[Federal Register Volume 85, Number 211 (Friday, October 30, 2020)]
[Notices]
[Pages 68869-68870]
[FR Doc No: 2020-24130]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OECA-2013-0346; FRL--10016-44-OMS]

Information Collection Request Submitted to OMB for Review and
Approval; Comment Request; NESHAP for Area Sources: Acrylic and
Modacrylic Fibers Production, Carbon Black Production, Chemical
Manufacturing: Chromium Compounds, Flexible Polyurethane Foam
Production and Fabrication, Lead Acid Battery Manufacturing, and Wood
Preserving (Renewal)

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: The Environmental Protection Agency (EPA) has submitted an
information collection request (ICR), NESHAP for Area Sources: Acrylic
and Modacrylic Fibers Production, Carbon Black Production, Chemical
Manufacturing: Chromium Compounds, Flexible Polyurethane Foam
Production and Fabrication, Lead Acid Battery Manufacturing, and Wood
Preserving (EPA ICR Number 2256.06, OMB Control Number 2060-0598), to
the Office of Management and Budget (OMB) for review and approval in
accordance with the Paperwork Reduction Act. This is a proposed
extension of the ICR, which is currently approved through December 31,
2020. Public comments were previously requested, via the Federal
Register, on May 12, 2020 during a 60-day comment period. This notice
allows for an additional 30 days for public comments. A fuller
description of the ICR is given below, including its estimated burden
and cost to the public. An agency may neither conduct nor sponsor, and
a person is not required to respond to, a collection of information
unless it displays a currently valid OMB control number.

DATES: Additional comments may be submitted either on or before
November 30, 2020.

ADDRESSES: Submit your comments, referencing Docket ID Number EPA-HQ-
OECA-2013-0346,, online using www.regulations.gov (our preferred
method), by email to<EMAIL_ADDRESS>or by mail to: EPA Docket
Center, Environmental Protection Agency, Mail Code 28221T, 1200
Pennsylvania Ave. NW, Washington, DC 20460. EPA's policy is that all
comments received will be included in the public docket without change
including any personal information provided, unless the comment
includes profanity, threats, information claimed to be Confidential
Business Information (CBI), or other information whose disclosure is
restricted by statute.
    Submit written comments and recommendations to OMB for the proposed
information collection within 30 days of publication of this notice to
www.reginfo.gov/public/do/PRAMain. Find this particular information
collection by selecting ``Currently under 30-day Review--Open for
Public Comments'' or by using the search function.

FOR FURTHER INFORMATION CONTACT: Patrick Yellin, Monitoring,
Assistance, and Media Programs Division, Office of Compliance, Mail
Code 2227A, Environmental Protection Agency, 1200 Pennsylvania Ave. NW,
Washington, DC 20460; telephone number:<PHONE_NUMBER>; fax number:
(202) 564-0050; email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Supporting documents which explain in detail
the information that the EPA will be collecting are available in the
public docket for this ICR. The docket can be viewed online at
www.regulations.gov, or in person at the EPA Docket Center, WJC West,
Room 3334, 1301 Constitution Ave. NW, Washington, DC. The telephone
number for the Docket Center is<PHONE_NUMBER>. For additional

information about EPA's public docket, visit: http://www.epa.gov/dockets.
    Abstract: EPA established NESHAP for seven area source categories.
The requirements for two area source categories (Flexible Polyurethane
Foam Production and Flexible Polyurethane Foam Fabrication) are
combined in one Subpart. These standards include emissions limitations
and work practice requirements for new and existing plants based on the
generally-available control technology or management practices (GACT)
for each area source category. Potential respondents include two
existing acrylic and modacrylic production facility, one existing
carbon black production plant, two existing chromium product
manufacturing facilities, 500 existing flexible polyurethane foam
production and fabrication facilities, 41 existing lead acid battery
manufacturing facilities, and 393 existing wood preserving facilities.
The total annual responses attributable to this ICR for existing
sources are two one-time notifications; some existing facilities may be
required to prepare a startup, shutdown, and malfunction plan, perform
additional monitoring and recordkeeping, and/or conduct an initial
performance test. The owner or operator of a new area source would be
required to comply with all requirements of the General Provisions (40
CFR part 63, subpart A).
    Form Numbers: None.
    Respondents/affected entities: Acrylic and modacrylic fibers
production, carbon black production, chemical manufacturing: chromium
compounds, flexible polyurethane foam production and fabrication, lead
acid battery manufacturing, and wood preserving facilities.
    Respondent's obligation to respond: Mandatory (40 CFR part 63,
subparts LLLLLL, MMMMMM, NNNNNN, OOOOOO, PPPPPP, and QQQQQQ).
    Estimated number of respondents: 939 (total).
    Frequency of response: Initially, semiannually, and occasionally.
    Total estimated burden: 5,730 hours (per year). Burden is defined
at 5 CFR 1320.3(b).
    Total estimated cost: $671,000 (per year), which includes no
annualized capital/startup and/or operation & maintenance costs.
    Changes in the Estimates: There is a decrease in burden from the
most-recently approved ICR due to an adjustment. The decrease is due to
a decrease in the number of sources as a result of data gathered as
part of recent rulemaking efforts related to 40 CFR 63, Subpart PPPPPP,
NESHAP for Lead Acid Battery Manufacturing Area Sources. Additionally,
we have adjusted the number of respondents for 40 CFR 63, Subpart
LLLLLL and 40 CFR 63, Subpart MMMMMM to each reflect one additional
source. This change is based on our review of facilities with EIS IDs
reporting under Subparts LLLLLL and MMMMMM in the EPA's ECHO database.
The overall result is a decrease in the number of respondents and the
burden hours.

Courtney Kerwin,
Director, Regulatory Support Division.
[FR Doc. 2020-24130 Filed 10-29-20; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 86, Number 119 (Thursday, June 24, 2021)]
[Proposed Rules]
[Page 33153]
[FR Doc No: 2021-13405]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 117

[Docket No. USCG-2020-0658]
RIN 1625-AA09

Drawbridge Operation Regulation; Indian Creek, Miami Beach, FL

AGENCY: Coast Guard, DHS.

ACTION: Notice of reopening comment period.

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SUMMARY: The Coast Guard is reopening the comment period to solicit
additional comments concerning its Notice of Proposed Rulemaking to
change the drawbridge regulation governing the 63rd Street Bridge,
across Indian Creek, mile 4.0, at Miami Beach, Florida. The Coast Guard
received a request from the City of Miami Beach, Florida to reopen the
comment period. This request was made to allow the City of Miami Beach
and members of the public to comment as they were unaware of the
initial notice and comment period.

DATES: Comments and related material must reach the Coast Guard on or
before July 26, 2021.

ADDRESSES: You may submit comments identified by docket number USCG-
2020-0658 using Federal eRulemaking Portal at https://www.regulations.gov.
    See the ``Public Participation and Request for Comments'' portion
of the SUPPLEMENTARY INFORMATION section below for instructions on
submitting comments.

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice,
call or email Mr. Omar Beceiro, U.S. Coast Guard Sector Miami Waterways
Management; telephone<PHONE_NUMBER>, email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Background and Purpose

    On April 12, 2021, we published a notice of proposed rulemaking
(NPRM) entitled, ``Drawbridge Operation Regulation; Indian Creek, Miami
Beach, FL'' in the Federal Register (86 FR 18927). The original comment
period closed on May 27, 2021. The NPRM proposed the initial change to
the regulation governing the 63rd Street Bridge across Indian Creek,
mile 4.0, at Miami Beach, Florida and contains useful background and
analysis related to the initial proposed change. The public is
encouraged to review the NPRM.
    The City of Miami Beach requested the Coast Guard consider
reopening the comment period as the proposed regulation change impacts
their residents and they misunderstood the regulatory process.
Reopening the comment period will allow the City of Miami Beach to
provide notification of the action to their residents. This action
allows for a broader range of waterway and roadway users the comment on
the proposed rule.
    This notice reopening the comment period ensures notice and
opportunity to comment before making the proposed changes final.
    This notice is issued under authority of 33 U.S.C. 1223 and 5
U.S.C. 552.

II. Public Participation and Request for Comments

    We view public participation as essential to effective rulemaking,
and will consider all comments and material received during the comment
period. Your comment can help shape the outcome of this rulemaking. If
you submit a comment, please include the docket number for this
rulemaking, indicate the specific section of this document to which
each comment applies, and provide a reason for each suggestion or
recommendation.
    We encourage you to submit comments through the Federal eRulemaking
Portal at https://www.regulations.gov. If your material cannot be
submitted using https://www.regulations.gov, contact the person in the
FOR FURTHER INFORMATION CONTACT section of this document for alternate
instructions.
    We accept anonymous comments. All comments received will be posted
without change to https://www.regulations.gov and will include any
personal information you have provided. For more about privacy and
submissions in response to this document, see DHS's eRulemaking System
of Records notice (85 FR 14226, March 11, 2020).
    Documents mentioned in the NPRM as being available in this docket
and all public comments, will be in our online docket at https://www.regulations.gov and can be viewed by following that website's
instructions. Additionally, if you go to the online docket and sign up
for email alerts, you will be notified of any posting or updates to the
docket.

    Dated: June 15, 2021.
Randall D. Overton,
Director, Bridge Administration, Seventh Coast Guard District.
[FR Doc. 2021-13405 Filed 6-23-21; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 81, Number 52 (Thursday, March 17, 2016)]
[Notices]
[Pages 14524-14525]
[FR Doc No: 2016-06012]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

Contracting Initiative

AGENCY: Office of the Secretary (OST), Department of Transportation
(DOT).

ACTION: Notice.

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SUMMARY: The DOT has extended the contracting initiative pilot program
for a period of 1 year until March 6, 2017.

DATES: This pilot program became effective on March 6, 2015.

FOR FURTHER INFORMATION CONTACT: For technical information: Mr. Michael
Harkins, Deputy Assistant General Counsel for General Law, Office, U.S.
Department of Transportation, 1200 New Jersey Avenue SE., Washington,
DC 20590,<PHONE_NUMBER> (telephone<EMAIL_ADDRESS>(email).

SUPPLEMENTARY INFORMATION:

Electronic Access

    An electronic copy of this document may also be downloaded from the
Office of the Federal Register's home page at http://www.archives.gov/federal_register and the Government Printing Office's Web page at
http://www.gpoaccess.gov.

Background

    On March 6, 2015, DOT published a notice in the Federal Register
(80 FR 12257) establishing a contracting initiative pilot program under
which, Federal Highway Administration (FHWA) and Federal Transit
Administration (FTA) recipients and subrecipients could utilize various
contracting requirements that generally have been disallowed due to
concerns about adverse impacts on competition. The purpose of the pilot
program is to determine whether the use of such requirements ``unduly
limit competition,'' as provided in an August 23, 2013, opinion from
the Department of Justice's Office of Legal Counsel (OLC). DOT
established the pilot program for a period of 1 year unless extended.
DOT has decided to extend this pilot program for a period of 1
additional year until March 6, 2017. The extension of this pilot
program will provide FHWA and FTA recipients and subrecipients
flexibility to continue operating under the pilot program while DOT
conducts its evaluation as well as provide DOT with additional projects
to consider in evaluating the impacts on competition. The Department
extended the pilot program on March 4, 2016. A notice of extension was
posted on the Department's Web site at https://www.transportation.gov/regulations/whats-new.
    Please note that Section 415 of the Consolidated Appropriations
Act, 2016,

Public Law 114-113 (FY 2016 Appropriations Act), continues the
restriction on the Federal Transit Administration (FTA) from using FY
2016 funds to implement, administer or enforce 49 CFR 18.36(c)(2) for
construction hiring. Accordingly, FTA recipients and subrecipients do
not need to submit applications for participation in the pilot program
for contracts awarded or advertised on or before September 30, 2016.
    Additionally, we note that Section 192 of the FY 2016
Appropriations Act expressly authorizes DOT-assisted contracts under
titles 49 and 23 of the United States Code utilizing geographic,
economic, or other hiring preferences not otherwise authorized by law
if the grant recipient certifies the following:
    (1) That except with respect to apprentices or trainees, a pool of
readily available but unemployed individuals possessing the knowledge,
skill, and ability to perform the work that the contract requires
resides in the jurisdiction;
    (2) That the grant recipient will include appropriate provisions in
its bid document ensuring that the contractor does not displace any of
its existing employees in order to satisfy such hiring preference; and
    (3) That any increase in the cost of labor, training, or delays
resulting from the use of such hiring preference does not delay or
displace any transportation project in the applicable Statewide
Transportation Improvement Program or Transportation Improvement
Program.
    Accordingly, recipients and subrecipients should follow the
application process described in the March 6, 2015, Federal Register
notice (80 FR 12257) except that recipients and subrecipients must also
include the required certifications from Section 192 of the FY 2016
Appropriations Act as discussed above.

    Issued in Washington, DC, on March 8, 2016.
Anthony R. Foxx,
Secretary of Transportation.
[FR Doc. 2016-06012 Filed 3-16-16; 8:45 am]
BILLING CODE 4910-9X-P


[Federal Register Volume 76, Number 205 (Monday, October 24, 2011)]
[Notices]
[Pages 65777-65778]
[FR Doc No: 2011-27340]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket No. FRA-2011-0001-N-15]

Proposed Agency Information Collection Activities; Comment
Request

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

ACTION: Notice and Request for Comments.

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SUMMARY: In compliance with the Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et seq.), this notice announces that the Information
Collection Requirement (ICR) abstracted below is being forwarded to the
Office of Management and Budget (OMB) for review and comment. The ICR
describes the nature of the information collection and its expected
burden. The Federal Register notice with a 60-day comment period
soliciting comments on the following collection of information was
published on August 12, 2011 (76 FR 50320).

DATES: Comments must be submitted on or before November 23, 2011.

FOR FURTHER INFORMATION CONTACT: Mr. Robert Brogan, Office of Safety,
Planning and Evaluation Division, RRS-21, Federal Railroad
Administration, 1200 New Jersey Ave., SE., 3rd Floor, Mail Stop 25,
Washington, DC 20590 (telephone:<PHONE_NUMBER>), or Ms. Kimberly
Toone, Office of Information Technology, RAD-20, Federal Railroad
Administration, 1200 New Jersey Ave., SE., 3rd Floor, Mail Stop 35,
Washington, DC 20590 (telephone:<PHONE_NUMBER>). (These telephone
numbers are not toll-free.)

SUPPLEMENTARY INFORMATION: The Paperwork Reduction Act of 1995 (PRA),
Public Law 104-13, Section 2, 109 Stat. 163 (1995) (codified as revised
at 44 U.S.C. 3501-3520), and its implementing regulations, 5 CFR Part
1320, require Federal agencies to issue two notices seeking public
comment on information collection activities before OMB may approve
paperwork packages. 44 U.S.C. 3506, 3507; 5 CFR 1320.5, 1320.8(d)(1),
1320.12. On August 12, 2011, FRA published a 60-day notice in the
Federal Register soliciting comment on this ICR for which the agency
was seeking OMB approval. 76 FR 50320. FRA received no comments in
response to this notice.
    Before OMB decides whether to approve these proposed collections of
information, it must provide 30 days for public comment. 44 U.S.C.
3507(b); 5 CFR 1320.12(d). Federal law requires OMB to approve or
disapprove paperwork packages between 30 and 60 days after the 30 day
notice is published. 44 U.S.C. 3507 (b)-(c); 5 CFR 1320.12(d); see also
60 FR 44978, 44983, Aug. 29, 1995. OMB believes that the 30 day notice
informs the regulated community to file relevant comments and affords
the agency adequate time to digest public comments before it renders a
decision. 60 FR 44983, Aug. 29, 1995. Therefore, respondents should
submit their respective comments to OMB within 30 days of publication
to best ensure having their full effect. 5 CFR 1320.12(c); see also 60
FR 44983, Aug. 29, 1995.
    The summary below describes the nature of the information
collection requirement (ICR) and the expected burden for the ICR being
submitted for clearance by OMB as required by the PRA.
    Title: Inspection Brake System Safety Standards for Freight and
Other Non-Passenger Trains and Equipment (Power Brakes and Drawbars).
    OMB Control Number: 2130-0008.
    Type of Request: Extension of a currently approved collection.
    Affected Public: Businesses.
    Abstract: Section 7 of the Rail Safety Enforcement and Review Act
of 1992, Public Law 102-365, amended Section 202 of the Federal
Railroad Safety Act of 1970 (45 U.S.C. 421, 431 et seq.), empowered the
Secretary of Transportation to conduct a review of the Department's
rules with respect to railroad power brakes and, where applicable,
prescribe standards regarding dynamic brake equipment. In keeping with
the Secretary's mandate and the authority delegated from him to the FRA
Administrator, FRA issued revisions to the regulations governing
freight power brakes and equipment in October 2008 by adding a new
Subpart addressing electronically controlled pneumatic (ECP) brake
systems. The revisions are designed to provide for and encourage the
safe implementation and use of ECT brake system technologies. These
revisions contain specific requirements relating to design,
interoperability, training, inspection, testing, handling defective
equipment and periodic maintenance related to ECP brake systems. The
final rule also identifies provisions of the existing regulations and
statutes where FRA is proposing to provide flexibility to facilitate
the voluntary adoption of this advanced brake system technology. The
collection of information is used by FRA to monitor and enforce current
regulatory requirements related to power brakes on freight cars as well
as the recently added requirements related to ECP brake systems. The
collection of information is also used by locomotive engineers and road
crews to verify that the terminal air brake test has been performed in
a satisfactory manner.
    Form Number(s): N/A.
    Annual Estimated Burden Hours: 990,660 hours.
    Addressee: Send comments regarding this information collection to
the Office of Information and Regulatory Affairs, Office of Management
and Budget, 725 Seventeenth Street, NW., Washington, DC, 20503,
Attention: FRA Desk Officer. Comments may also be sent via e-mail to
OMB at the following address<EMAIL_ADDRESS>    Comments are invited on the following: Whether the proposed
collection of information is necessary for the proper performance of
the functions of the Department, including whether the information will
have

practical utility; the accuracy of the Department's estimate of the
burden of the proposed information collection; ways to enhance the
quality, utility, and clarity of the information to be collected; and
ways to minimize the burden of the collection of information on
respondents, including the use of automated collection techniques or
other forms of information technology.
    A comment to OMB is best assured of having its full effect if OMB
receives it within 30 days of publication of this notice in the Federal
Register.

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

    Issued in Washington, DC, on October 17, 2011.
Kimberly Coronel,
Director, Office of Financial Management, Federal Railroad
Administration.
[FR Doc. 2011-27340 Filed 10-21-11; 8:45 am]
BILLING CODE 4910-06-P


[Federal Register Volume 83, Number 82 (Friday, April 27, 2018)]
[Notices]
[Pages 18614-18616]
[FR Doc No: 2018-08850]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-83092; File No. SR-PEARL-2018-11]

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing
and Immediate Effectiveness of a Proposed Rule Change To Amend Rule
602, Continuing Market Maker Registration

April 23, 2018.
    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 April 13, 2018, MIAX PEARL, LLC (``MIAX PEARL'' or ``Exchange'')
filed with the Securities and Exchange Commission (``Commission'') a
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.
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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 is filing a proposal to amend MIAX PEARL Rule 602,
Continuing Market Maker Registration, to modify the Market Maker \3\
series registration process utilized by the Exchange.
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    \3\ The term ``Market Maker'' or ``MM'' means a Member
registered with the Exchange for the purpose of making markets in
options contracts traded on the Exchange and that is vested with the
rights and responsibilities specified in Chapter VI of the Exchange
rules. See Exchange Rule 100.
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    The text of the proposed rule change is available on the Exchange's
website at http://www.miaxoptions.com/rule-filings/pearl at MIAX
PEARL's principal office, and at the Commission's Public Reference
Room.

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

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

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

1. Purpose
    The Exchange proposes to amend MIAX PEARL Rule 602, Continuing
Market Maker Registration, to modify the Market Maker series
registration process utilized by the Exchange. The Exchange believes
this proposal would simplify and enhance the efficiency of the Market
Maker series registration process, for both Market Makers and the
Exchange. Other option exchanges generally have comparable Market Maker
series registration processes.\4\
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    \4\ See, e.g., Cboe BZX Exchange, Inc. (``BZX Options'') Rules
22.3(a), (b) (Market Maker Registration); see also Nasdaq PHLX, LLC
(``Phlx'') Rule 3212(b) (Registration as a Market Maker); Nasdaq
Options Market (``NOM''), Chapter VII (Market Participants), Section
3(a), (b) (Continuing Market Maker Registration); NYSE American, LLC
(``NYSE American''), Rule 923NY (Appointment of Market Makers).
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Current Registration Process
    Once a Member \5\ has qualified as a Market Maker, such Market
Maker may seek registration in individual series of options pursuant to
Rule 602. Specifically, Rule 602(b) provides that ``[a] Market Maker
may become registered in a series by entering a registration request
via an Exchange approved electronic interface with the Exchange's
Systems by 9:00 a.m. Eastern Time. Registration shall become effective
on the day the registration request is entered.'' \6\
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    \5\ The term ``Member'' means an individual or organization that
is registered with the Exchange pursuant to Chapter II of the Rules
for purposes of trading on the Exchange as an ``Electronic Exchange
Member'' or ``Market Maker.'' Members are deemed ``members'' under
the Exchange Act. See Exchange Rule 100.
    \6\ See Exchange Rule 602(b).
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Proposed Registration Process
    The Exchange proposes to amend MIAX PEARL Rule 602(b) to modify the
process by which a Market Maker becomes registered in a series.
Specifically, the Exchange proposes to amend the rule text to state
that registration may be requested by either utilizing the currently
approved MIAX Express Order (``MEO'') \7\ interface, which requires
series registration to be submitted prior to 9:00 a.m. Eastern Time of
the current trading day, which registration request shall be submitted
for every requested trading day, or an additional Exchange approved
electronic interface, which requires series registration to be
submitted prior to 6:00 p.m. Eastern Time of the business day
immediately preceding the next trading day, which registration request
shall persist until it is withdrawn. A Market Maker can withdraw a
registration request by utilizing the same tool as it used to submit
such request.
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    \7\ The term ``MEO Interface'' means a binary order interface
used for submitting certain order types (as set forth in Rule 516)
to the MIAX PEARL System. See Exchange Rule 100.
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    The purpose of this proposed change is to accommodate an additional
Exchange approved electronic interface that the Exchange intends to
make available to Market Makers for series registration, which
additional electronic interface has a different submission deadline
than the existing approved electronic interface, and which additional
electronic interface allows the registration request to persist until a
new request is submitted (whereas the existing electronic interface
does not allow the registration request to persist--it requires a
Market Maker to

resubmit for every trading day). The Exchange believes that adding more
detail to the rule text would make it clear to Market Makers that it is
mandatory to utilize one of the two Exchange approved electronic
interfaces for series registration, and that there are different
submission deadlines and requirements for resubmission for each device.
Accordingly, Market Makers would continue to self-register in a series,
however the Market Maker would select the method to use, and thereby
clearly understand when a series registration must be submitted for
that particular method and the submission frequency related thereto.
Market Makers may choose to use either Exchange approved electronic
interface, or any combination of the two, to process their series
registrations and withdrawals.
    The Exchange believes that offering Market Makers an additional
electronic interface for series registration will be beneficial for
Market Makers because it will provide Market Makers with greater
flexibility on how to perform series registration. The Exchange also
believes that it will provide Market Makers with greater and more
efficient access to the securities in which they want to make markets
and disseminate competitive quotations, which would provide additional
liquidity and enhance competition in those securities.
    In addition, the Exchange also proposes to delete Rule 602(c), in
its entirety. Presently, sub-section (c) states that, ``[a] Market
Maker's registration in a series shall be terminated if the Market
Maker fails to enter quotations in the series within five (5) business
days after the Market Maker's registration in the series becomes
effective.'' \8\
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    \8\ See Rule 602(c).
---------------------------------------------------------------------------

    The Exchange believes that Rule 602(c), when read in conjunction
with certain other Exchange Rules, could potentially be interpreted to
be inconsistent with such rules. In particular, Rule 604(a)(6) provides
that Market Makers are expected to ``maintain active markets'' in all
series in which they are registered. Rule 602(c) applies only to the
first five days that a Market Maker is registered, whereas Rule
604(a)(6) continues for as long as the Market Maker is registered in a
series. When read together, the Exchange believes that there is
potential for an inconsistent interpretation relating to a Market
Maker's quoting obligations during the first five days after
registering in a series. In the Exchange's view, the requirement to
maintain active markets should be the same throughout the entire
registration period. The Exchange notes that it will continue to be
permitted to suspend or terminate a registered Market Maker under Rule
600(b) if it is found that the Market Maker has failed in its
obligations to maintain active markets under Rule 604(a)(6) or fails
its obligation to provide continuous two-sided quotes under Rule
605(d).\9\ Removing Rule 602(c) would simply remove the non-
discretionary requirement that the Exchange must terminate a Market
Maker's registration in a series if it does not enter quotations in the
series within five business days of registration.
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    \9\ See Exchange Rule 600(b) (``The registration of any Member
as a Market Maker may be suspended or terminated by the Exchange
upon a determination that such Member has failed to properly perform
as a Market Maker.'').
---------------------------------------------------------------------------

    The Exchange currently conducts surveillance to monitor and enforce
compliance with the ``active markets'' provision of Rule 604(a)(6) for
all Market Makers. A registered Market Maker is subject to the Rule
604(a)(6) surveillance for the entire time the Market Maker is
registered, including the first five days covered by Rule 602(c). If a
registered Market Maker is found by surveillance not to be maintaining
active markets in the option series in which it is registered, the
Exchange will determine the appropriate course of action against such
Market Maker. The Exchange may take actions of escalating severity
against the offending Market Maker from suspending the Market Maker up
to terminating the Market Maker in the options in which it fails to
maintain active markets or bringing formal action.\10\
---------------------------------------------------------------------------

    \10\ See Exchange Rule 600(b).
---------------------------------------------------------------------------

    The Exchange notes that its Market Maker series registration
process is generally similar in structure to the comparable processes
at other exchanges.\11\ Additionally, the Exchange's proposal to remove
Rule 602(c) is based on the rules of another Exchange.\12\ Accordingly,
the Exchange believes that the proposed changes to Rule 602 are not
material and raise no new or novel issues.
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    \11\ See e.g., BZX Options Rules 22.3(a) (``An Options Member
that has qualified as an Options Market Maker may register to make
markets in individual series of options''); NOM, Chapter VII,
Section 3(a) (``An Options Participant that has qualified as an
Options Market Maker may register to make markets in individual
options.''). See also Phlx Rule 3212(b) (``A PSX Market Maker may
become registered in an issue by entering a registration request via
an Exchange approved electronic interface with PSX's systems or by
contacting PSX Market Operations. Registration shall become
effective on the day the registration request is entered''); Phlx
Rule 3220(a) (``A market maker may voluntarily terminate its
registration in a security by withdrawing its two-sided quotation
from PSX. A PSX Market Maker that voluntarily terminates its
registration in a security may not re-register as a market maker for
one (1) business day.''). See also BZX Options Rules 22.3(b) (``An
Options Market Maker may become registered in a series by entering a
registration request via an Exchange approved electronic interface
with the Exchange's systems by 9:00 a.m. Eastern time. Registration
shall become effective on the day the registration request is
entered''); NOM, Chapter VII, Section 3(b) (``An Options Market
Maker may become registered in an option by entering a registration
request via a Nasdaq approved electronic interface with Nasdaq's
systems. Registration shall become effective on the day the
registration request is entered.'').
    \12\ See Securities Exchange Act Release No. 79039 (October 4,
2016), 81 FR 70198 (October 11, 2016) (SR-BatsBZX-2016-62).
---------------------------------------------------------------------------

2. Statutory Basis
    MIAX PEARL believes that its proposed rule change is consistent
with Section 6(b) \13\ of the Securities Exchange Act of 1934 (the
``Act''), in general, and furthers the objectives of Section
6(b)(5),\14\ 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.
---------------------------------------------------------------------------

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

    The Exchange believes that the proposed rule change removes
impediments to a free and open market because it would enable Market
Makers to manage their series registration and the submission frequency
related thereto, with more flexibility through the use of multiple
electronic interfaces. The Exchange believes the proposed change would
reduce the burden on both Market Makers and Exchange staff, which would
result in a fair and reasonable use of resources to the benefit of all
market participants. In particular, the proposal will enable Market
Makers to have a choice of multiple electronic interfaces to perform
series registration, and consequently will provide Market Makers with
more efficient access to the securities in which they want to make
markets and thus more quickly begin disseminating competitive
quotations in those securities, which would provide additional
liquidity and enhance competition in those securities.
    In addition, the Exchange believes that the proposed deletion of
sub-section (c) of Rule 602 promotes just and equitable principles of
trade and provides clarity for the benefit of Market Makers and the
marketplace as a whole

by deleting rule text that could potentially be inconsistent with
certain other Exchange rules. Additionally, the Exchange believes the
proposal is consistent with Section 6(b)(1) \15\ in that it enables the
Exchange to be so organized as to have the capacity to be able to carry
out the purposes of the Exchange Act and to comply, and to enforce
compliance by its exchange members and persons associated with its
exchange members with the rules of the Exchange--in particular, the
Exchange's Market Maker obligations. Accordingly, the Exchange believes
this proposal is consistent with Section 6(b) of the Exchange Act.\16\
---------------------------------------------------------------------------

    \15\ 15 U.S.C. 78f(b)(1).
    \16\ 15 U.S.C. 78f(b).
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change would
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act because it applies equally to
a group of similarly situated market participants--Market Makers. The
proposed rule change would reduce the burden on Market Makers to manage
their series registration and thus provide liquidity to the Exchange.
    Market Makers would still be subject to the same obligations with
respect to their registration; the proposed rule change would make the
registration process more efficient for such Market Makers. The
Exchange believes that the proposed rule change would relieve any
burden on, or otherwise promote, competition, as it would enable Market
Makers to manage their registration with more flexibility through the
use of multiple electronic interfaces. The Exchange believes this would
provide Market Makers with more efficient access to the securities in
which they want to make markets and thus more quickly begin
disseminating competitive quotations in those securities, which would
provide additional liquidity and enhance competition in those
securities.

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

    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 after the date of the filing, or such
shorter time as the Commission may designate, it has become effective
pursuant to 19(b)(3)(A) of the Act \17\ and Rule 19b-4(f)(6) \18\
thereunder.
---------------------------------------------------------------------------

    \17\ 15 U.S.C. 78s(b)(3)(A).
    \18\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file 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.
---------------------------------------------------------------------------

    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.

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-PEARL-2018-11 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-PEARL-2018-11. 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-PEARL-2018-11 and should be submitted on
or before May 18, 2018.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\19\
---------------------------------------------------------------------------

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

Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-08850 Filed 4-26-18; 8:45 am]
 BILLING CODE 8011-01-P


EPA Science Advisory Board Staff Office Response to Public Comments
received on the Establishment of a New System of Records for the Science
Advisory Board (SAB) Database of Scientific and Technical Experts (74 FR
33435-33437)

The comments received were outside the scope of the Privacy Act of 1974
(5 U.S.C. 552a), which was the focus of the Federal Register notice.
Since the comments were outside the scope of those requirements, EPA
will not provide a formal response to comments at this time.

 PAGE

 PAGE   1


[Federal Register Volume 79, Number 186 (Thursday, September 25, 2014)]
[Notices]
[Page 57550]
[FR Doc No: 2014-22802]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER14-2858-000]

Origin Wind Energy, LLC; Supplemental Notice That Initial Market-
Based Rate Filing Includes Request for Blanket Section 204
Authorization

    This is a supplemental notice in the above-referenced proceeding,
of Origin Wind Energy, LLC's application for market-based rate
authority, with an accompanying rate schedule, noting that such
application includes a request for blanket authorization, under 18 CFR
part 34, of future issuances of securities and assumptions of
liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR Part 34, of future issuances of securities and assumptions of
liability is October 6, 2014.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
5 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street NE., Washington, DC 20426.
    The filings in the above-referenced proceeding(s) are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive email notification
when a document is added to a subscribed docket(s). For assistance with
any FERC Online service, please email<EMAIL_ADDRESS>or
call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

    Dated: September 15, 2014.
Kimberly D. Bose,
Secretary.
[FR Doc. 2014-22802 Filed 9-24-14; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 39 (Friday, February 27, 2015)]
[Notices]
[Pages 10733-10735]
[FR Doc No: 2015-04084]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-74349; File No. SR-FINRA-2015-004]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change To Adopt FINRA Rule 4517 (Member Filing and
Contact Information Requirements) in the Consolidated FINRA Rulebook

February 23, 2015.
    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 February 12, 2015, Financial Industry Regulatory Authority, Inc.
(``FINRA'') filed with the Securities and Exchange Commission (``SEC''
or ``Commission'') the proposed rule change as described in Items I,
II, and III below, of which Items I and II have been prepared by FINRA.
FINRA has designated the proposed rule change as constituting a ``non-
controversial'' rule change under paragraph (f)(6) of Rule 19b-4 under
the Act,\3\ which renders the proposal effective upon receipt of this
filing by the Commission. 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.
    \3\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

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

    FINRA is proposing to adopt NASD Rules 3170 (Mandatory Electronic
Filing Requirements), 1150 (Executive Representative), and 1160
(Contact Information Requirements) as FINRA Rule 4517 (Member Filing
and Contact Information Requirements) without any substantive changes.
FINRA also proposes to update references and cross-references within
other FINRA rules accordingly.
    The text of the proposed rule change is available on FINRA's Web
site at http://www.finra.org, at the principal office of FINRA 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, FINRA 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. FINRA 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
    As part of the process of developing a new consolidated rulebook
(``Consolidated FINRA Rulebook''),\4\ FINRA is proposing to transfer
NASD Rules 3170 (Mandatory Electronic Filing Requirements), 1150
(Executive Representative), and NASD Rule 1160 (Contact Information
Requirements) into the Consolidated FINRA Rulebook as FINRA Rule 4517
(Member Filing and Contact Information Requirements) without any
substantive changes.
---------------------------------------------------------------------------

    \4\ The current FINRA rulebook consists of (1) FINRA Rules; (2)
NASD Rules; and (3) rules incorporated from NYSE (``Incorporated
NYSE Rules'') (together, the NASD Rules and Incorporated NYSE Rules
are referred to as the ``Transitional Rulebook''). While the NASD
Rules generally apply to all FINRA members, the Incorporated NYSE
Rules apply only to those members of FINRA that are also members of
the NYSE (``Dual Members''). The FINRA Rules apply to all FINRA
members, unless such rules have a more limited application by their
terms. For more information about the rulebook consolidation
process, see Information Notice, March 12, 2008 (Rulebook
Consolidation Process).
---------------------------------------------------------------------------

Proposed FINRA Rule 4517(a): Mandatory Electronic Filing Requirements
    Proposed FINRA Rule 4517(a) would transfer without substantive
change NASD Rule 3170 (Mandatory Electronic Filing Requirements) which
requires each member to file with or otherwise submit to FINRA, in such
electronic format as FINRA may require, all regulatory notices or other
documents required to be filed or otherwise submitted to FINRA, as
specified by FINRA. FINRA will advise firms via the Regulatory Notice
process or other similar communication, as appropriate, as to each
regulatory notice or document that members will be required to file
with or submit in electronic format to FINRA, the compliance date for
the electronic filing or submission, and the requisite manner and
format.\5\
---------------------------------------------------------------------------

    \5\ The proposed rule change does not affect any current filing
or submission requirements issued pursuant to NASD Rule 3170, which
remain effective, subject to any future changes FINRA may make
pursuant to proposed FINRA Rule 4517 once the rule becomes
effective. See, e.g., Notice to Members 06-61 (November 2006)
(announcing SEC approval of NASD Rule 3170 and specifying various
financial notices to which NASD Rule 3170 would apply), Regulatory
Notice 08-67 (November 2008) (requiring electronic submission of,
among other things, qualification examination waivers pursuant to
NASD Rule 3170), and Regulatory Notice 11-46 (October 2011)
(requiring electronic submission of annual audit reports pursuant to
NASD Rule 3170). See also Regulatory Notice 08-11 (March 2008)
(addressing frequently asked questions on NASD Rule 3170).
---------------------------------------------------------------------------

Proposed FINRA Rule 4517(b): Executive Representative
    Proposed FINRA Rule 4517(b) would transfer without substantive
change NASD Rule 1150, the provision requiring that each member must
identify, review and, if necessary, update its executive representative
designation and contact information as required by Article IV, Section
3 of the NASD By-Laws in the manner prescribed by NASD Rule 1160. The
proposed rule would replace the references to the legacy NASD By-Laws
and rule with FINRA By-Laws and rule.
Proposed FINRA Rule 4517(c): Review and Update of Contact Information
    Proposed FINRA Rule 4517(c) would transfer without substantive
changes the requirements of NASD Rule 1160 (Contact Information
Requirements). The only changes to the proposed rule text are minor
editorial changes to reflect current nomenclature, and to assist and
enhance readability. NASD Rule 1160 requires members to report and
update contact information to FINRA via the ``NASD Contact System or
such other means as NASD may specify,'' and to promptly comply with any
FINRA request for the required contact information. Currently, NASD
Rule 1160 supports members' compliance with NASD Rule 1150 (Executive
Representative) and FINRA Rules 1250 (Continuing Education
Requirements), 3310.02 (Review of Anti-Money Laundering Compliance
Person Information), and 4370 (Business Continuity Plans and Emergency
Contact Information), which all require members to provide FINRA with
designated contact person information.
    Proposed FINRA Rule 4517(c) would require each member to report and
update to FINRA all contact information applicable to the member that
FINRA

requires via the Firm Gateway[supreg] or such other means as FINRA may
specify. Member firms already use the Firm Gateway, a web-based tool
that provides consolidated access to FINRA regulatory and filing
applications, to access the FINRA Contact System. Proposed FINRA Rule
4517(c) would reflect the current nomenclature of a FINRA application
that has been in use by its members since 2007.\6\
---------------------------------------------------------------------------

    \6\ See FINRA News Release, Clicking on Compliance: FINRA
Launches Firm Gateway (Oct. 11, 2007).
---------------------------------------------------------------------------

    In addition, proposed FINRA Rule 4517(c)(1) would require a member
to update its contact information promptly, but in any event not later
than 30 days following any change in such information, and review, and
if necessary, update the required contact information within 17
business days after the end of each calendar year. This proposed
provision replaces the nearly identical provision in NASD Rule 1160(b)
but with a minor editorial change to delete the phrase ``via the NASD
Contact System or such other means as NASD may specify'' from the
proposed rule text, because the phrase already appears in proposed
paragraph (c). Furthermore, proposed FINRA Rule 4517(c)(2) would
require that each firm comply promptly with any FINRA request for the
required contact information, but in any event not later than 15 days
following the request, or such longer period that may be agreed to by
FINRA staff. This proposed provision replaces the nearly identical
provision in NASD Rule 1160(c) but with the minor editorial change from
NASD Rule 1160(c)'s ``such information'' to ``the required contact
information'' to enhance the readability of the proposed rule. As with
NASD Rule 1160, the proposed rule change would not relieve firms from
any separate requirements to update such information.\7\
---------------------------------------------------------------------------

    \7\ For example, a member must identify, among others, its Chief
Executive Officer and Chief Compliance Officer on Form BD, and
promptly update such information by submitting an amendment whenever
the information becomes inaccurate or incomplete for any reason. See
also Article IV, Section 1(c) of the FINRA By-Laws, requiring each
member to ensure that its membership application is kept current at
all times by supplementary amendments, and to file such amendment no
later than 30 days after learning of the facts or circumstances
giving rise to the amendment.
---------------------------------------------------------------------------

    The proposed rule change would also replace all references to NASD
Rules 1150 and 1160 in FINRA Rules 1250 (Continuing Education
Requirements), 3310.02 (Review of Anti-Money Laundering Compliance
Person Information), 4370 (Business Continuity Plans and Emergency
Contact Information), and 9217 (Violations Appropriate for Disposition
Under Plan Pursuant to SEA Rule 19d-1(c)(2)) with references to
proposed FINRA Rule 4517 accordingly.
    FINRA has filed the proposed rule change for immediate
effectiveness and has requested that the SEC waive the requirement that
the proposed rule change not become operative for 30 days after the
date of the filing so that FINRA can implement the proposed rule change
immediately.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\8\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. FINRA believes that the proposed rule change, which
does not substantively change the rules, is consistent with the Act
because it is being undertaken pursuant to the rulebook consolidation
process, which is designed to provide additional clarity and regulatory
efficiency to FINRA members by consolidating the applicable NASD,
Incorporated NYSE and FINRA rules into one rule set.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------

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

    FINRA 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 noted above, this proposal
will not substantively change either the text or application of the
rules. FINRA would like to proceed with the rulebook consolidation
process expeditiously, which it believes will provide additional
clarity and regulatory efficiency to members.

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 with respect
to this proposal to transfer NASD Rules 1150, 1160 and 3170 into the
Consolidated FINRA Rulebook without any substantive changes.\9\
---------------------------------------------------------------------------

    \9\ FINRA previously solicited comment on a proposal to adopt
FINRA Rule 4540 (Member Information and Data Reporting and Filing
Requirements) which, among other things, would have incorporated the
substance of NASD Rules 1160 and 3170, and deleted NASD Rule 1150.
See Regulatory Notice 09-02 (January 2009). Given that FINRA would
like to proceed with the rulebook consolidation process
expeditiously to provide greater clarity and regulatory efficiency
to FINRA members, FINRA is proposing in this rule change to adopt
NASD Rules 1150, 1160 and 3170 without substantive changes, and will
consider at a later date whether to propose substantive changes to
these rules. FINRA has determined to transfer NASD Rule 1150 into
the Consolidated FINRA Rulebook rather than delete its content in
the interest of providing clarity to member firms of their
obligation under the FINRA By-Laws to appoint an Executive
Representative. One commenter to Regulatory Notice 09-02 suggested
that FINRA extend from 17 business days to 30 days the period in
which a member must annually review and update its contact
information. See Letter from Dale E. Brown, Financial Services
Institute, to Marcia E. Asquith, FINRA, dated February 20, 2009. The
proposed rule change, however, would retain NASD Rule 1160's
requirement that a member update its contact information promptly,
but no later than 30 days following any change in the information,
and annually verify the information within 17 business days after
the end of the calendar year. As FINRA stated when it proposed NASD
Rule 1160, the 17-business day window is consistent with the
requirement that a member's FOCUS report be submitted within 17
business days after the end of each quarter. See Securities Exchange
Act Release No. 55810 (May 24, 2007), 72 FR 30404 (May 31, 2007)
(Notice of Filing of File No. SR-NASD-2007-034). FINRA reminds its
members to annually review and update, if necessary, their
designated contact information through several ways such as
announcements and alerts in the Firm Gateway, and electronic
communications to the firm's Chief Compliance Officer(s) and
Executive Representative.
---------------------------------------------------------------------------

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 \10\ and Rule 19b-
4(f)(6) thereunder.\11\
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78s(b)(3)(A).
    \11\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    A proposed rule change filed under Section 19(b)(3)(A) of the Act
\12\ normally does not become operative prior to 30 days after the date
of the filing. However, pursuant to Rule 19b-4(f)(6)(iii),\13\ the
Commission may designate a shorter time if such action is consistent
with the protection of investors and the public interest. FINRA has
asked the Commission to waive the 30-day operative delay so that the
proposal may become operative upon filing. The Commission believes that
waiving the 30-day operative delay is consistent with the protection of
investors and the public interest. Because FINRA is proposing to
transfer

NASD Rule 3170 (Mandatory Electronic Filing Requirements), NASD Rule
1150 (Executive Representative), and NASD Rule 1160 (Contact
Information Requirements) into the Consolidated FINRA rulebook as FINRA
Rule 4517 (Member Filing and Contact Information Requirements) without
any substantive changes, to update cross-references accordingly and
reflect current nomenclature, and to thereby clarify FINRA's rules, and
because the rulebook consolidation process is designed to provide
additional clarity and regulatory efficiency to members, the Commission
believes that a waiver of the requirement is appropriate so that the
rule change may become operative immediately. Therefore, the Commission
hereby waives the 30-day operative delay and designates the proposal
effective upon filing.\14\
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78s(b)(3)(A).
    \13\ 17 CFR 240.19b-4(f)(6)(iii).
    \14\ For purposes of waiving the 30-day operative delay, the
Commission has 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 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.

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-FINRA-2015-004 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-FINRA-2015-004. 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, 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 such filing also will be
available for inspection and copying at the principal office of FINRA.
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-FINRA-2015-
004, and should be submitted on or before March 20, 2015.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\15\
---------------------------------------------------------------------------

    \15\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2015-04084 Filed 2-26-15; 8:45 am]
BILLING CODE 8011-01-P