[Federal Register Volume 76, Number 92 (Thursday, May 12, 2011)]
[Notices]
[Pages 27693-27694]
[FR Doc No: 2011-11669]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-64419; File No. SR-Phlx-2011-64]

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of
Filing of Proposed Rule Change To Amend Rule 3100(a)(4) To Include
Additional Securities in the Pilot by Which Such Rule Operates

May 6, 2011.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on May 4, 2011, NASDAQ OMX PHLX LLC (``Exchange''), filed with the
Securities and Exchange Commission (``Commission'') the proposed rule
change as described in Items I and II below, which Items have been
prepared by the Exchange. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend Rule 3100(a)(4) to include
additional securities in the pilot by which such rule operates.
    The text of the proposed rule change is below. Proposed new
language is italicized; proposed deletions are in brackets.
* * * * *

Rule 3100. Trading Halts on PSX

(a) Authority To Initiate Trading Halts or Pauses

    In circumstances in which the Exchange deems it necessary to
protect investors and the public interest, and pursuant to the
procedures set forth in paragraph (c):
    (1)-(3) No change.
    (4) If a primary listing market issues an individual stock
trading pause in any of the Circuit Breaker Securities, as defined
herein, the Exchange will pause trading in that security until
trading has resumed on the primary listing market. If, however,
trading has not resumed on the primary listing market and ten
minutes have passed since the individual stock trading pause message
has been received from the responsible single plan processor, the
Exchange may resume trading in such stock. The provisions of this
paragraph (a)(4) shall be in effect during a pilot set to end on the
earlier of August 11, 2011 or the date on which a limit up/limit
down mechanism to address extraordinary market volatility, if
adopted, applies. During the pilot, the term ``Circuit Breaker
Securities'' shall mean any NMS stock [the securities included in
the S&P 500[supreg] Index and the Russell 1000[supreg]
Index, as well as a pilot list of Exchange Traded Products].
    (b)-(c) 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
    The Exchange proposes to amend Rule 3100(a)(4) to include
additional securities in the pilot by which such rule operates.
    On June 10, 2010, the Commission granted accelerated approval, for
a pilot period to end December 10, 2010, of proposed rule changes
submitted by the BATS Exchange, Inc., NASDAQ OMX BX, Inc., Chicago
Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc.,
EDGA Exchange, Inc., EDGX Exchange, Inc., International Securities
Exchange LLC, The NASDAQ Stock Market LLC (``NASDAQ''), New York Stock
Exchange LLC (``NYSE''), NYSE Amex LLC (``NYSE Amex''), NYSE Arca, Inc.
(``NYSE Arca''), and National Stock Exchange, Inc. (collectively, the
``Exchanges''), to pause trading during periods of extraordinary market
volatility in S&P 500 stocks.\3\ The rules require the Listing Markets
\4\ to issue five-minute trading pauses for individual securities for
which they are the primary Listing Market if the transaction price of
the security moves ten percent or more from a price in the preceding
five-minute period. The Listing Markets are required to notify the
other Exchanges and market participants of the imposition of a trading
pause by immediately disseminating a special indicator over the
consolidated tape. Under the rules, once the Listing Market issues a
trading pause, the other Exchanges are required to pause trading in the
security on their markets. On September 10, 2010, the Commission
approved the respective rule filings of the Exchanges to expand
application of the pilot to securities comprising the Russell
1000[supreg] Index and specified Exchange Traded Products.\5\
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    \3\ See Securities Exchange Act Release No. 62252 (June 10,
2010), 75 FR 34186 (June 16, 2010).
    \4\ The term ``Listing Markets'' refers collectively to NYSE,
NYSE Amex, NYSE Arca, and NASDAQ.
    \5\ See Securities Exchange Act Release No. 62884 (September 10,
2010), 75 FR 56618 (September 16, 2010).
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    In connection with its resumption of trading of NMS Stocks through
the NASDAQ OMX PSX system, the Exchange adopted Rule 3100(a)(4) so that
it could participate in the pilot program.\6\ On September 29, 2010,
the Exchange amended Rule 3100(a)(4) to include stocks comprising the
Russell 1000[supreg] Index and specified Exchange Traded Products.\7\
On December 7, 2010, the Exchange filed an immediately effective filing
to extend the existing pilot program for four months, so that the pilot
would expire on April 11, 2011.\8\ On March 31, 2011, the Exchange
filed an immediately effective filing to extend the existing pilot
program for four months, so that the pilot would expire on the earlier
of August 11, 2011 or the date on which a limit up/limit down mechanism
to address extraordinary market volatility, if adopted, applies.\9\
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    \6\ See Securities Exchange Act Release No. 62877 (September 9,
2010), 75 FR 56633 (September 16, 2010) (SR-Phlx-2010-79).
    \7\ See Securities Exchange Act Release No. 63004 (September 29,
2010), 75 FR 61547 (October 5, 2010) (SR-Phlx-2010-126).
    \8\ See Securities Exchange Act Release No. 63504 (December 9,
2010), 75 FR 78304 (December 15, 2010) (SR-Phlx-2010-174).
    \9\ See Securities Exchange Act Release No. 64175 (April 4,
2011), 76 FR 19823 (April 8, 2011) (SR-Phlx-2011-44).
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    The Exchanges have continued to assess whether additional
securities need to be added to the Pilot and whether the parameters of
the Circuit Breaker Pilot needs to be modified to accommodate trading
characteristics of different securities. In consultation with other
markets and the staff of the Commission, the Exchanges are proposing to
include all NMS stocks within the Pilot that are not already included
therein, but to apply a wider price move percentage to the newly

added securities.\10\ Specifically, NYSE, NYSE Amex, NYSE Arca, and
NASDAQ, as the listing markets, are proposing to set the price move
required to trigger a trading pause for the proposed new securities to
be 30% or more for such securities priced at $1 or higher and 50% or
more for such securities priced less than $1. The listing markets
believe that applying a broader percentage to securities priced less
than $1 compared to those priced above $1 is appropriate given that
lower-priced securities tend to be more volatile, and price movements
of lower-priced securities equate to a higher percentage move than a
similar price change for a higher-priced security. The listing markets
also believe that, since the newly added securities are not currently
included in the S&P 500 Index, Russell 1000 Index, or specified ETPs,
they are more likely to be less liquid securities or securities with
lower trading volumes. Accordingly, the Exchanges believe that broader
price move percentages would be appropriate. Similarly, because
leveraged ETPs trade at a ratio against the associated index, a broader
price move percentage would also be appropriate for leveraged ETPs. As
such, the Exchange proposes to delete language concerning the limited
application of pauses in Circuit Breaker Securities from the rule's
text, as the text therein would no longer be necessary, and to define
Circuit Breaker Securities as all NMS stocks.
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    \10\ Certain of the Exchanges that have market maker
requirements are modifying their market maker obligations to fit
within these new Pilot price move percentages.
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2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\11\ in general, and furthers the objectives of Section
6(b)(5),\12\ in particular, in that it is designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to foster cooperation and coordination
with persons engaged in facilitating transactions in securities, and to
remove impediments to and perfect the mechanism of a free and open
market and a national market system. The proposed rule change also is
designed to support the principles of Section 11A(a)(1) \13\ of the Act
in that it seeks to ensure fair competition among brokers and dealers
and among exchange markets. The Exchange believes that the proposed
rule meets these requirements because it expands the scope of the Pilot
to cover all NMS stocks, consistent with similar proposals submitted by
the other Exchanges.
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    \11\ 15 U.S.C. 78f(b).
    \12\ 15 U.S.C. 78f(b)(5).
    \13\ 15 U.S.C. 78k-1(a)(1).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
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

    Within 45 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:
    (A) By order approve or disapprove such proposed rule change, or
    (B) Institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-Phlx-2011-64 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-Phlx-2011-64. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make publicly available. All
submissions should refer to File Number SR-Phlx-2011-64 and should be
submitted on or before June 2, 2011.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\14\
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    \14\ 17 CFR 200.30-3(a)(12).
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Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-11669 Filed 5-11-11; 8:45 am]
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[Federal Register Volume 80, Number 167 (Friday, August 28, 2015)]
[Notices]
[Pages 52272-52273]
[FR Doc No: 2015-21384]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OEI-2014-0776; FRL-9933-14-OEI]

Creation of a New System of Records Notice: Eventbrite

AGENCY: U.S. Environmental Protection Agency.

ACTION: Notice.

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SUMMARY: The U.S. Environmental Protection Agency's (EPA) Office of the
Chief Financial Officer is giving notice that it proposes to create a
new system of records pursuant to the provisions of the Privacy Act of
1974 (5 U.S.C. 552a). This system of records contains personally
identifiable information (PII) collected from individuals registering
to attend EPA-hosted meetings and events.

DATES: Persons wishing to comment on this system of records notice must
do so by October 7, 2015.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OEI-2014-0776, by one of the following methods:
     www.regulations.gov: Follow the online instructions for
submitting comments.
     Email<EMAIL_ADDRESS>     Fax:<PHONE_NUMBER>.
     Mail: OEI Docket, Environmental Protection Agency,
Mailcode: 2822T, 1200 Pennsylvania Ave. NW., Washington, DC 20460.
     Hand Delivery: OEI Docket, EPA/DC, WJC West Building, Room
3334, 1301 Constitution Ave. NW., Washington, DC. Such deliveries are
only accepted during the Docket's normal hours of operation, and
special arrangements should be made for deliveries of boxed
information.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OEI-
2014-0776. The EPA's policy is that all comments received will be
included in the public docket without change and may be made available
online at www.regulations.gov including any personal information
provided, unless the comment includes information claimed to be
Confidential Business Information (CBI) or other information for which
disclosure is restricted by statute. Do not submit information that you
consider to be CBI or otherwise protected through www.regulations.gov.
The www.regulations.gov Web site is an ``anonymous access'' system,
which means the EPA will not know your identity or contact information
unless you provide it in the body of your comment. If you send an email
comment directly to the EPA without going through www.regulations.gov
your email address will be automatically captured and included as part
of the comment that is placed in the public docket and made available
on the Internet. If you submit an electronic comment, the 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 the
EPA cannot read your comment due to technical difficulties and cannot
contact you for clarification, the 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. For
additional information about the EPA's public docket visit the EPA
Docket Center homepage at http://www.epa.gov/epahome/dockets.htm.
    Docket: All documents in the docket are listed in the
www.regulations.gov index. Although listed in the index, some
information is not publicly available, e.g., CBI or other information
for which disclosure is restricted by statute. Certain other material,
such as copyrighted material, will be publicly available only in hard
copy. Publicly available docket materials are available either
electronically in www.regulations.gov or in hard copy at the OEI
Docket, EPA/DC, EPA West Building, Room 3334, 1301 Constitution Ave.
NW., Washington, DC 20004. The Public Reading Room is open from 8:30
a.m. to 4:30 p.m., Monday through Friday excluding legal holidays. The
telephone number for the Public Reading Room is<PHONE_NUMBER>, and the
telephone number for the OEI Docket is<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Jessica Orquina, U.S. EPA, 202-564-
0446.

SUPPLEMENTAL INFORMATION:

General Information

    The U.S. Environmental Protection Agency (EPA) plans to create a
Privacy Act system of records for the online registration tool,
Eventbrite. Eventbrite is a free, online registration tool that can be
used to collect basic information for meetings and other events. Agency
users can customize the registration page to a certain degree and
upload images, such as a company logo or seal. For official EPA
business, Agency users are permitted to upload the EPA logo or seal,
and follow the format, U.S. EPA Meeting/Event Name, for their title.
The information collected by Eventbrite is used to determine the number
of participants attending an event and may also be used to print
nametags or tent cards. In order to register for an EPA meeting or
event, it is necessary to collect basic personal information, such as
name, title, organization, mailing address, email address, and phone
number. This information will be used for internal Agency purposes only
and will not be shared with a third party other than Eventbrite. The
information collected will be used for the specific event only and will
not be used for marketing or other purposes after the event has
concluded. The individual attending the meeting will be permitted to
opt out of using the online registration tool if they prefer not to
share their information in this manner. On the Eventbrite page, the
event organizer can enter contact information for a designated point of
contact who can answer questions about the event or collect
registration information over the phone. This tool may be used by EPA
employees at no cost to the government. In order to use this tool for
official EPA business, an account must be set up using an epa.gov email
address, for example<EMAIL_ADDRESS>    Each Eventbrite registration Web site has a unique ``URL'' or Web
site address associated with it. The URL can only be accessed by
individuals who receive it from the event organizer. There will be no
publicly accessible Web site that will list invitation-only events and
so there will not be an opportunity for anyone other than the intended
audience to register for such events. Registration information will be
saved on the password-protected Eventbrite.com Web site and only the
designated organizer for a given event will be authorized and

permitted to access the information. Once accessed and downloaded, the
registration information will be saved on the EPA server. There will be
no central location on the EPA server where registration information
will be maintained. Registration information will be saved by the event
organizer in the EPA office that is organizing the event. Therefore,
the only person or people who will have access to the registration
information will be EPA staff who have access to the EPA network drive
used to store the information. Each office has their own secure network
drive, so the information collected by each office will be secure
within that office.

    Dated: August 19, 2015.
Ann Dunkin,
Chief Information Officer.
EPA-69

System Name:
    Eventbrite.

System Location:
    Records are located in EPA offices, on computer servers in
Headquarters, Regional Offices and at the third-party location.

Categories of Individuals Covered by the System:
    Any individual that registers for an EPA-organized event using
Eventbrite.com.

Categories of Records in the System:
    Information to be collected for purposes of creating an attendee
roster for a specific event. Information collected may include name,
title, organization, mailing address, email address, phone number, and
special accommodations (such as visual or hearing impairment).

Authority for Maintenance of the System (includes any revisions or
amendments):
    Section 2 of the E-Government Act of 2002 (Pub. L. 107-347, 44
U.S.C. 3601 n.); Section 2 of the Paperwork Reduction Act of 1995 (Pub.
L. 104-13, 44 U.S.C. 3501)

Purpose(s):
    The purpose of the Eventbrite tool is to collect information on
meeting attendees that can be used for a head count, attendee roster,
or printed materials, such as nametags and tent cards.

Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
    General routine uses B, H, I, J, K, and L apply to this system. (A
detailed description of these routine uses can be found in the Agency's
Systems of Records Web site at http://www.epa.gov/privacy/notice/general.htm.)

Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
     Storage: Once information is downloaded from the
Eventbrite site to the EPA server, it will be saved to a secure drive
in the office that is organizing the event. Records will be saved in
electronic format. A printed registration list may be generated for the
specific event to be used onsite to track participation, but the list
will not be duplicated or distributed to meeting attendees or other
event participants.
     Retrievability: Registration information is downloaded
from the Eventbrite site in Microsoft Excel format. Each record
includes the date the participant registered. Records saved in Excel
format may be sorted and retrieved by any of the categories included on
the registration form used for any particular event (i.e., name, email
address, state, organization, or job title). Files may be saved in
Excel or PDF format.
     Safeguards: This information can only be downloaded from
the Eventbrite site by the event organizer, using an account specific
password. The information will be saved on EPA's secure server within
the event sponsoring office. The only EPA staff who will be able to
access the registration information are those staff with security
access to their office's server.
     Retention and Disposal: Records stored in this system are
subject to Schedule 483.

System Manager(s) and Address:
    Acting Associate Director of Web Communications and Social Media
Lead, OPA/OWC, U.S. Environmental Protection Agency, 1200 Pennsylvania
Avenue NW., Washington, DC 20460.

Notification Procedure:
    Any individual who wants to know whether this system of records
contains a record about him or her, who wants access to his or her
record, or who wants to contest the contents of a record, should make a
written request to the EPA FOIA Office, Attn: EPA Privacy Officer,
MC2822T, 1200 Pennsylvania Avenue NW., Washington, DC 20460.

Record Access Procedure:
    Individuals seeking access to information in this system of records
about themselves are required to provide adequate identification (e.g.
driver's license, military identification card, employee badge or
identification card). Additional identity verification procedures may
be required, as warranted. Requests must meet the requirements of EPA
regulations that implement the Privacy Act of 1974, at 40 CFR part 16.

Contesting Records Procedures:
    Requests for correction or amendment must identify the record to be
changed and the corrective action sought. The EPA's procedures for
making a Privacy Act request can be found in EPA's Privacy Act
regulations at 40 CFR part 16.

Record Source Categories:
    The information stored in the system will be provided by the
individuals registering for an EPA event.

System Exempted from Certain Provisions of the Privacy Act:
    None.

[FR Doc. 2015-21384 Filed 8-27-15; 8:45 am]
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