
preferred stocks, Exchange-traded American depositary receipts,
Exchange-traded real estate investment trusts, Exchange-traded
commodity pools, Exchange-traded metals trusts, Exchange-traded
currency trusts, and Exchange-traded futures that trade
contemporaneously with the Shares, as well as cash and cash
equivalents (short-term U.S. Treasury securities, government money
market funds, and repurchase agreements). For purposes of the
application, exchange-traded futures are U.S. listed futures
contracts where the futures contract's reference asset is an asset
that the Fund could invest in directly, or in the case of an index
future, is based on an index of a type of asset that the Fund could
invest in directly. All futures contracts that the Fund may invest
in will be traded on a U.S. futures exchange. For purposes of this
footnote only, ``Exchange'' means a national securities exchange as
defined in section 2(a)(26) of the Act.
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    According to the Registration Statement, the Fund's investment
objective is to seek long-term capital growth. Under normal market
conditions, the Fund will invest at least 80% of its net assets
(including the amount of any borrowings for investment purposes) in
securities of small and mid-sized companies that are listed or traded
on a national securities exchange and that the Adviser believes have
sustainable long-term business models and a demonstrated commitment to
environmental, social and/or corporate governance (``ESG'') policies,
practices or outcomes.
Investment Restrictions
    The Shares of the Fund will conform to the initial and continued
listing criteria under Rule 8.601-E. The Fund's holdings will be
limited to and consistent with permissible holdings as described in the
Application and Exemptive Order and all requirements in the Application
and Exemptive Order.\14\ The Fund's investments, including derivatives,
will be consistent with its investment objective and will not be used
to enhance leverage (although certain derivatives and other investments
may result in leverage). That is, the Fund's investments will not be
used to seek performance that is the multiple or inverse multiple
(e.g., 2X or -3X) of the Fund's primary broad-based securities
benchmark index (as defined in Form N-1A).
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    \14\ Id.
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Creations and Redemptions of Shares
    According to the Registration Statement, Shares of the Fund may be
acquired or redeemed directly from the Fund only in specified minimum
size ``Creation Units'' as defined below or multiples thereof. The Fund
will offer and issue Shares at the applicable NAV to broker-dealers and
other financial intermediaries who are participants in the National
Securities Clearing Corporation (``NSCC'') and who have signed an
Authorized Participant Agreement with the Distributor (each, an
``Authorized Participant''), and accepted by State Street, only in
aggregations of a specified number of Shares (``Creation Units''), in
exchange for a basket of securities and/or instruments (the ``Deposit
Securities''), together with a deposit of a specified cash payment (the
``Cash Component''). The NAV of the Fund's Shares will be calculated
each Business Day as of the close of regular trading on the Exchange,
ordinarily 4:00 p.m. Eastern Time (``E.T.''). A Creation Unit will
consist of at least 10,000 Shares.
    In certain circumstances, the Fund may issue Creation Units solely
in exchange for a specified all-cash payment (``Cash Deposit''). Shares
of the Fund are likewise redeemable by the Fund only in Creation Units,
generally in exchange for a basket of securities and instruments
(``Redemption Securities''), together with a Cash Component. The names
and quantities of the securities and instruments that constitute the
Deposit Securities and Redemption Securities are generally the same as
the Fund's Proxy Portfolio, except to the extent purchases and
redemptions are made entirely or partially on a cash basis. In
addition, the Fund may determine to use baskets that differ from the
Proxy Portfolio in that they include instruments that are not in the
Proxy Portfolio, or are included in the Proxy Portfolio but in
different weightings. As with the offer and sale of Creation Units, the
Fund may, in certain circumstances, redeem Creation Units in exchange
for a specified all-cash payment.
    In order to initiate a creation order for a Creation Unit, an
Authorized Participant must submit an irrevocable order to purchase
Shares in proper form to State Street by the close of regular trading
on the NYSE, typically 4:00 p.m. E.T. on a Business Day for creation of
Creation Units to be effected based on the NAV of Shares of the Fund on
that Business Day. The date on which an order to create Creation Units
(or an order to redeem Creation Units, as discussed below) is placed is
referred to as the ``Transmittal Date.'' Orders must be transmitted by
an Authorized Participant via the electronic order entry system, by
telephone or other transmission method acceptable to State Street and
the Distributor pursuant to procedures set forth in the Authorized
Participant Agreement.
    Fund Shares may be redeemed only in Creation Units at the NAV next
determined after receipt of a redemption request in proper form and
only on a Business Day. The redemption proceeds for a Creation Unit
will generally consist of securities represented in the Proxy Portfolio
or a Custom Basket (such securities, ``Fund Security'' or ``Fund
Securities'') plus cash in an amount equal to the difference between
the NAV of the Creation Unit being redeemed, as next determined after a
receipt of a request in proper form, and the value of the Fund
Securities, minus any fees. The Fund may substitute a ``cash-in-lieu''
amount to replace any Fund Security in certain limited circumstances.
The amount of cash paid out in such cases will be equivalent to the
value of the instrument listed as a Fund Security. In the event that
the Fund Securities have a value greater than the NAV of the Creation
Unit, a compensating cash payment equal to the difference will be
included in the Cash Component required to be delivered by an
Authorized Participant. In order to initiate a redemption order for a
Creation Unit to be effected based on the NAV of Shares of the Fund on
that Business Day, an Authorized Participant must submit an irrevocable
order to redeem the Creation Unit in proper form to State Street by the
close of regular trading on the NYSE, typically 4:00 p.m. E.T. on that
Business Day.
Availability of Information
    The Fund's website (www.thriventfunds.com), which will be publicly
available prior to the public offering of Shares, will include a form
of the prospectus for the Fund that may be downloaded. The Fund's
website will include on a daily basis, per Share of the Fund, the prior
Business Day's NAV, the prior Business Day's ``Closing Price'' or
``Bid/Ask Price'' \15\ and a

calculation of the premium/discount of such Closing Price or Bid/Ask
Price against such NAV.\16\ The Adviser has represented that the Fund's
website will also provide: (1) any other information regarding
premiums/discounts as may be required for other ETFs under Rule 6c-11
under the 1940 Act, as amended, and (2) any information regarding the
bid/ask spread for the Fund as may be required for other ETFs under
Rule 6c-11 under the 1940 Act, as amended. The Fund's website also will
disclose the information required under Rule 8.601-E(c)(3).\17\ The
website and information will be publicly available at no charge.
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    \15\ The ``Bid/Ask Price'' is the midpoint of the highest bid
and lowest offer based upon the National Best Bid and Offer as of
the time of calculation of the Fund's NAV. The ``National Best Bid
and Offer'' is the current national best bid and national best offer
as disseminated by the Consolidated Quotation System or UTP Plan
Securities Information Processor. The ``Closing Price'' of Shares is
the official closing price of the Shares on the Exchange.
    \16\ The ``premium/discount'' refers to the premium or discount
to the NAV at the end of a trading day and will be calculated based
on the last Bid/Ask Price or the Closing Price on such trading day.
    \17\ See note 4, supra. Rule 8.601-E (c)(3) provides that the
website for each series of Active Proxy Portfolio Shares shall
disclose the information regarding the Proxy Portfolio as provided
in the exemptive relief pursuant to the 1940 Act applicable to such
series, including the following, to the extent applicable: (i)
Ticker symbol; (ii) CUSIP or other identifier; (iii) Description of
holding; (iv) Quantity of each security or other asset held; and (v)
Percentage weighting of the holding in the portfolio.
---------------------------------------------------------------------------

    The identity and quantity of investments in the Proxy Portfolio for
the Fund will be publicly available on the Fund's website before the
commencement of trading in Shares on each Business Day. The website
will also include information relating to the Proxy Overlap and the
Tracking Error, as discussed above. With respect to each Custom Basket
utilized by the Fund, each Business Day, before the opening of trading
in the Core Trading Session (as defined in NYSE Arca Rule 7.34-E (a)),
the Fund's website will also include the composition of any Custom
Basket transacted on the previous Business Day, except a Custom Basket
that differs from the applicable Proxy Portfolio only with respect to
cash.
    Typical mutual fund-style annual, semi-annual and quarterly
disclosures contained in the Fund's Commission filings will be provided
on the Fund's website on a current basis.\18\ Thus, the Fund will
publish the portfolio contents of its Actual Portfolio on a periodic
basis, and no less than 60 days after the end of every fiscal quarter.
---------------------------------------------------------------------------

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

    Investors can also obtain the Fund's SAI, Shareholder Reports, Form
N-CSR, N-PORT, and Form N-CEN. The prospectus, SAI, and Shareholder
Reports are available free upon request, and those documents and the
Form N-CSR, N-PORT, and Form N-CEN may be viewed on-screen or
downloaded from the Commission's website. The Exchange also notes that
pursuant to the Application, the Fund must comply with Regulation Fair
Disclosure, which prohibits selective disclosure of any material non-
public information.
    Information regarding the market price of Shares and trading volume
in Shares, will be continually available on a real-time basis
throughout the day on brokers' computer screens and other electronic
services. The previous day's closing price and trading volume
information for the Shares will be published daily in the financial
section of newspapers.
    Quotation and last sale information for the Shares and U.S.
exchange-traded instruments (excluding futures contracts) will be
available via the Consolidated Tape Association (``CTA'') high-speed
line, from the exchanges on which such securities trade, or through
major market data vendors or subscription services. Quotation and last
sale information for futures contracts will be available from the
exchanges on which they trade. Intraday price information for all
exchange-traded instruments, which include all eligible instruments
except cash and cash equivalents, will be available from the exchanges
on which they trade, or through major market data vendors or
subscription services. Intraday price information for cash equivalents
is available through major market data vendors, subscription services
and/or pricing services.
Trading Halts
    With respect to trading halts, the Exchange may consider all
relevant factors in exercising its discretion to halt or suspend
trading in the Shares of the Fund.\19\ Trading in Shares of the Fund
will be halted if the circuit breaker parameters in NYSE Arca Rule
7.12-E have been reached. Trading also may be halted because of market
conditions or for reasons that, in the view of the Exchange, make
trading in the Shares inadvisable. Trading in the Shares will be
subject to NYSE Arca Rule 8.601-E(d)(2)(D), which sets forth
circumstances under which Shares of the Fund will be halted.
---------------------------------------------------------------------------

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

    Specifically, Rule 8.601-E(d)(2)(D) provides that the Exchange may
consider all relevant factors in exercising its discretion to halt
trading in a series of Active Proxy Portfolio Shares. These may
include: (a) the extent to which trading is not occurring in the
securities and/or the financial instruments composing the Proxy
Portfolio and/or Actual Portfolio; or (b) whether other unusual
conditions or circumstances detrimental to the maintenance of a fair
and orderly market are present. If the Exchange becomes aware that the
NAV, Proxy Portfolio, or Actual Portfolio with respect to a series of
Active Proxy Portfolio Shares is not disseminated to all market
participants at the same time, the Exchange shall halt trading in such
series until such time as the NAV, Proxy Portfolio, or Actual Portfolio
is available to all market participants at the same time.
Trading Rules
    The Exchange deems the Shares to be equity securities, thus
rendering trading in the Shares subject to the Exchange's existing
rules governing the trading of equity securities. Shares will trade on
the NYSE Arca Marketplace in all trading sessions in accordance with
NYSE Arca Rule 7.34-E(a). As provided in NYSE Arca Rule 7.6-E, the
minimum price variation (``MPV'') for quoting and entry of orders in
equity securities traded on the NYSE Arca Marketplace is $0.01, with
the exception of securities that are priced less than $1.00 for which
the MPV for order entry is $0.0001.
    The Shares will conform to the initial and continued listing
criteria under NYSE Arca Rule 8.601-E. The Exchange has appropriate
rules to facilitate trading in the Shares during all trading sessions.
    A minimum of 100,000 Shares for the Fund will be outstanding at the
commencement of trading on the Exchange. In addition, pursuant to Rule
8.601-E(d)(1)(B), the Exchange, prior to commencement of trading in the
Shares, will obtain a representation from the Trust that the NAV per
Share of the Fund will be calculated daily, that the NAV, Proxy
Portfolio, and the Actual Portfolio for the Fund will be made publicly
available to all market participants at the same time, and the Trust
and any person acting on behalf of the Trust will comply with
Regulation Fair Disclosure under the Securities Exchange Act of 1934,
including with respect to any Custom Basket.
    With respect to Active Proxy Portfolio Shares, all of the Exchange
member obligations relating to product description and prospectus
delivery requirements will continue to apply in accordance with
Exchange rules and federal securities laws, and the Exchange and the
Financial Industry Regulatory Authority, Inc. (``FINRA'') will continue
to monitor Exchange members for compliance with such requirements.

Surveillance
    The Exchange represents that trading in the Shares will be subject
to the existing trading surveillances, administered by the Exchange, as
well as cross-market surveillances administered by FINRA on behalf of
the Exchange, which are designed to detect violations of Exchange rules
and applicable federal securities laws.\20\ The Exchange represents
that these procedures are adequate to properly monitor Exchange trading
of the Shares in all trading sessions and to deter and detect
violations of Exchange rules and federal securities laws applicable to
trading on the Exchange.
---------------------------------------------------------------------------

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

    The surveillances referred to above generally focus on detecting
securities trading outside their normal patterns, which could be
indicative of manipulative or other violative activity. When such
situations are detected, surveillance analysis follows and
investigations are opened, where appropriate, to review the behavior of
all relevant parties for all relevant trading violations.
    The Exchange or FINRA, on behalf of the Exchange, or both, will
communicate as needed regarding trading in the Shares and underlying
exchange-traded instruments with other markets and other entities that
are members of the ISG, and the Exchange or FINRA, on behalf of the
Exchange, or both, may obtain trading information regarding trading
such securities and underlying exchange-traded instruments from such
markets and other entities. In addition, the Exchange may obtain
information regarding trading in such securities and underlying
exchange-traded instruments from markets and other entities that are
members of ISG or with which the Exchange has in place a comprehensive
surveillance sharing agreement.\21\
---------------------------------------------------------------------------

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

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

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

    With respect to the proposed listing and trading of Shares of the
Fund, the Exchange believes that the proposed rule change is designed
to prevent fraudulent and manipulative acts and practices in that the
Shares will be listed and traded on the Exchange pursuant to the
initial and continued listing criteria in NYSE Arca Rule 8.601-E.
    The Fund's holdings will conform to the permissible investments as
set forth in the Application and Exemptive Order, and the holdings will
be consistent with all requirements in the Application and Exemptive
Order.\25\
---------------------------------------------------------------------------

    \25\ See note 15 [sic], supra.
---------------------------------------------------------------------------

    The Exchange or FINRA, on behalf of the Exchange, or both, will
communicate as needed regarding trading in the Shares and underlying
exchange-traded instruments with other markets and other entities that
are members of the ISG, and the Exchange or FINRA, on behalf of the
Exchange, or both, may obtain trading information regarding trading in
the Shares and underlying exchange-traded instruments from such markets
and other entities. In addition, the Exchange may obtain information
regarding trading in the Shares and underlying exchange-traded
instruments from markets and other entities that are members of ISG or
with which the Exchange has in place a comprehensive surveillance
sharing agreement. Any foreign common stocks held by the Fund will be
traded on an exchange that is a member of the ISG or with which the
Exchange has in place

a comprehensive surveillance sharing agreement.
    The daily dissemination of the identity and quantity of Proxy
Portfolio component investments, together with the right of Authorized
Participants to create and redeem each day at the NAV, will be
sufficient for market participants to value and trade Shares in a
manner that will not lead to significant deviations between the Shares'
Bid/Ask Price and NAV.
    The Fund's investments, including derivatives, will be consistent
with its investment objective and will not be used to seek performance
that is the multiple or inverse multiple (e.g., 2X or -3X) of the
Fund's primary broad-based securities benchmark index (as defined in
Form N-1A).
    The proposed rule change is designed to promote just and equitable
principles of trade and to protect investors and the public interest in
that the Exchange will obtain a representation from the Trust that the
NAV per Share of the Fund will be calculated daily and that the NAV,
Proxy Portfolio, Actual Portfolio, and/or Custom Basket, as applicable,
for the Fund will be made available to all market participants at the
same time. Investors can obtain the Fund's SAI, shareholder reports,
and its Form N-CSR, Form N-PORT, and Form N-CEN. The Fund's SAI and
shareholder reports will be available free upon request from the Fund,
and those documents and the Form N-CSR, Form N-PORT, and Form N-CEN may
be viewed on-screen or downloaded from the Commission's website.
    Commentary .03 to NYSE Arca Rule 8.601-E provides that the Exchange
will implement and maintain written surveillance procedures for Active
Proxy Portfolio Shares. As part of these surveillance procedures, the
Investment Company's investment adviser will, upon request by the
Exchange or FINRA, on behalf of the Exchange, make available to the
Exchange or FINRA the daily portfolio holdings of each series of Active
Proxy Portfolio Shares. The Exchange believes that the ability to
access the information on an as needed basis will provide it with
sufficient information to perform the necessary regulatory functions
associated with listing and trading series of Active Proxy Portfolio
Shares on the Exchange, including the ability to monitor compliance
with the initial and continued listing requirements as well as the
ability to surveil for manipulation of Active Proxy Portfolio Shares.
With respect to the Fund, the Adviser will make available daily to
FINRA and the Exchange the portfolio holdings of the Fund upon request
in order to facilitate the performance of the surveillances referred to
above.
    The Exchange will utilize its existing procedures to monitor
compliance with the requirements of Rule 8.601-E. For example, the
Exchange will continue to use intraday alerts that will notify Exchange
personnel of trading activity throughout the day that may indicate that
unusual conditions or circumstances are present that could be
detrimental to the maintenance of a fair and orderly market. The
Exchange will require from the Trust, upon initial listing and
periodically thereafter, a representation that it is in compliance with
Rule 8.601-E. The Exchange notes that Commentary .01 to Rule 8.601-E
requires the issuer of the Shares to notify the Exchange of any failure
to comply with the continued listing requirements of Rule 8.601-E. In
addition, the Exchange will require the issuer to represent that it
will notify the Exchange of any failure to comply with the terms of
applicable exemptive and no-action relief. The Exchange will rely on
the foregoing procedures to become aware of any non-compliance with the
requirements of Rule 8.601-E.
    In addition, with respect to the Fund, a large amount of
information will be publicly available regarding the Fund and the
Shares, thereby promoting market transparency.
    Quotation and last sale information for the Shares and U.S.
exchange-traded instruments (excluding futures contracts) will be
available via the CTA high-speed line, from the exchanges on which such
securities trade, or through major market data vendors or subscription
services. Quotation and last sale information for futures contracts
will be available from the exchanges on which they trade. Intraday
price information for all exchange-traded instruments, which include
all eligible instruments except cash and cash equivalents, will be
available from the exchanges on which they trade, or through major
market data vendors or subscription services. Intraday price
information for cash equivalents is available through major market data
vendors, subscription services and/or pricing services.
    The website for the Fund will include a form of the prospectus that
may be downloaded, and additional data relating to NAV and other
applicable quantitative information, updated on a daily basis. Trading
in Shares of the Fund will be halted if the circuit breaker parameters
in NYSE Arca Rule 7.12-E have been reached or because of market
conditions or for reasons that, in the view of the Exchange, make
trading in the Shares inadvisable. Trading in the Shares will be
subject to NYSE Arca Rule 8.601-E(d)(2)(D), which sets forth
circumstances under which Shares of the Fund will be halted. In
addition, as noted above, investors will have ready access to the Proxy
Portfolio and quotation and last sale information for the Shares. The
identity and quantity of investments in the Proxy Portfolio will be
publicly available on the Fund's website before the commencement of
trading in Shares on each Business Day. The Shares will conform to the
initial and continued listing criteria under Rule 8.601-E.\26\
---------------------------------------------------------------------------

    \26\ See note 4, supra.
---------------------------------------------------------------------------

    The Fund's holdings will conform to the permissible investments as
set forth in the Application and Exemptive Order, and the holdings will
be consistent with all requirements in the Application and Exemptive
Order.\27\ Any foreign common stocks held by the Fund will be traded on
an exchange that is a member of the ISG or with which the Exchange has
in place a comprehensive surveillance sharing agreement.
---------------------------------------------------------------------------

    \27\ See note 15 [sic], supra.
---------------------------------------------------------------------------

    The proposed rule change is designed to perfect the mechanism of a
free and open market and, in general, to protect investors and the
public interest in that it will facilitate the listing and trading of
an additional type of actively-managed exchange-traded product that
will enhance competition among market participants, to the benefit of
investors and the marketplace. The Exchange will obtain a
representation from the Adviser, prior to commencement of trading in
the Shares of the Fund, that it will advise the Exchange of any failure
by the Fund to comply with the continued listing requirements, and,
pursuant to its obligations under Section 19(g)(1) of the Act, the
Exchange will monitor for compliance with the continued listing
requirements. If the Fund is not in compliance with the applicable
listing requirements, the Exchange will commence delisting procedures
under NYSE Arca Rule 5.5-E(m).
    As noted above, the Exchange has in place surveillance procedures
relating to trading in the Shares and may obtain information via ISG
from other exchanges that are members of ISG or with which the Exchange
has entered into a comprehensive surveillance sharing agreement. In
addition, as noted above, investors will have ready access to
information regarding quotation and last sale information for the
Shares.

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

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

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

    No written comments were solicited or received with respect to the
proposed rule change.

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

    Because the foregoing proposed rule change does not: (i)
significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \28\ and Rule 19b-
4(f)(6) thereunder.\29\
---------------------------------------------------------------------------

    \28\ 15 U.S.C. 78s(b)(3)(A).
    \29\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and text of the proposed rule change, at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the
Act normally does not become operative for 30 days after the date of
its filing. However, Rule 19b-4(f)(6)(iii) \30\ permits the Commission
to designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has
requested that the Commission waive the 30-day operative delay so that
the proposal may become operative immediately upon filing. The Exchange
notes that the Commission has approved and noticed for immediate
effectiveness proposed rule changes to permit listing and trading on
the Exchange of Active Proxy Portfolio Shares similar to the Fund.\31\
The proposed listing rule for the Fund raises no novel legal or
regulatory issues. Thus, the Commission believes that waiver of the 30-
day operative delay is consistent with the protection of investors and
the public interest. Accordingly, the Commission hereby waives the 30-
day operative delay and designates the proposed rule change operative
upon filing.\32\
---------------------------------------------------------------------------

    \30\ 17 CFR 240.19b-4(f)(6)(iii).
    \31\ See supra notes 9 and 10.
    \32\ For purposes only of waiving the 30-day operative delay,
the Commission has also considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
File Number SR-NYSEARCA-2022-51 on the subject line.

Paper Comments

     Send paper comments in triplicate to: Secretary,
Securities and Exchange Commission, 100 F Street NE, Washington, DC
20549-1090.

All submissions should refer to File Number SR-NYSEARCA-2022-51. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSEARCA-2022-51 and should be submitted
on or before September 13, 2022.
---------------------------------------------------------------------------

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

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\33\
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2022-18096 Filed 8-22-22; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 87, Number 186 (Tuesday, September 27, 2022)]
[Notices]
[Pages 58496-58497]
[FR Doc No: 2022-20872]

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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: EC22-63-000.
    Applicants: Alliance Energy Group LLC.
    Description: Amendment to May 9, 2022, Application for
Authorization Under Section 203 of the Federal Power Act of Greeley
Energy Facility, LLC.
    Filed Date: 9/15/22.
    Accession Number: 20220915-5314.
    Comment Date: 5 p.m. ET 10/6/22.

    Docket Numbers: EC22-122-000.
    Applicants: BP Energy Retail LLC, EDF Energy Services, LLC, EDF
Industrial Power Services (CA) LLC.
    Description: Joint Application for Authorization Under Section 203
of the Federal Power Act of BP Energy Retail LLC, et al.
    Filed Date: 9/21/22.
    Accession Number: 20220921-5083.
    Comment Date: 5 p.m. ET 10/12/22.

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

    Docket Numbers: ER17-2013-001.
    Applicants: Collegiate Clean Energy, LLC.
    Description: Compliance filing: Collegiate MBR Change in Category
to be effective 9/22/2022.
    Filed Date: 9/21/22.
    Accession Number: 20220921-5087.
    Comment Date: 5 p.m. ET 10/12/22.

    Docket Numbers: ER17-2014-001.
    Applicants: Ingenco Wholesale Power, L.L.C.
    Description: Compliance filing: Ingenco MBR Change in Category to
be effective 9/22/2022.
    Filed Date: 9/21/22.
    Accession Number: 20220921-5088.
    Comment Date: 5 p.m. ET 10/12/22.

    Docket Numbers: ER20-2197-002.
    Applicants: Atlantic City Electric Company, PJM Interconnection,
L.L.C.
    Description: Compliance filing: Atlantic City Electric Company
submits tariff filing per 35: ACE and Delmarva Compliance Filing in
ER20-2197 & ER20-2198 (Consolidated) to be effective 9/1/2020.
    Filed Date: 9/21/22.
    Accession Number: 20220921-5095.
    Comment Date: 5 p.m. ET 10/12/22.

    Docket Numbers: ER21-385-003.
    Applicants: Upper Missouri G. & T. Electric Cooperative, Inc.
    Description: Compliance filing: Compliance Filing (ER21-385) to be
effective 7/1/2022.
    Filed Date: 9/21/22.
    Accession Number: 20220921-5086.
    Comment Date: 5 p.m. ET 10/12/22.

    Docket Numbers: ER22-2125-000; EL21-9-000.
    Applicants: Duke Energy Progress, LLC.
    Description: ALJ Settlement: DEP-NCEMC Offer of Settlement and
Settlement Agreement to be effective N/A.
    Filed Date: 6/16/22.
    Accession Number: 20220616-5061.
    Comment Date: 5 p.m. ET 10/3/22.

    Docket Numbers: ER22-2616-001.
    Applicants: Southern California Edison Company.
    Description: Tariff Amendment: Errata to Add Clean Tariff to
eTariff Record, re Desert Sunlight 2nd Amend to be effective 10/5/2022.
    Filed Date: 9/21/22.
    Accession Number: 20220921-5034.
    Comment Date: 5 p.m. ET 10/12/22.

    Docket Numbers: ER22-2885-000.
    Applicants: 1000 Mile Solar, LLC.
    Description: Request for Limited Waiver, et al. of 1000 Mile Solar,
LLC.
    Filed Date: 9/19/22.
    Accession Number: 20220919-5261.
    Comment Date: 5 p.m. ET 10/4/22.

    Docket Numbers: ER22-2897-000.
    Applicants: Pacific Gas and Electric Company.
    Description: Sec.  205(d) Rate Filing: CCSF Revisions to 2-19-2020
Filing (SA 275) to be effective 11/21/2022.
    Filed Date: 9/21/22.
    Accession Number: 20220921-5031.
    Comment Date: 5 p.m. ET 10/12/22.

    Docket Numbers: ER22-2898-000.
    Applicants: Huck Finn Solar, LLC.
    Description: Baseline eTariff Filing: Initial Market-Based Rate
Petition of Huck Finn Solar to be effective 11/21/2022.
    Filed Date: 9/21/22.
    Accession Number: 20220921-5072.
    Comment Date: 5 p.m. ET 10/12/22.

    Docket Numbers: ER22-2899-000.
    Applicants: Arizona Public Service Company.
    Description: Sec.  205(d) Rate Filing: Service Agreement No. 402,
EP&C between APS and DCR Transmission to be effective 8/22/2022.
    Filed Date: 9/21/22.
    Accession Number: 20220921-5085.
    Comment Date: 5 p.m. ET 10/12/22.

    Docket Numbers: ER22-2900-000.
    Applicants: Arizona Public Service Company.
    Description: Sec.  205(d) Rate Filing: Rate Schedule No. 309,
Morgan-Pinnacle Peak Interconnection Agreement to be effective 11/21/
2022.
    Filed Date: 9/21/22.

    Accession Number: 20220921-5092.
    Comment Date: 5 p.m. ET 10/12/22.

    Take notice that the Commission received the following qualifying
facility filings:

    Docket Numbers: QF22-442-000.
    Applicants: Turnbull Hydro LLC.
    Description: Refund Report of Turnbull Hydro LLC [Lower Turnbull].
    Filed Date: 9/20/22.
    Accession Number: 20220920-5132.
    Comment Date: 5 p.m. ET 10/11/22.

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

    Dated: September 21, 2022.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2022-20872 Filed 9-26-22; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 77, Number 24 (Monday, February 6, 2012)]
[Notices]
[Pages 5862-5864]
[FR Doc No: 2012-2588]

=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-66282; File No. SR-NASDAQ-2012-016]

Self-Regulatory Organizations; The NASDAQ Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Modify Fees Assessed Under Rule 7015(c) for Subscription to Computer to
Computer Interface Stations

January 31, 2012.
    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 January 23, 2012, The NASDAQ Stock Market LLC (``NASDAQ'' 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 Exchange. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
---------------------------------------------------------------------------

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

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

    NASDAQ is proposing to modify the fees assessed under Rule 7015(c)
for subscription to Computer to Computer Interface Stations
(``Stations''). NASDAQ will implement the proposed change on February
1, 2012.
    The text of the proposed rule change is below. Proposed new
language is underscored; proposed deletions are in brackets.

7015. Access Services

    The following charges are assessed by Nasdaq for connectivity to
systems operated by NASDAQ, including the Nasdaq Market Center, the
FINRA/NASDAQ Trade Reporting Facility, and FINRA's OTCBB Service. The
following fees are not applicable to the NASDAQ Options Market LLC. For
related options fees for Access Services refer to Rule 7053.
    (a)-(b) No change.
    (c) Computer to Computer Interface (CTCI) Stations

------------------------------------------------------------------------
        Fee component                             Fee
------------------------------------------------------------------------
[1st] Per Station Fee........  [$200]$600/Station/month.
[
Each Additional Station......  $600/Station/month].
------------------------------------------------------------------------

    The bandwidth-based fees in the table below apply to CTCI
subscribers that have not transitioned off of Nasdaq-supported
circuits.

Bandwidth

------------------------------------------------------------------------
        Fee component                             Fee
------------------------------------------------------------------------
Single 56kb line with single   $900/month.
 hub and router (for remote
 disaster recovery sites
 only).
Option 1:
    Dual 56kb lines (one for   $1,000/month.
     redundancy) and single
     hub and router.
Option 2:
    Dual 56kb lines (one for   $1,200/month.
     redundancy), dual hubs
     (one for redundancy),
     and dual router (one for
     redundancy).
Option 3:
    Dual Tl lines (one for     $2,500/month.
     redundancy), dual hubs
     (one for redundancy),
     and dual routers (one
     for redundancy).
     Includes base bandwidth
     of 128kb.

Bandwidth Enhancement Fee
 (for Tl subscribers only):
    Per 64kb increase above    $200/month.
     128kb Tl base.
Option 1, 2, or 3 with         Fee for Option 1, 2, or 3 (including any
 Message Queue software         Bandwidth Enhancement Fee) plus 20%.
 enhancement.
Installation Fee.............  $2,000 per site for dual hubs and
                                routers.
                               $1,000 per site for single hub and
                                router.
Relocation Fee (for the        $1,700 per relocation.
 movement of TCF/IP-capable
 lines within a single
 location).
------------------------------------------------------------------------

    (d)-(h) No change.
* * * * *

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
    NASDAQ is proposing to eliminate from Rule 7015(c) the $200 per
station/per month fee assessed for the first Station subscribed and
assess a uniform fee for all Stations of $600 per Station, per month,
which is the current fee assessed for each Station subscribed in excess
of one. Stations are logical channels used to manage the flow of data
to and from a member firm user. A Station allows a subscribing member
firm to send orders to NASDAQ or to report trades, using the member
firm's computer system and not a NASDAQ Workstation. Stations are
synonymous with the logical access ports used for FIX and QIX as they
have the same characteristics, including a one-to-one relationship
between the member firm and Station and throughput limits.\3\ Unlike
FIX and QIX ports, which are limited to a single service, Stations
allow member firms to access multiple services. For example, if a
member firm wished to access ACT, ACES and TRACE using FIX it would
have to order three separate ports, totaling $1,500 per month, whereas
the member firm may connect to all three facilities through a single
Station for a proposed fee of $600 per month.
---------------------------------------------------------------------------

    \3\ Rules 7015(a) and (b).
---------------------------------------------------------------------------

    Use of this service is voluntary and member firms have the option
of subscribing to other protocols that offer similar connectivity.
NASDAQ notes that the Station fees have not increased since March 2006,
when the current fee structure was adopted.\4\ NASDAQ developed and
implemented enhancements to CTCI since March 2006, such as updating
protocol formatting based on changing industry requirements and adding
new servers to support the updated product. NASDAQ also added the
ability to receive DROP copies over CTCI, which allows subscribing
member firms to send in order information and receive back their DROP
copies over a single connection.\5\ As a consequence of adding
enhancements, the value of the service has incrementally increased over
time and NASDAQ believes that it is appropriate to now raise the fee
assessed for CTCI to better align it with the increased value of the
service and rising costs associated with technology and connectivity.
Accordingly, NASDAQ proposes to eliminate the discounted fee assessed
for the first Station subscribed and assess a uniform fee of $600 for
each Station subscribed. NASDAQ anticipates that the proposed fees may
provide NASDAQ with a profit, in addition to covering costs discussed
above.
---------------------------------------------------------------------------

    \4\ Securities Exchange Act Release No. 53536 (March 21, 2006),
71 FR 15784 (March 29, 2006) (SR-NASD-2006-026).
    \5\ Prior to this enhancement, member firms would have to order
a separate port dedicated to the receipt of their DROP copies.
---------------------------------------------------------------------------

2. Statutory Basis
    NASDAQ believes that the proposed rule change is consistent with
the provisions of Section 6 of the Act,\6\ in general, and Section
6(b)(4) of the Act,\7\ in particular, because it provides for the
equitable allocation of reasonable dues, fees and other charges among
members and issuers and other persons using any facility or system that
NASDAQ operates or controls, and it does not unfairly discriminate
between customers, issuers, brokers or dealers. NASDAQ believes that
the proposal constitutes an equitable allocation of fees because all
similarly-situated member firms would be charged the same amount. In
addition, access to NASDAQ will continue to be offered on fair and non-
discriminatory terms.
---------------------------------------------------------------------------

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

    NASDAQ believes that the proposal is reasonable because the fee
increase will realign the cost of administering and enhancing the
service with the revenue generated by the fee. As noted above, NASDAQ
has developed and implemented enhancements to CTCI since last
increasing fees in March 2006. As a consequence of adding enhancements,
the value of the service has incrementally increased over time and
NASDAQ believes that it is appropriate to now raise the fee assessed
for the initial Station to better align the fee with the increased
value of the service. NASDAQ anticipates that the proposed fee will
cover the costs associated with responding to customer requests,
configuring NASDAQ's systems, programming to user specifications, and
administering the service, among other things, and may provide NASDAQ
with a profit. As discussed, the proposed fee increase applies to only
the first Station subscribed, aligning that fee with the fee
historically applied to all Stations subscribed in excess of one.
NASDAQ notes that the proposed single Station fee is structured
similarly to the FIX port fee that, although offered at $100 per port,
per month less than the proposed Station fee, does not provide the
flexibility in connectivity that Stations provide.\8\
---------------------------------------------------------------------------

    \8\ Rule 7015(b).
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change will
result in any burden on competition that is not

necessary or appropriate in furtherance of the purposes of the Act, as
amended.

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

    Written comments were neither solicited nor received.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A)(ii) of the Act \9\ and subparagraph (f)(2) of Rule 19b-4
thereunder.\10\ At any time within 60 days of the filing of the
proposed rule change, the Commission summarily may temporarily suspend
such rule change if it appears to the Commission that such action is
necessary or appropriate in the public interest, for the protection of
investors, or otherwise in furtherance of the purposes of the Act. If
the Commission takes such action, the Commission shall institute
proceedings to determine whether the proposed rule should be approved
or disapproved.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78s(b)(3)(a)(ii). [sic]
    \10\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

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-NASDAQ-2012-016 on the subject line.

Paper Comments

     Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549-1090.

All submissions should refer to File Number SR-NASDAQ-2012-016. This
file number should be included on the subject line if email is used.
    To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments,
all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for Web site
viewing and printing in the Commission's Public Reference Room on
official business days between the hours of 10 a.m. and 3 p.m. Copies
of such filing also will be available for inspection and copying at the
principal offices 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-NASDAQ-2012-016, and should be submitted on or before
February 27, 2012.

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

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

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-2588 Filed 2-3-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: April 11, 2008 (Volume 73, Number 71)]
[Notices]
[Page 19858-19859]
[DOCID:fr11ap08-66]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

[USCG-2008-0222]

Information Collection Request to Office of Management and
Budget; OMB Control Numbers: 1625-0067 and 1625-0068

AGENCY: Coast Guard, DHS.

ACTION: Sixty-day notice requesting comments.

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

SUMMARY: In compliance with the Paperwork Reduction Act of 1995, the
U.S. Coast Guard intends to submit Information Collection Requests
(ICRs) and Analyses to the Office of Management and Budget (OMB)
requesting an extension of their approval for the following collections
of information: (1) 1625-0067, Claims Under the Oil Pollution Act of
1990 and (2) 1625-0068, State Access to the Oil Spill Liability Trust
Fund for Removal Costs Under the Oil Pollution Act of 1990. Before
submitting these ICRs to OMB, the Coast Guard is inviting comments as
described below.

DATES: Comments must reach the Coast Guard on or before June 10, 2008.

ADDRESSES: To avoid duplicate submissions to the docket [USCG-2008-
0222], please use only one of the following means:
    (1) Online: http://www.regulations.gov.
    (2) 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.
    (3) Hand delivery: To DMF between the hours of 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. The telephone number is
202-366-9329.
    (4) Fax:<PHONE_NUMBER>.
    The DMF maintains the public docket for this notice. Comments and
material received from the public, as well as documents mentioned in
this notice as being available in the docket, will become part of this
docket and will be available for inspection or copying at room W12-140
on the West Building Ground Floor, 1200 New Jersey Avenue, SE.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays. You may also find this docket on the Internet
at http://www.regulations.gov.
    Copies of the complete ICR is available through this docket on the
Internet at http://www.regulations.gov. Additionally, copies are
available from Commandant (CG-611), U.S. Coast Guard Headquarters,
(Attn: Mr. Arthur Requina), 2100 2nd Street, SW., Washington, DC 20593-
0001. The telephone number is<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Mr. Arthur Requina, Office of
Information Management, telephone<PHONE_NUMBER>, or fax<PHONE_NUMBER>,
for questions on these documents. Contact Ms. Renee V. Wright, Program
Manager, Docket

Operations,<PHONE_NUMBER>, for questions on the docket.

SUPPLEMENTARY INFORMATION:

Public Participation and Request For Comments

    The Coast Guard invites comments on whether this information
collection request should be granted based on it being necessary for
the proper performance of Departmental functions. In particular, the
Coast Guard would appreciate comments addressing: (1) The practical
utility of the collections; (2) the accuracy of the estimated burden of
the collections; (3) ways to enhance the quality, utility, and clarity
of information subject to the collections; and (4) ways to minimize the
burden of collections on respondents, including the use of automated
collection techniques or other forms of information technology.
    We encourage you to respond to this request by submitting comments
and related materials. We will post all comments received, without
change, to http://www.regulations.gov. They will include any personal
information you provide. We have an agreement with DOT to use their
DMF. Please see the paragraph on DOT's ``Privacy Act Policy'' below.
    Submitting comments: If you submit a comment, please include the
docket number [USCG-2008-0222], indicate the specific section of the
document to which each comment applies, providing a reason for each
comment. We recommend you include your name, mailing address, an e-mail
address, or other contact information in the body of your document so
that we can contact you if we have questions regarding your submission.
You may submit your comments and material by electronic means, mail,
fax, or delivery to the DMF at the address under ADDRESSES; but please
submit them by only one means. If you submit them by mail or 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 them 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. We may change
the documents supporting this collection of information or even the
underlying requirements in view of them.
    Viewing comments and documents: Go to http://www.regulations.gov to
view documents mentioned in this notice as being available in the
docket. Enter the docket number [USCG-2008-0222] in the Search box, and
click, ``Go>>.'' You may also visit the DMF in room W12-140 on the West
Building Ground Floor, 1200 New Jersey Avenue, SE., Washington, DC,
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays.
    Privacy Act: Anyone can search the electronic form of all comments
received in 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 the Privacy
Act Statement of DOT in the Federal Register published on April 11,
2000 (65 FR 19477), or by visiting http://DocketsInfo.dot.gov.

Information Collection Request

    1. Title: Claims Under the Oil Pollution Act of 1990.
    OMB Control Number: 1625-0067.
    Summary: The Coast Guard will use the information collected under
this information collection request to: (1) Determine whether oil-
spill-related claims submitted to the Oil Spill Liability Trust Fund
under section 1013 of the Oil Pollution Act of 1990 (33 U.S.C. 2713)
are compensable and; (2) if they are, to ensure proper compensation for
the claimant.
    Need: If the respondents do not comply with this reporting
requirement in 33 CFR Part 136, they will not be able to document
uncompensated removal costs and damages resulting from the discharge,
substantial threat of discharge of oil from a vessel or facility into
or upon the navigable waters, adjoining shorelines, or the exclusive
economic zone. The claimant bears the burden of providing all evidence,
information, and documentation deemed necessary by the Director of the
National Pollution Funds Center to support the claim.
    Respondents: Claimants and responsible parties of oil spills.
    Frequency: On occasion.
    Burden Estimate: The estimated burden has decreased from 14,800
hours to 8,267 hours per year.
    2. Title: State Access to the Oil Spill Liability Trust Fund for
Removal Costs Under the Oil Pollution Act of 1990.
    OMB Control Number: 1625-0068
    Summary: The Coast Guard will use information provided by the State
to the Coast Guard National Pollution Funds Center to determine whether
those expenditures regarding the Oil Spill Liability Trust Fund are
compensable under 33 U.S.C. 2713 and, if they are, to ensure payment of
the correct amount of funding from the Fund.
    Need: If the respondents do not comply with this reporting
requirement in 33 CFR Part 133, they will not be able to document
uncompensated removal costs or damages resulting from the discharge, or
substantial threat of discharge, of oil from a vessel or facility into
or upon the navigable waters, adjoining shorelines, or the exclusive
economic zone. Additionally, they will not be able to demonstrate or
show that they qualify for claims compensation under the Oil Pollution
Act of 1990 (OPA). Currently, the States work with the Federal On-Scene
Coordinator and receive compensation through reimbursable agreements.
    Respondents: Anyone claiming an OPA damage or removal cost as a
result of an OPA incident.
    Frequency: On occasion.
    Burden Estimate: The estimated burden remains 3 hours per year.

    Dated: April 3, 2008.
D. T. Glenn,
Rear Admiral, U.S. Coast Guard, Assistant Commandant for Command,
Control, Communications, Computers and Information Technology.
 [FR Doc. E8-7674 Filed 4-10-08; 8:45 am]

BILLING CODE 4910-15-P


[Federal Register: December 31, 2008 (Volume 73, Number 251)]
[Notices]
[Page 80389-80390]
[DOCID:fr31de08-50]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPP-2008-0533; FRL-8392-1]

Notice of Filing of Pesticide Petition on Food Contact Surfaces

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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

SUMMARY: This notice announces the initial filing of pesticide
petitions proposing the amendment of regulations 40 CFR 180.940(a) for
residues of antimicrobial pesticide formulation containing n-Alkyl(C12-
C14) dimethyl ethylbenzyl ammonium chlorides applied to food contact
surfaces in public eating places, dairy processing equipment, and food
processing equipment and utensils.

DATES: Comments must be received on or before January 30, 2009.

ADDRESSES:  Submit your comments, identified by docket identification
(ID) number EPA-HQ-OPP-2008-0533 and pesticide petition number (PP), by
one of the following methods:
     Federal eRulemaking Portal:  http://www.regulations.gov.
Follow the on-line instructions for submitting comments.
     Mail: Office of Pesticide Programs (OPP) Regulatory Public
Docket (7502P), Environmental Protection Agency, 1200 Pennsylvania
Ave., NW., Washington, DC 20460-0001.
     Delivery: OPP Regulatory Public Docket (7502P),
Environmental Protection Agency, Rm. S-4400, One Potomac Yard (South
Bldg.), 2777 S. Crystal Dr., Arlington, VA. Deliveries are only
accepted during the Docket's normal hours of operation (8:30 a.m. to 4
p.m., Monday through Friday, excluding legal holidays). Special
arrangements should be made for deliveries of boxed information. The
Docket telephone number is<PHONE_NUMBER>.
    Instructions: Direct your comments to docket ID number EPA-HQ-OPP-
2008-0533. EPA's policy is that all comments received will be included
in the docket without change and may be made available on-line at
http://www.regulations.gov, including any personal information
provided, unless the comment includes information claimed to be
Confidential Business Information (CBI) or other information whose
disclosure is restricted by statute. Do not submit information that you
consider to be CBI or otherwise protected through regulations.gov or e-
mail. The Federal regulations.gov website is an ``anonymous access''
system, which means EPA will not know your identity or contact
information unless you provide it in the body of your comment. If you
send an e-mail comment directly to EPA without going through
regulations.gov, your e-mail address will be automatically captured and
included as part of the comment that is placed in the docket and made
available on the Internet. If you submit an electronic comment, EPA
recommends that you include your name and other contact information in
the body of your comment and with any disk or CD-ROM you submit. If EPA
cannot read your comment due to technical difficulties and cannot
contact you for clarification, EPA may not be able to consider your
comment. Electronic files should avoid the use of special characters,
any form of encryption, and be free of any defects or viruses.
    Docket: All documents in the docket are listed in the docket index.
Although listed in the index, some information is not publicly
available, e.g., CBI or other information whose disclosure is
restricted by statute. Certain other material, such as copyrighted
material, is not placed on the Internet and will be publicly available
only in hard copy form. Publicly available docket materials are
available either in the electronic docket at http://
www.regulations.gov, or, if only available in hard copy, at the OPP
Regulatory Public Docket in Rm. S-4400, One Potomac Yard (South Bldg.),
2777 S. Crystal Dr., Arlington, VA. The hours of operation of this
Docket Facility are from 8:30 a.m. to 4 p.m., Monday through Friday,
excluding legal holidays. The Docket telephone number is (703) 305-
5805.

FOR FURTHER INFORMATION CONTACT: Velma Noble, Antimicrobials Division
(7510 P), Office of Pesticide Programs, Environmental Protection
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460; telephone
number:<PHONE_NUMBER>, email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this Action Apply to Me?

    You may be potentially affected by this action if you are an
agricultural producer, food manufacturer, or pesticide manufacturer.
Potentially affected entities may include, but are not limited to:
     Crop production (NAICS code 111).
     Animal production (NAICS code 112).
     Food manufacturing (NAICS code 311).
     Pesticide manufacturing (NAICS code 32532).
    This listing is not intended to be exhaustive, but rather provides
a guide for readers regarding entities likely to be affected by this
action. Other types of entities not listed in this unit could also be
affected. The North American Industrial Classification System (NAICS)
codes have been provided to assist you and others in determining
whether this action might apply to certain entities. If you have any
questions regarding the applicability of this action to a particular
entity, consult the person listed at the end of the pesticide petition
summary of interest.

B. What Should I Consider as I Prepare My Comments for EPA?

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

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

II. What Action is the Agency Taking?

    EPA is printing a summary of each pesticide petition received under
section 408 of the Federal Food, Drug, and Cosmetic Act (FFDCA), 21
U.S.C. 346a, proposing the establishment or amendment of regulations in
40 CFR part 180 for residues of pesticide chemicals in or on various
food commodities. EPA has determined that this pesticide petition
contains data or information regarding the elements set forth in FFDCA
section 408(d)(2); however, EPA has not fully evaluated the sufficiency
of the submitted data at this time or whether the data support granting
of the pesticide petition. Additional data may be needed before EPA
rules on this pesticide petition.
    Pursuant to 40 CFR 180.7(f), a summary of the petition included in
this notice, prepared by the petitioner along with a description of the
analytical method available for the detection and measurement of the
pesticide chemical residues is available on EPA's Electronic Docket at
http://www.regulations.gov/. To locate this information on the home
page of EPA's Electronic Docket, select ``Quick Search'' and type the
OPP docket ID number. Once the search has located the docket, clicking
on the ``Docket ID'' will bring up a list of all documents in the
docket for the pesticide including the petition summary.

Amendment to Existing Tolerance Exemption

    PP 8F7323. Stepan Company, 22 West Frontage Rd., Northfield, IL
60093, proposes to amend the tolerance in 40 CFR 180.190(a) for
residues of the antimicrobial pesticide formulations containing n-Alkyl
(C12-C14) dimethyl ethylbenzyl ammonium chlorides that may be applied
to food contact surfaces in public eating places, dairy processing
equipment, and food processing equipment and utensils. When ready for
use, end-use concentration of total quaternary chemicals, n-Alkyl (C12-
C14) dimethyl ethylbenzyl ammonium chlorides, in solution is not to
exceed 400 parts per million (ppm). Analytical method is not necessary
since these quaternary ammonium compounds are exempt from the
requirement of a tolerance.

List of Subjects

    Environmental protection, Food Contact Sanitizers, ADBAC, Food
additives, Pesticides and pests, Reporting and recordkeeping
requirements.

    Dated: December 17, 2008.
 Joan Harrigan-Farrelly,
Director, Antimicrobials Division, Office of Pesticide Programs.

[FR Doc. E8-31008 Filed 12-30-08; 8:45 am]

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