[Federal Register Volume 85, Number 7 (Friday, January 10, 2020)]
[Notices]
[Pages 1372-1373]
[FR Doc No: 2020-00210]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket Number FRA-2019-0106]

Petition for Waiver of Compliance

    Under part 211 of title 49 Code of Federal Regulations (CFR), this
document provides the public notice that on December 4, 2019, Caltrain
petitioned the Federal Railroad Administration (FRA) for a waiver of
compliance from certain provisions of the Federal railroad safety
regulations contained at 49 CFR part 238, Passenger Equipment Safety
Standards. FRA assigned the petition Docket Number FRA-2019-0106.
    Specifically, Caltrain seeks a waiver of compliance from portions
of 49 CFR 238.131(a)(1) for its new six-car Stadler Electric Multiple
Unit (EMU) trainsets currently under construction. The Federal
regulation incorporates American Public Transportation Association
(APTA) Standard PR-M-S-18-10, Standard for Powered Exterior Side Door
System Design for New Passenger Cars, first published February 11,
2011, by reference. Section 2.9.1 of this standard, Design
Construction, paragraph 6 states: ``Neither shall the emergency release
mechanism require the presence of any interlock signals (e.g. ``low
speed'' or ``zero speed'' signals) for actuation. When actuated, the
emergency release mechanism shall override any locks, and it shall be
possible to manually open the released door with a force not to exceed
35 lbf.'' The petition states, ``for safety reasons, Caltrain would
like to introduce a speed interlock to the door emergency release
system.''
    A copy of the petition, as well as any written communications
concerning the petition, is available for review online at
www.regulations.gov and in person at the U.S. Department of
Transportation's (DOT) Docket Operations Facility, 1200 New Jersey Ave.
SE, W12-140, Washington, DC 20590. The Docket Operations Facility is
open from 9 a.m. to 5 p.m., Monday through Friday, except Federal
Holidays.
    Interested parties are invited to participate in these proceedings
by submitting written views, data, or comments. FRA does not anticipate
scheduling a public hearing in

connection with these proceedings since the facts do not appear to
warrant a hearing. If any interested parties desire an opportunity for
oral comment and a public hearing, they should notify FRA, in writing,
before the end of the comment period and specify the basis for their
request.
    All communications concerning these proceedings should identify the
appropriate docket number and may be submitted by any of the following
methods:
     Website: http://www.regulations.gov. Follow the online
instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: Docket Operations Facility, U.S. Department of
Transportation, 1200 New Jersey Ave. SE, W12-140, Washington, DC 20590.
     Hand Delivery: 1200 New Jersey Ave. SE, Room W12-140,
Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal Holidays.
    Communications received by February 24, 2020 will be considered by
FRA before final action is taken. Comments received after that date
will be considered if practicable. Anyone can search the electronic
form of any written communications and comments received into any of
our dockets by the name of the individual submitting the comment (or
signing the document, if submitted on behalf of an association,
business, labor union, etc.). Under 5 U.S.C. 553(c), DOT solicits
comments from the public to better inform its processes. DOT posts
these comments, without edit, including any personal information the
commenter provides, to www.regulations.gov, as described in the system
of records notice (DOT/ALL-14 FDMS), which can be reviewed at https://www.transportation.gov/privacy. See also https://www.regulations.gov/privacyNotice for the privacy notice of regulations.gov.

    Issued in Washington, DC.
John Karl Alexy,
Associate Administrator for Railroad Safety, Chief Safety Officer.
[FR Doc. 2020-00210 Filed 1-9-20; 8:45 am]
 BILLING CODE 4910-06-P


[Federal Register Volume 75, Number 245 (Wednesday, December 22, 2010)]
[Notices]
[Page 80569]
[FR Doc No: 2010-32055]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

[Summary Notice No. PE-2010-58]

Petition for Exemption; Summary of Petition Received

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of petition for exemption received.

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SUMMARY: This notice contains a summary of a petition seeking relief
from specified requirements of 14 CFR. The purpose of this notice is to
improve the public's awareness of, and participation in, this aspect of
FAA's regulatory activities. Neither publication of this notice nor the
inclusion or omission of information in the summary is intended to
affect the legal status of the petition or its final disposition.

DATES: Comments on this petition must identify the petition docket
number involved and must be received on or before January 11, 2011.

ADDRESSES: You may send comments identified by Docket Number FAA-2010-
1196 using any of the following methods:
     Government-wide rulemaking Web site: Go to http://www.regulations.gov and follow the instructions for sending your
comments electronically.
     Mail: Send comments to the Docket Management Facility;
U.S. Department of Transportation, 1200 New Jersey Avenue, SE., West
Building Ground Floor, Room W12-140, Washington, DC 20590.
     Fax: Fax comments to the Docket Management Facility at
202-493-2251.
     Hand Delivery: Bring comments to the Docket Management
Facility in Room W12-140 of the West Building Ground Floor at 1200 New
Jersey Avenue, SE., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.
    Privacy: We will post all comments we receive, without change, to
http://www.regulations.gov, including any personal information you
provide. Using the search function of our docket Web site, anyone can
find and read the comments received into any of our dockets, including
the name of the individual sending the comment (or signing the comment
for an association, business, labor union, etc.). You may review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (65 FR 19477-78).
    Docket: To read background documents or comments received, go to
http://www.regulations.gov at any time or to the Docket Management
Facility in Room W12-140 of the West Building Ground Floor at 1200 New
Jersey Avenue, SE., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: Frances Shaver, ARM-207, (202) 267-
4059, FAA, Office of Rulemaking, 800 Independence Ave SW., Washington,
DC 20591. This notice is published pursuant to 14 CFR 11.85.

    Issued in Washington, DC, on December 16, 2010.
Pamela Hamilton-Powell,
Director, Office of Rulemaking.

Petition for Exemption

    Docket No.: FAA-2010-1196.
    Petitioner: Avianca Airlines.
    Section of 14 CFR Affected: Sec.  121.359(k).
    Description of Relief Sought: Avianca Airlines is requesting relief
from the requirement to have a cockpit voice recorder and a flight data
recorder that records all datalink messages as required by the
certification rule for its Airbus A330-243 airplanes.

[FR Doc. 2010-32055 Filed 12-21-10; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 86, Number 187 (Thursday, September 30, 2021)]
[Notices]
[Pages 54294-54296]
[FR Doc No: 2021-21198]

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DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration

[[Docket No. NHTSA-2019-0146; OMB No. 2127-0621]

Agency Information Collection Activities; Submission to the
Office of Management and Budget for Review and Approval; Platform Lift
Systems for Motor Vehicles, and Platform Lift Installations in Motor
Vehicles

AGENCY: National Highway Traffic Safety Administration (NHTSA),
Department of Transportation (DOT).

ACTION: Notice and request for comments on a reinstatement of a
previously approved information collection.

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SUMMARY: In compliance with the Paperwork Reduction Act of 1995 (PRA),
this notice (``30-day notice'') announces that the Information
Collection Request (ICR) summarized below is being forwarded to the
Office of Management and Budget (OMB) for review and approval. The ICR
describes the nature of the information collection and its expected
burden and is a request for a reinstatement of a previously approved
information collection regarding Platform lift systems for motor
vehicles, and Platform lift installations in motor vehicles. A Federal
Register Notice with a 60-day comment period soliciting comments on
this information collection was published on February 6, 2020 (85 FR
7008). No comments were received.

DATES: Comments must be submitted on or November 1, 2021.

ADDRESSES: Written comments and recommendations for the proposed
information collection, including suggestions for reducing the burden,
should be submitted to the Office of Management and Budget at
www.reginfo.gov/public/do/PRAMain. To find this information collection,
select ``Currently under Review--Open for Public Comment'' or use the
search function.

FOR FURTHER INFORMATION CONTACT: For additional information or access
to background documents, contact Michael Pyne,<PHONE_NUMBER>, Office of
Rulemaking (NRM230), National Highway Traffic Safety Administration,
U.S. Dept. of Transportation, 1200 New Jersey Avenue SE, Room W43-457,
Washington, DC 20590. Please identify the relevant collection of
information by referring to its OMB Control Number.

SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501 et seq.), a
Federal agency must receive approval from the Office of Management and
Budget (OMB) before it collects certain information from the public and
a person is not required to respond to a collection of information by a
Federal agency unless the collection displays a valid OMB control
number. In compliance with these requirements, this notice announces
that the following information collection request will be submitted to
the OMB.
    A Federal Register Notice with a 60-day comment period soliciting
comments on the following information collection was published on
February 6, 2020 (85 FR 7008). No comments were received in response to
the 60-day notice.
    Title: 49 CFR 571.403, Platform lift systems for motor vehicles,
and 49 CFR 571.404, Platform lift installations in motor vehicles.
    OMB Control Number: 2127-0621.
    Type of Request: Reinstatement with changes of a previously
approved information collection.
    Type of Review Requested: Regular.
    Requested Expiration Date of Approval: Three years from date of
approval.
    Summary of the Collection of Information: Federal Motor Vehicle
Safety Standard (FMVSS) No. 403, Platform lift systems for motor
vehicles, establishes minimum performance standards for platform lifts
intended for installation in motor vehicles to assist wheelchair users
and other persons of limited mobility in entering and exiting a
vehicle. The standard's purpose is to prevent injuries and fatalities
to passengers and bystanders during the operation of platform lifts.
The related standard, FMVSS No. 404, Platform lift installations in
motor vehicles, establishes specific requirements for vehicle
manufacturers or alterers that install platform lifts in new vehicles.
Lift manufacturers must certify that their lifts meet the requirements
of

FMVSS No. 403 and must declare in the owner's manual, in the
installation instructions, and on the operating instruction label, that
the lift is certified. Certification of compliance with FMVSS No. 404
is included on the vehicle certification label required on all motor
vehicles under 49 CFR part 567. Certain requirements in FMVSS No. 403
and FMVSS No. 404 contain information collections. FMVSS No. 403
requires lift manufacturers to produce an insert that is placed in the
vehicle owner's manual and lift installation instructions.
Additionally, lift manufacturers must affix either one or two labels to
be placed near the controls for the lift. The latter illustrate and
describe procedures for operating the lift. NHTSA's estimates of burden
and cost to lift manufacturers to meet these requirements are described
below. FMVSS No. 404 requires manufacturers or alterers that install
platform lifts to insert the instructions provided by the lift
manufacturer into the vehicle owners' manuals and ensure that labels
with lift operating procedures are affixed to a location adjacent to
the controls.
    Description of the Need for the Information and Proposed Use of the
Information: The information is used by:
     Platform lift installers so that they can ensure the
correct type of lift--either public-use or private-use--is installed
and has the necessary weight capacity, and that lifts are correctly
installed and equipped with the minimum required lighting;
     Operators of public-use lifts so they have access to
explanatory labels on lift controls and are aware of the lift operating
capacity and maintenance requirements;
     Private-use lift owners so that they have access to
explanatory labels on lift controls and are aware of the lift operating
capacity and maintenance requirements.
    Affected Public: Platform lift manufacturers and vehicle
manufacturers or alterers that install platform lifts in motor vehicles
prior to first vehicle sale. There is no burden on the general public.
    Estimated Number of Respondents: 10.
    NHTSA estimates that there are 10 platform-lift manufacturers doing
business at a given time. Platform-lift manufacturers typically have a
design cycle of approximately 5 years. Therefore, there are aspects of
the information collection that only require the manufacturers to incur
burden once every 5 years, such as changing the owner's manual inserts
and labels. However, other aspects of the information collection, such
as printing the inserts and labeling the lifts, require manufacturers
to incur burden every year.
    Estimated Number of Responses: 27,398 lifts manufactured in each of
the next three years.
    Estimated Total Annual Burden Hours: 1,562 hours.
    NHTSA estimates that a total of 10 lift manufacturers will incur
1,562 hours of burden annually. This estimate is comprised of time to
make changes to required language and the time to distribute that
information by affixing labels or placards, placing inserts into
owners' manuals, and providing installation instructions.
    NHTSA estimates that every year approximately two lift
manufacturers will need to change the language of the insert for the
vehicle owners' manual stating the lift's platform operating volume,
maintenance schedule, and operating procedures. NHTSA estimates that it
will take manufacturers approximately 24 hours to make those changes.
Therefore, NHTSA estimates that changes to the owners' manual inserts
will take 48 hours annually (2 manufacturers x 24 hours = 48 hours per
year).
    NHTSA estimates that every year approximately two manufacturers
will need to change the installation instructions identifying the types
of vehicles on which each lift is designed to be installed. NHTSA
estimates that it will take manufacturers approximately 24 hours to
make those changes. Therefore, NHTSA estimates that changes to the
installation instructions will take 48 hours annually (2 manufacturers
x 24 hours = 48 hours per year).
    NHTSA estimates that every year approximately two manufacturers
will need to make changes to labels or placards which identify the
operating functions of the lift. NHTSA estimates that it will take
manufacturers approximately 24 hours to make those changes. Therefore,
NHTSA estimates that changes to the labels or placards for lift
functions will take 48 hours annually (2 manufacturers x 24 hours = 48
hours per year).
    NHTSA estimates that every year approximately two lift
manufacturers will need to make changes to labels and placards
detailing back-up operating procedures. NHTSA estimates that it will
take manufacturers approximately 24 hours to make those changes.
Therefore, NHTSA estimates that changes to the language of labels or
placards for back-up operating procedures will take 48 hours annually
(2 manufacturers x 24 hours = 48 hours per year).
    In addition to making periodic changes to the wording of the
owners' manual inserts, installation instructions, and labels or
placards for lift operating procedures and back-up operation; lift
manufacturers also incur burden associated with distributing that
information by affixing labels or placards, placing inserts into
owners' manuals, and providing installation instructions.
    NHTSA estimates that there will be 27,398 lifts manufactured in
each of the next three years. NHTSA estimates that distributing the
required information will take approximately 3 minutes per lift or
approximately 1,370 hours for all lifts annually (27,398 lifts x 3
minutes per lift = 82,194 minutes; 82,194 minutes / 60 = 1,370 hours).

----------------------------------------------------------------------------------------------------------------
                                                                      Lift        Hours to make
                                                                 manufacturers       change        Annual hours
----------------------------------------------------------------------------------------------------------------
Per Year Insert Language:.....................................                2              24               48
Per Year Install Instruct.:...................................                2              24               48
Per Year Label Change/Operating:..............................                2              24               48
Per Year Label Change/Back-up:................................                2              24               48
----------------------------------------------------------------------------------------------------------------
                                                                     Lifts-each           Mins.            Total
                                                                      year next   to distribute            hours
                                                                        3 years
----------------------------------------------------------------------------------------------------------------
Distribution..................................................           27,398               3            1,370
                                                               -------------------------------------------------
                                                                 Estimated Total Burden Hours:             1,562
----------------------------------------------------------------------------------------------------------------

    The labor cost associated with the burden hours is derived by
applying appropriate hourly labor rates published by the Bureau of
Labor Statistics \1\ (BLS) to the hourly burden discussed previously in
this notice. There are two categories of labor involved. First, for
``Assemblers and Fabricators'' (Occupation code 51-2000) with an
average wage of $22.94/hour, the labor rate is $32.72/hour (based on
BLS statistics showing wages for private industry workers are 70.1
percent of total compensation \2\). Multiplying that hourly labor rate,
by the estimated 1,370 labor hours needed annually to affix and
distribute the required informational materials, yields an annual labor
cost of $44,832.81. Second, for ``Technical Writers'' (Occupation code
27-3042) with an average wage of $33.98/hour, the labor rate is $47.47/
hour. Multiplying that hourly labor rate, by the estimated 192 labor
hours needed for revisions to labels and printed materials, yields an
annual labor cost of $9,306.93.
---------------------------------------------------------------------------

    \1\ Available online at https://www.bls.gov/oes/current/naics4_336100.htm.
    \2\ See Table 1 at https://www.bls.gov/news.release/pdf/ecec.pdf.
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    The total annual labor cost is thus estimated to be $54,139.74.

----------------------------------------------------------------------------------------------------------------
                                                    Percent of
                                   Average wage        total        Labor rate     Annual hours    Annual labor
                                                   compensation                                        cost
----------------------------------------------------------------------------------------------------------------
Assemblers and Fabricators:.....          $22.94            70.1          $32.72           1,370      $44,832.81
Technical Writers:..............           33.98            70.1           48.47             192        9,306.93
                                 -------------------------------------------------------------------------------
                                  Estimated Annual Labor Cost for This Information Collection:         54,139.74
----------------------------------------------------------------------------------------------------------------

    Estimated Total Annual Burden Cost: The cost of this collection of
information will include printing costs. NHTSA's estimate of printing
costs is broken down as follows:

[ssquf] Owner's manual inserts--27,398 lifts x $0.04 per page x 1 page
= $1,095.92
[ssquf] Installation instructions--27,398 lifts x $0.04 per page x 1
page = $1,095.92
[ssquf] Label/placard for lift operating procedures--27,398 lifts x
$0.13 per label = $3,561.74
[ssquf] Label/placard for lift backup operation--27,398 lifts x $0.13
per label = $3,561.74

Based on this breakdown, NHTSA estimates the total printing cost
associated with this information collection is $9,315.32 annually.

----------------------------------------------------------------------------------------------------------------
                                                                    Lifts-each
                                                                  year in next 3     Per unit       Total cost
                                                                       years
----------------------------------------------------------------------------------------------------------------
Owner's Manual Insert:..........................................          27,398           $0.04       $1,095.92
Install Instructions:...........................................          27,398            0.04        1,095.92
Label Change/Operating Procedure:...............................          27,398            0.13        3,561.74
Label Change/Back-up Operation:.................................          27,398            0.13        3,561.74
----------------------------------------------------------------------------------------------------------------
    Estimated Annual Printing Cost for This Information Collection:.............................        9,315.32
----------------------------------------------------------------------------------------------------------------

    Public Comments Invited: You are asked to comment on any aspects of
this information collection, including (a) whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden of the proposed collection of information, including the
validity of the methodology and assumptions used; (c) ways to enhance
the quality, utility, and clarity of the information to be collected;
and (d) ways to minimize the burden of the collection of information on
respondents, including the use of appropriate automated, electronic,
mechanical, or other technological collection techniques or other forms
of information technology, e.g. permitting electronic submission of
responses.
    Authority: The Paperwork Reduction Act of 1995; 44 U.S.C. Chapter
35; as amended; 49 CFR 1.49; and DOT Order 1351.29.

Raymond R. Posten,
Associate Administrator for Rulemaking.
[FR Doc. 2021-21198 Filed 9-29-21; 8:45 am]
BILLING CODE 4910-59-P


[Federal Register Volume 77, Number 31 (Wednesday, February 15, 2012)]
[Notices]
[Pages 8867-8868]
[FR Doc No: 2012-3531]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-9632-3]

Request for Nominations to the National and Governmental Advisory
Committees to the U.S. Representative to the Commission for
Environmental Cooperation

AGENCY: Environmental Protection Agency.

ACTION: Notice of request for nominations.

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SUMMARY: The U.S. Environmental Protection Agency (EPA) is inviting
nominations from a diverse range of qualified candidates to be
considered for appointment to fill vacancies on the National Advisory
Committee (NAC) and the Governmental Advisory Committee (GAC) to the
U.S. Representative to the Commission for Environmental Cooperation
(CEC). Vacancies on these two committees are expected to be selected by
March 31, 2012. We encourage nominations to be submitted as soon as
possible. Additional sources may be utilized in the solicitation of
nominees.

SUPPLEMENTARY INFORMATION: The National Advisory Committee and the
Governmental Advisory Committee advise the EPA Administrator in her
capacity as the U.S. Representative to the CEC Council. The Committees
are authorized under Articles 17 and 18 of the North American Agreement
on Environmental Cooperation (NAAEC), the North American Free Trade
Agreement (NAFTA) Implementation Act, Public Law 103-182, and as
directed by Executive Order 12915, entitled ``Federal Implementation of
the North American Agreement on Environmental Cooperation.'' The
Committees are responsible for providing advice to the United States
Representative on a wide range of strategic, scientific, technological,
regulatory and economic issues related to implementation and further
elaboration of the NAAEC. The National Advisory Committee consists of
13 representatives from environmental non-profit groups, business and
industry, and educational institutions. The Governmental Advisory
Committee consists of 12 representatives from state, local, and tribal
governments. Members are appointed by the EPA Administrator for a two-
year term. The committees usually meet 3 times per year and the average
workload for committee members is approximately 10 to 15 hours per
month. Members serve on the committees in a voluntary capacity.
Although we are unable to provide compensation or an honorarium for
your services, you may receive travel and per diem allowances,
according to applicable federal travel regulations. EPA is seeking
nominations from all sectors, including academia, industry, non-
governmental organizations, and state, local and tribal governments.
Nominees will be considered according

to the mandates of FACA, which requires committees to maintain
diversity across a broad range of constituencies, sectors, and groups.
EPA values and welcomes diversity. In an effort obtain nominations of
diverse candidates, EPA encourages nominations of women and men of all
racial and ethnic groups. The following criteria will be used to
evaluate nominees:
     Professional knowledge of the subjects examined by the
committees, including trade and environment issues, the NAFTA, the
NAAEC, and the CEC.
     Represent a sector or group involved in trilateral
environmental policy issues.
     Senior-level experience in the sectors represented on both
committees.
     A demonstrated ability to work in a consensus building
process with a wide range of representatives from diverse
constituencies.

    Nominations must include a resume and a short biography describing
the professional and educational qualifications of the nominee, as well
as the nominee's current business address, email address, and daytime
telephone number. Interested candidates may self-nominate. Anyone
interested in being considered for nomination is encouraged to submit
their application materials as soon as possible. To help the Agency in
evaluating the effectiveness of its outreach efforts, please tell us
how you learned of this opportunity. Please be aware that EPA's policy
is that, unless otherwise prescribed by statute, members generally are
appointed for two-year terms.

Submit nominations to: Oscar Carrillo, Designated Federal Officer,
Office of Federal Advisory Committee Management and Outreach, U.S.
Environmental Protection Agency (1601-M), 1200 Pennsylvania Avenue NW.,
Washington, DC 20460. You may also email nominations with subject line
COMMITTEE RESUME 2012 to<EMAIL_ADDRESS>
FOR FURTHER INFORMATION CONTACT: Oscar Carrillo, Designated Federal
Officer, U.S. Environmental Protection Agency (1601-M), Washington, DC
20460; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>; email
<EMAIL_ADDRESS>
    Dated: February 6, 2012.
Oscar Carrillo,
Designated Federal Officer.
[FR Doc. 2012-3531 Filed 2-14-12; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register: March 5, 2008 (Volume 73, Number 44)]
[Notices]
[Page 11911]
[DOCID:fr05mr08-60]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket Nos. ER08-371-000; ER08-371-001

Cooperative Energy Incorporated; Notice of Issuance of Order

February 27, 2008.
    Cooperative Energy Incorporated (Coop Energy) filed an application
for market-based rate authority, with an accompanying rate schedule.
The proposed market-based rate schedule provides for the sale of energy
and capacity at market-based rates. Coop Energy also requested waivers
of various Commission regulations. In particular, Coop Energy requested
that the Commission grant blanket approval under 18 CFR part 34 of all
future issuances of securities and assumptions of liability by Coop
Energy.
    On February 26, 2008, pursuant to delegated authority, the
Director, Division of Tariffs and Market Development--West, granted the
request for blanket approval under part 34 (Director's Order). The
Director's Order also stated that the Commission would publish a
separate notice in the Federal Register establishing a period of time
for the filing of protests. Accordingly, any person desiring to be
heard concerning the blanket approvals of issuances of securities or
assumptions of liability by Coop Energy, should file a protest 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, 385.214
(2007). The Commission encourages the electronic submission of protests
using the FERC Online link at http://www.ferc.gov.
    Notice is hereby given that the deadline for filing protests is
March 27, 2008.
    Absent a request to be heard in opposition to such blanket
approvals by the deadline above, Coop Energy is authorized to issue
securities and assume obligations or liabilities as a guarantor,
indorser, surety, or otherwise in respect of any security of another
person; provided that such issuance or assumption is for some lawful
object within the corporate purposes of Coop Energy, compatible with
the public interest, and is reasonably necessary or appropriate for
such purposes.
    The Commission reserves the right to require a further showing that
neither public nor private interests will be adversely affected by
continued approvals of Coop Energy's issuance of securities or
assumptions of liability.
    Copies of the full text of the Director's Order are available from
the Commission's Public Reference Room, 888 First Street, NE.,
Washington, DC 20426. The Order may also be viewed on the Commission's
Web site at http://www.ferc.gov, using the eLibrary link. Enter the
docket number excluding the last three digits in the docket number
filed to access the document. Comments, protests, and interventions may
be filed electronically via the Internet in lieu of paper. See 18 CFR
385.2001(a)(1)(iii) and the instructions on the Commission's Web site
under the ``e-Filing'' link. The Commission strongly encourages
electronic filings.

Kimberly D. Bose,
Secretary.
[FR Doc. E8-4167 Filed 3-4-08; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 81, Number 125 (Wednesday, June 29, 2016)]
[Notices]
[Pages 42380-42386]
[FR Doc No: 2016-15324]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-78146; File No. SR-CHX-2016-09]

Self-Regulatory Organizations; Chicago Stock Exchange, Inc.;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Adopt Rules To Implement the Regulation NMS Plan To Implement a Tick
Size Pilot Program

June 23, 2016.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 \2\ thereunder, notice is hereby given
that on June 16, 2016, the Chicago Stock Exchange, Inc. (``CHX'' or the
``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 Substance
of the Proposed Rule Change

    CHX proposes to amend the Rules of the Exchange (``CHX Rules'') to
adopt Article 20, Rule 13(a) to implement the quoting and trading
provisions of the Regulation NMS Plan to Implement a Tick Size Pilot
Program (``Plan''). The proposed rule change is substantially similar
to a proposed rule change approved by the Commission by the Bats BZX
Exchange, Inc. f/k/a BATS Exchange, Inc. (``BZX'') to adopt BZX Rule
11.27(a) which also implemented the quoting and trading provisions of
the Plan.\3\ Therefore, the Exchange has designated this proposal as
``non-controversial'' and provided the

Commission with the notice required by Rule 19b-4(f)(6)(iii) under the
Act.\4\
---------------------------------------------------------------------------

    \3\ See Securities Exchange Act Release No. 77291 (March 3,
2016), 81 FR 12543 (March 9, 2016) (order approving SR-BATS-2015-
108).
    \4\ 17 CFR 240.19b-4(f)(6)(iii).
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    The text of this proposed rule change is available on the
Exchange's Web site at (www.chx.com) and in 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 CHX included statements
concerning the purpose of and basis for the proposed rule changes 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 CHX 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 Changes

1. Purpose
    On August 25, 2014, NYSE Group, Inc., on behalf of the Exchange,
BZX, Bats BYX Exchange, Inc. f/k/a BATS Y-Exchange, Inc., Bats EDGA
Exchange, Inc. f/k/a EDGA Exchange, Inc., Bats EDGX Exchange, Inc. f/k/
a EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc.
(``FINRA''), NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, the Nasdaq Stock
Market LLC, New York Stock Exchange LLC (``NYSE''), NYSE MKT LLC, and
NYSE Arca, Inc. (collectively ``Plan Participants''),\5\ filed with the
Commission, pursuant to Section 11A of the Act \6\ and Rule 608 of
Regulation NMS thereunder, the Plan to implement a tick size pilot
program (``Pilot'').\7\ The Plan Participants filed the Plan to comply
with an order issued by the Commission on June 24, 2014.\8\ The Plan
\9\ was published for comment in the Federal Register on November 7,
2014, and approved by the Commission, as modified, on May 6, 2015.\10\
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    \5\ A ``Participant'' is a ``member'' of the Exchange for
purposes of the Act. See CHX Article 1, Rule 1(s). For clarity, the
Exchange proposes to utilize the term ``CHX Participant'' when
referring to members of the Exchange and the term ``Plan
Participant'' when referring to Participants of the Plan.
    \6\ 15 U.S.C. 78k-1.
    \7\ See Letter from Brendon J. Weiss, Vice President,
Intercontinental Exchange, Inc., to Secretary, Commission, dated
August 25, 2014.
    \8\ See Securities Exchange Act Release No. 72460 (June 24,
2014), 79 FR 36840 (June 30, 2014).
    \9\ Unless otherwise specified, capitalized terms used in this
rule filing are defined as set forth in the Plan. The Exchange also
proposes supplementary material as part of this proposed rule change
to, among other things, provide that the terms used in proposed Rule
13(a) shall have the same meaning as provided in the Plan, unless
otherwise specified.
    \10\ See Securities Exchange Act Release No. 74892 (May 6,
2015), 80 FR 27514 (May 13, 2015) (``Approval Order'').
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    The Plan is designed to allow the Commission, market participants,
and the public to study and assess the impact of increment conventions
on the liquidity and trading of the common stocks of small-
capitalization companies. Each Plan Participant is required to comply
with, and to enforce compliance by its member organizations, as
applicable, with the provisions of the Plan. As is described more fully
below, the proposed rules would require CHX Participants to comply with
the applicable quoting and trading increments for Pilot Securities.\11\
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    \11\ The Exchange proposes to add Interpretation and Policy .03
to Rule 13(a) to provide that the Rule shall be in effect during a
pilot period to coincide with the pilot period for the Plan
(including any extensions to the pilot period for the Plan).
---------------------------------------------------------------------------

    The Pilot will include stocks of companies with $3 billion or less
in market capitalization, an average daily trading volume of one
million shares or less, and a volume weighted average price of at least
$2.00 for every trading day. The Pilot will consist of a control group
of approximately 1400 Pilot Securities and three test groups with 400
Pilot Securities in each selected by a stratified sampling.\12\ During
the Pilot, Pilot Securities in the control group will be quoted and
traded at the currently permissible increments. Pilot Securities in the
first test group (``Test Group One'') will be quoted in $0.05 minimum
increments but will continue to trade at any price increment that is
currently permitted.\13\ Pilot Securities in the second test group
(``Test Group Two'') will be quoted in $0.05 minimum increments and
will trade at $0.05 minimum increments subject to a midpoint exception,
a retail investor order exception, and a negotiated trade
exception.\14\ Pilot Securities in the third test group (``Test Group
Three'') will be subject to the same restrictions as Test Group Two and
also will be subject to the ``Trade-at'' requirement to prevent price
matching by a market participant that is not displaying at a price of a
Trading Center's \15\ ``Best Protected Bid'' or ``Best Protected
Offer,'' unless an enumerated exception applies.\16\ In addition to the
exceptions provided under Test Group Two, an exception for Block Size
orders and exceptions that mirror those under Rule 611 of Regulation
NMS \17\ will apply to the Trade-at requirement.
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    \12\ See Section V of the Plan for identification of Pilot
Securities, including criteria for selection and grouping.
    \13\ See Section VI(B) of the Plan.
    \14\ See Section VI(C) of the Plan.
    \15\ The Plan incorporates the definition of ``Trading Center''
from Rule 600(b)(78) of Regulation NMS. Regulation NMS defines a
Trading Center as ``a national securities exchange or national
securities association that operates an SRO trading facility, an
alternative trading system, an exchange market maker, an OTC market
maker, or any other broker or dealer that executes orders internally
by trading as principal or crossing orders as agent.''
    \16\ See Section VI(D) of the Plan.
    \17\ 17 CFR 242.611.
---------------------------------------------------------------------------

Compliance With the Quoting and Trading Increments of the Plan
    The Plan requires the Exchange to establish, maintain, and enforce
written policies and procedures that are reasonably designed to comply
with applicable quoting and trading requirements specified in the
Plan.\18\ Accordingly, the Exchange is proposing new paragraph (a) to
Article 20, Rule 13 (Compliance with Regulation NMS Plan to Implement a
Tick Size Pilot Program) to require CHX Participants to comply with the
quoting and trading provisions of the Plan.
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    \18\ The Exchange is also required by the Plan to develop
appropriate policies and procedures that provide for data collection
and reporting to the Commission of data described in Appendixes B
and C of the Plan. CHX Article 20, Rule 13(b) provides rules that
require compliance by CHX Participants with the collection of data
provisions of the Plan described in Section VII of the Plan. See
Exchange Act Release No. 77469 (March 29, 2016), 81 FR 19275 (April
4, 2016) (SR-CHX-2016-03).
---------------------------------------------------------------------------

    Proposed Rule 13(a) (Compliance with Quoting and Trading
Restrictions) sets forth the requirements for the Exchange and CHX
Participants in meeting their obligations under the Plan. Rule 13(a)(1)
will require CHX Participants to establish, maintain and enforce
written policies and procedures that are reasonably designed to comply
with the applicable quoting and trading requirements of the Plan. Rule
13(a)(2) provides that the Matching System \19\ will not display, quote
or trade in violation of the applicable quoting and trading
requirements for a Pilot Security specified in the Plan and this Rule,
unless such quotation or transaction is specifically exempted under the
Plan.
---------------------------------------------------------------------------

    \19\ The Matching System is an automated order execution system,
which is a part of the Exchange's ``Trading Facilities,'' as defined
under CHX Article 1, Rule 1(z).
---------------------------------------------------------------------------

    Proposed Rule 13(a)(3) clarifies the treatment of Pilot Securities
that drop below $1.00 during the Pilot Period. In particular, Rule
13(a)(3) provides that, if the price of a Pilot Security drops below
$1.00 during regular trading hours on any trading day, such Pilot
Security will continue to be a Pilot Security subject

to the Plan. However, if the Closing Price of a Pilot Security on any
given trading day is below $1.00, such Pilot Security will be moved out
of its Pilot Test Group into the Control Group, and may then be quoted
and traded at any price increment that is currently permitted for the
remainder of the Pilot Period.\20\ Rule 13(a)(3) also provides that,
notwithstanding anything contained within these rules to the contrary,
Pilot Securities (whether in the Control Group or any Pilot Test Group)
will continue to be subject to the data collection requirements of the
Plan at all times during the Pilot Period and for the six-month period
following the end of the Pilot Period.
---------------------------------------------------------------------------

    \20\ The NYSE, on behalf of the Plan Participants, submitted a
letter to Commission requesting exemption from certain provisions of
the Plan related to quoting and trading. See letter from Elizabeth
K. King, NYSE, to Brent J. Fields, Secretary, Commission, dated
October 14, 2015 (``October Exemption Request''). FINRA, also on
behalf of the Plan Participants, submitted a separate letter to
Commission requesting additional exemptions from certain provisions
of the Plan related to quoting and trading. See letter from Marcia
E. Asquith, Senior Vice President and Corporate Secretary, FINRA, to
Robert W. Errett, Deputy Secretary, Commission, dated February 23,
2016 (``February Exemption Request''). The Commission, pursuant to
its authority under Rule 608(e) of Regulation NMS, granted BZX a
limited exemption from the requirement to comply with certain
provisions of the Plan as specified in the letter and noted herein.
See letter from David Shillman, Associate Director, Division of
Trading and Markets, Commission to Eric Swanson, General Counsel,
BZX, dated March 3, 2016 (``Exemption Letter''). The Exchange is
seeking the same exemptions as requested in the October Exemption
Request and the February Exemption Request.
---------------------------------------------------------------------------

    In approving the Plan, the Commission noted that the Plan
Participants had proposed additional selection criteria to minimize the
likelihood that securities that trade with a share price of $1.00 or
less would be included in the Pilot, and stated that, once established,
the universe of Pilot Securities should stay as consistent as possible
so that the analysis and data can be accurate throughout the Pilot
Period.\21\ The Exchange notes that a Pilot Security that drops below
$1.00 during regular trading hours will remain in its applicable Test
Group; a Pilot Security will only be moved to the Control Group if its
Closing Price on any given trading day is below $1.00. The Exchange
believes that this provision is appropriate because it will help ensure
that Pilot Securities in Test Groups One, Two and Three continue to
reflect the Pilot's selection criteria, helping ensure the accuracy of
the resulting data. The Exchange also believes that this provision is
appropriate because it responds to comments that the Plan address the
treatment of securities that trade below $1.00 during the Pilot
Period.\22\
---------------------------------------------------------------------------

    \21\ See Approval Order, supra note 10, 80 FR at 27535.
    \22\ Id.
---------------------------------------------------------------------------

    Proposed Rule 13(a)(4) sets forth the applicable limitations for
securities in Test Group One. Consistent with the language of the Plan,
Rule 13(a)(4) provides that no CHX Participant may display, rank, or
accept from any person any displayable or non-displayable bids or
offers, orders, or indications of interest in any Pilot Security in
Test Group One in increments other than $0.05. However, orders priced
to execute at the midpoint of the national best bid and national best
offer (``NBBO'') or best protected bid and best protected offer
(``PBBO'') \23\ and orders entered in a Plan Participant-operated
retail liquidity program may be ranked and accepted in increments of
less than $0.05. Pilot Securities in Test Group One may continue to
trade at any price increment that is currently permitted by applicable
Plan Participant, SEC and Exchange rules.
---------------------------------------------------------------------------

    \23\ Regulation NMS defines a protected bid or protected offer
as a quotation in an NMS stock that (1) is displayed by an automated
trading center; (2) is disseminated pursuant to an effective
national market system plan; and (3) is an automated quotation that
is the best bid or best offer of a national securities exchange, the
best bid or best offer of The Nasdaq Stock Market, Inc., or the best
bid or best offer of a national securities association other than
the best bid or best offer of The Nasdaq Stock Market, Inc. See 17
CFR 242.600(57). In the Approval Order, the Commission noted that
the protected quotation standard encompasses the aggregate of the
most aggressively priced displayed liquidity on all Trading Centers,
whereas the NBBO standard is limited to the single best order in the
market. See Approval Order, supra note 10, 80 FR at 27539.
---------------------------------------------------------------------------

    Proposed Rule 13(a)(5) sets forth the applicable quoting and
trading requirements for securities in Test Group Two. This provision
states that no CHX Participant may display, rank, or accept from any
person any displayable or non-displayable bids or offers, orders, or
indications of interest in any Pilot Security in Test Group Two in
increments other than $0.05. However, orders priced to execute at the
midpoint of the NBBO or PBBO and orders entered in a Plan Participant-
operated retail liquidity program may be ranked and accepted in
increments of less than $0.05.
    Proposed Rule 13(a)(5) also sets forth the applicable trading
restrictions for Test Group Two securities. Absent any of the
exceptions listed in the Rule, no CHX Participant may execute orders in
any Pilot Security in Test Group Two in price increments other than
$0.05. The $0.05 trading increment will apply to all trades, including
Brokered Cross Trades.
    Consistent with the language of the Plan, the Rule provides that
Pilot Securities in Test Group Two may trade in increments of less than
$0.05 under the following circumstances: (1) Trading may occur at the
midpoint between the NBBO or the PBBO; (2) Retail Investor Orders may
be provided with price improvement that is at least $0.005 better than
the PBBO; and (3) Negotiated Trades may trade in increments of less
than $0.05.
    The Exchange also proposes to add an exception to Rule 13(a)(5) to
permit CHX Participants to fill a customer order in a Pilot Security in
Test Group Two at a non-nickel increment to comply with Article 9, Rule
17 (Prohibition Against Trading Ahead of Customer Orders) under limited
circumstances. Specifically, the exception would allow the execution of
a customer order following a proprietary trade by the CHX Participant
at an increment other than $0.05 in the same security, on the same side
and at the same price as (or within the prescribed amount of) a
customer order owed a fill pursuant to Article 9, Rule 17, where the
triggering proprietary trade was permissible pursuant to an exception
under the Plan.\24\
---------------------------------------------------------------------------

    \24\ The Commission granted BZX an exemption from Rule 608(c)
related to this provision. See February Exemption Request and
Exemption Letter, supra note 20. The Exchange is seeking the same
exemptions as requested in the October Exemption Request and the
February Exemption Request. Supra note 20.
---------------------------------------------------------------------------

    Thus, the Exchange is proposing to add a customer order protection
exception to Rule 13(a)(5) that would permit CHX Participants to trade
Pilot Securities in Test Group Two in increments less than $0.05, and
where the CHX Participant is executing a customer order to comply with
Article 9, Rule 17 following the execution of a proprietary trade by
the CHX Participant at an increment other than $0.05 where such
proprietary trade was permissible pursuant to an exception under the
Plan. The Exchange believes that this approach best facilitates the
ability of CHX Participants to continue to protect customer orders
while retaining the flexibility to engage in proprietary trades that
comply with an exception to the Plan.
    Proposed Rule 13(a)(6) sets forth the applicable quoting and
trading restrictions for Pilot Securities in Test Group Three. The rule
provides that no CHX Participant may display, rank, or accept from any
person any displayable or non-displayable bids or offers, orders, or
indications of interest in any Pilot Security in Test Group Three in
increments other than $0.05. However, orders priced to execute at the
midpoint of the NBBO or PBBO and orders

entered in a Plan Participant-operated retail liquidity program may be
ranked and accepted in increments of less than $0.05. The rule also
states that, absent any of the applicable exceptions, no CHX
Participant that operates a Trading Center may execute orders in any
Pilot Security in Test Group Three in price increments other than
$0.05. The $0.05 trading increment will apply to all trades, including
Brokered Cross Trades.\25\
---------------------------------------------------------------------------

    \25\ A brokered cross trade is a trade that a broker-dealer that
is a member of a Plan Participant executes directly by matching
simultaneous buy and sell orders for a Pilot Security. See Section
I(G) of the Plan.
---------------------------------------------------------------------------

    Proposed Rule 13(a)(6)(C) sets forth the exceptions pursuant to
which Pilot Securities in Test Group Three may trade in increments of
less than $0.05. First, trading may occur at the midpoint between the
NBBO or PBBO. Second, Retail Investor Orders may be provided with price
improvement that is at least $0.005 better than the PBBO. Third,
Negotiated Trades may trade in increments of less than $0.05.
    Similar to that proposed under Rule 13(a)(5) described above, the
Exchange also proposes to add an exception to Rule 13(a)(6) to permit
CHX Participants to fill a customer order in a Pilot Security in Test
Group Three at a non-nickel increment to comply with Article 9, Rule 17
(Prohibition Against Trading Ahead of Customer Orders) under limited
circumstances. Specifically, the exception would allow the execution of
a customer order following a proprietary trade by the CHX Participant
at an increment other than $0.05 in the same security, on the same side
and at the same price as (or within the prescribed amount of) a
customer order owed a fill pursuant to Article 9, Rule 17, where the
triggering proprietary trade was permissible pursuant to an exception
under the Plan.\26\ Thus, the Exchange is proposing to add a customer
order protection exception to Rule 13(a)(6) that would permit CHX
Participants to trade Pilot Securities in Test Group Three in
increments less than $0.05, and where the CHX Participant is executing
a customer order to comply with Article 9, Rule 17 following the
execution of a proprietary trade by the CHX Participant at an increment
other than $0.05 where such proprietary trade was permissible pursuant
to an exception under the Plan.
---------------------------------------------------------------------------

    \26\ See supra note 24. The Exchange is seeking the same
exemptions as requested in the October Exemption Request and the
February Exemption Request. Supra note 20.
---------------------------------------------------------------------------

    Proposed Rule 13(a)(6)(D) sets forth the ``Trade-at Prohibition,''
which is the prohibition against executions by a CHX Participant that
operates a Trading Center of a sell order for a Pilot Security in Test
Group Three at the price of a Protected Bid or the execution of a buy
order for a Pilot Security in Test Group Three at the price of a
Protected Offer during regular trading hours, absent any of the
exceptions set forth in Rule 13(a)(6)(D). Consistent with the Plan, the
rule reiterates that a CHX Participant that operates a Trading Center
that is displaying a quotation, via either a processor or an SRO
quotation feed that is a Protected Bid or Protected Offer is permitted
to execute orders at that level, but only up to the amount of its
displayed size. A CHX Participant that operates a Trading Center that
was not displaying a quotation that is the same price as a Protected
Quotation, via either a processor or an SRO quotation feed, is
prohibited from price-matching protected quotations unless an exception
applies.
    Consistent with the Plan, proposed Rule 13(a)(6)(D) also sets forth
the exceptions to the Trade-at prohibition, pursuant to which a CHX
Participant that operates a Trading Center may execute a sell order for
a Pilot Security in Test Group Three at the price of a Protected Bid or
execute a buy order for a Pilot Security in Test Group Three at the
price of a Protected Offer. The first exception to the Trade-at
Prohibition is the ``display exception,'' which allows a trade to occur
at the price of the Protected Quotation, up to the Trading Center's
full displayed size, if the order ``is executed by a trading center
that is displaying a quotation.'' \27\
---------------------------------------------------------------------------

    \27\ See Section VI(D)(1) of the Plan.
---------------------------------------------------------------------------

    In Rule 13(a)(6)(D), the Exchange proposes that a CHX Participant
that utilizes the independent aggregation unit concept may satisfy the
display exception only if the same independent aggregation unit that
displays interest via either a processor or an SRO Quotation Feed also
executes an order in reliance upon this exception. The rule provides
that ``independent aggregation unit'' has the same meaning as provided
under Rule 200(f) of SEC Regulation SHO.\28\ This provision also
recognizes that not all CHX Participants may utilize the independent
aggregation unit concept as part of their regulatory structure, and
still permits such CHX Participants to utilize the display exception if
all the other requirements of that exception are met.
---------------------------------------------------------------------------

    \28\ 17 CFR 242.200. Treatment as an independent aggregation
unit is available if traders in an aggregation unit pursue only the
particular trading objective(s) or strategy(ies) of that aggregation
unit and do not coordinate that strategy with any other aggregation
unit. Therefore, one independent aggregation unit within a Trading
Center cannot execute trades pursuant to the display exception in
reliance on quotations displayed by a different independent
aggregation unit. As an example, an agency desk of a Trading Center
cannot rely on the quotation of a proprietary desk in a separate
independent aggregation unit at that same Trading Center.
---------------------------------------------------------------------------

    As initially proposed by the Plan Participants, the Plan contained
an additional condition to the display exception, which would have
required that, where the quotation is displayed through a national
securities exchange, the execution at the size of the order must occur
against the displayed size on that national securities exchange; and
where the quotation is displayed through the Alternative Display
Facility or another facility approved by the Commission that does not
provide execution functionality, the execution at the size of the order
must occur against the displayed size in accordance with the rules of
the Alternative Display Facility of such approved facility (``venue
limitation'').\29\ Some commenters stated that this provision was anti-
competitive, as it would have forced off-exchange Trading Centers to
route orders to the venue on which the order was displayed.\30\
---------------------------------------------------------------------------

    \29\ See Securities Exchange Act Release No. 73511 (November 3,
2014), 79 FR 66423, 66437 (November 7, 2014).
    \30\ See Approval Order, supra note 10, 80 FR at 27540.
---------------------------------------------------------------------------

    In approving the Plan, the Commission modified the Trade-At
Prohibition to remove the venue limitation.\31\ The Commission noted
that the venue limitation was not prescribed in its Order mandating the
filing of the Plan.\32\ The Commission also noted that the venue
limitation would have unnecessarily restricted the ability of off-
exchange market participants to execute orders in Test Group Three
Securities, and that removing the venue limitation should mitigate
concerns about the cost and complexity of the Pilot by reducing the
need for off-exchange Trading Centers to route to the exchange.\33\ The
Commission also stated that the venue limitation did not create any
additional incentives to display liquidity in furtherance of the
purposes of the Trade-At Prohibition, because the requirement that a
Trading Center could only trade at a protected quotation up to its
displayed size should be sufficient to incentivize displayed
liquidity.\34\
---------------------------------------------------------------------------

    \31\ Id.
    \32\ Id.
    \33\ Id.
    \34\ Id.
---------------------------------------------------------------------------

    Consistent with Plan and the SEC's determination to remove the
venue limitation, the Exchange is making clear that the display
exception applies to

trades done by a Trading Center otherwise than on an exchange where the
Trading Center has previously displayed a quotation in either an agency
or a principal capacity. As part of the display exception, the Exchange
also proposes that a Trading Center that is displaying a quotation as
agent or riskless principal may only execute as agent or riskless
principal, while a Trading Center displaying a quotation as principal
(excluding riskless principal) may execute either as principal or agent
or riskless principal. The Exchange believes this is consistent with
the Plan and the objective of the Trade-at Prohibition, which is to
promote the display of liquidity and generally to prevent any Trading
Center that is not quoting from price-matching Protected Quotations.
Providing that a Trading Center may not execute on a proprietary basis
in reliance on a quotation representing customer interest (whether
agency or riskless principal) ensures that the Trading Center cannot
avoid compliance with the Trade-at Prohibition by trading on a
proprietary basis in reliance on a quotation that does not represent
such Trading Center's own interest. Where a Trading Center is
displaying a quotation at the same price as a Protected Quotation in a
proprietary capacity, transactions in any capacity at the price and up
to the size of such Trading Center's displayed quotation would be
permissible. Transactions executed pursuant to the display exception
may occur on the venue on which such quotation is displayed or over the
counter.
    The proposal also excepts Block Size orders \35\ and permits
Trading Centers to trade at the price of a Protected Quotation,
provided that the order is of Block Size at the time of origin and is
not an aggregation of non-block orders, broken into orders smaller than
Block Size prior to submitting the order to a Trading Center for
execution; or executed on multiple Trading Centers.\36\ The Plan only
provides that Block Size orders shall be exempted from the Trade-At
Prohibition. In requiring that the order be of Block Size at the time
of origin and not an aggregation of non-block orders, or broken into
orders smaller than Block Size prior to submitting the order to a
Trading Center for execution; or executed on multiple Trading Centers,
the Exchange believes that it is providing clarity as to the
circumstances under which a Block Size order will be excepted from the
Trade-At Prohibition.
---------------------------------------------------------------------------

    \35\ ``Block Size'' is defined in the Plan as an order (1) of at
least 5,000 shares or (2) for a quantity of stock having a market
value of at least $100,000.
    \36\ Once a Block Size order or portion of such Block Size order
is routed from one Trading Center to another Trading Center in
compliance with Rule 611 of Regulation NMS, the Block Size order
would lose the proposed Trade-at exemption, unless the Block Size
remaining after the first route and execution meets the Block Size
definition under the Plan.
---------------------------------------------------------------------------

    Consistent with the Plan, the proposal also excepts an order that
is a Retail Investor Order that is executed with at least $0.005 price
improvement.
    The exceptions set forth in proposed Rule 13(a)(6)(D)(ii)(d)
through (n) are based on the exceptions found in Rule 611 of Regulation
NMS.\37\ The subparagraph (d) exception applies when the order is
executed when the Trading Center displaying the Protected Quotation
that was traded at was experiencing a failure, material delay, or
malfunction of its systems or equipment. The subparagraph (e) exception
applies to an order that is executed as part of a transaction that was
not a ``regular way'' contract. The subparagraph (f) exception applies
to an order that is executed as part of a single-priced opening,
reopening, or closing transaction by the Trading Center. The
subparagraph (g) exception applies to an order that is executed when a
Protected Bid was priced higher than a Protected Offer in a Pilot
Security.
---------------------------------------------------------------------------

    \37\ See 17 CFR 242.611.
---------------------------------------------------------------------------

    The subparagraph (h) exception applies when the order is identified
as a Trade-at Intermarket Sweep Order. The subparagraph (i) exception
applies when the order is executed by a Trading Center that
simultaneously routed Trade-at Intermarket Sweep Orders to execute
against the full displayed size of a Protected Quotation with a price
that is better than or equal to the limit price of the limit order
identified as a Trade-at Intermarket Sweep Order. Depending on whether
Rule 611 or the Trade-at requirement applies, an ISO may mean that the
sender of the ISO has swept better-priced protected quotations, so that
the recipient of that ISO may trade through the price of the protected
quotation (Rule 611), or it could mean that the sender of the ISO has
swept protected quotations at the same price that it wishes to execute
at (in addition to any better-priced quotations), so the recipient of
that ISO may trade at the price of the protected quotation (Trade-at).
Given that the meaning of an ISO may differ under Rule 611 and Trade-
at, the Exchange proposes Rule 13(a)(6)(D)(ii)(h) so that the recipient
of an ISO in a Test Group Three security would know, upon receipt of
that ISO, that the Trading Center that sent the ISO had already
executed against the full size of displayed quotations at that price,
e.g., the recipient of that ISO could permissibly trade at the price of
the protected quotation.
    The Exchange proposes to further clarify the use of an ISO in
connection with the Trade-at requirement by adopting, as part of
proposed Rule 13(a)(7), a definition of ``Trade-at Intermarket Sweep
Order.'' As set forth in the Plan and as noted above, the definition of
a Trade-at ISO does not distinguish ISOs that are compliant with Rule
611 from ISOs that are compliant with Trade-at. The Exchange therefore
proposes to define a Trade-at ISO as a limit order for a Pilot Security
that meets the following requirements: (1) When routed to a Trading
Center, the limit order is identified as a Trade-at Intermarket Sweep
Order; (2) simultaneously with the routing of the limit order
identified as a Trade-at Intermarket Sweep Order, one or more
additional limit orders, as necessary, are routed to execute against
the full displayed size of any protected bid, in the case of a limit
order to sell, or the full displayed size of any protected offer, in
the case of a limit order to buy, for the Pilot Security with a price
that is better than or equal to the limit price of the limit order
identified as a Trade-at Intermarket Sweep Order. These additional
routed orders also must be marked as Trade-at Intermarket Sweep Orders.
The Exchange believes that this proposed change will further clarify to
recipients of ISOs in Group Three securities whether the ISO satisfies
the requirements of Rule 611 or Trade-at.
    The exception under subparagraph (j) of proposed Rule
13(a)(6)(D)(ii) applies when the order is executed as part of a
Negotiated Trade. The subparagraph (k) exception applies when the order
is executed when the Trading Center displaying the Protected Quotation
that was traded at had displayed, within one second prior to execution
of the transaction that constituted the Trade-at, a Best Protected Bid
or Best Protected Offer, as applicable, for the Pilot Security with a
price that was inferior to the price of the Trade-at transaction.
    The exception proposed in subparagraph (l) applies to a ``stopped
order.'' The stopped order exemption in Rule 611 of SEC Regulation NMS
applies where ``[t]he price of the trade-through transaction was, for a
stopped buy order, lower than the national best bid in the NMS stock at
the time of execution or, for a stopped sell order, higher than the
national best offer in the NMS stock at the time of execution.'' \38\
The Trade-at stopped order exception applies where ``the price of the
Trade-at transaction was, for a stopped buy

order, equal to the national best bid in the Pilot Security at the time
of execution or, for a stopped sell order, equal to the national best
offer in the Pilot Security at the time of execution.'' \39\
---------------------------------------------------------------------------

    \38\ See 17 CFR 242.611(b)(9).
    \39\ See Plan, Section VI(D)(12).
---------------------------------------------------------------------------

    To illustrate the application of the stopped order exemption as it
currently operates under Rule 611 of SEC Regulation NMS and as it is
currently proposed for Trade-at, assume the NBB is $10.00 and another
protected quote is at $9.95. Under Rule 611 of SEC Regulation NMS, a
stopped order to buy can be filled at $9.95 and the firm does not have
to send an ISO to access the protected quote at $10.00 since the price
of the stopped order must be lower than the NBB. For the stopped order
to also be executed at $9.95 and satisfy the Trade-at requirements, the
Trade-at exception would have to be revised to allow an order to
execute at the price of a protected quote which, in this case, could be
$9.95.
    Based on the fact that a stopped order would be treated differently
under the Regulation NMS Rule 611 exception than under the proposed
Trade-at exception, the Exchange believes that it is appropriate to
amend the Trade-at stopped order exception to ensure that the
application of this exception will produce a consistent result under
both Regulation NMS and the Plan. The Exchange therefore proposes to
amend the stopped order exception to allow a transaction to satisfy the
Trade-at requirement if the stopped order price, for a stopped buy
order, is equal to or less than the NBB, and for a stopped sell order,
is equal to or greater than the NBO, as long as such order is priced at
an acceptable increment.
    Proposed subparagraph (l) to Rule 13(a)(6)(D)(ii) would define a
``stopped order'' as an order that is executed by a Trading Center
which, at the time of order receipt, the Trading Center had guaranteed
an execution at no worse than a specified price, where (1) the stopped
order was for the account of a customer; (2) the customer agreed to the
specified price on an order-by-order basis; and (3) the price of the
Trade-at transaction was, for a stopped buy order, equal to or less
than the National Best Bid in the Pilot Security at the time of
execution or, for a stopped sell order, equal to or greater than the
National Best Offer in the Pilot Security at the time of execution as
long as such order is priced at an acceptable increment.\40\
---------------------------------------------------------------------------

    \40\ The Commission granted BZX an exemption from Rule 608(c)
related to this provision. See Exemption Letter, supra note 20. The
Exchange is seeking the same exemptions as requested in the October
Exemption Request and the February Exemption Request. Supra note 20.
---------------------------------------------------------------------------

    The subparagraph (m) exception applies where the order is for a
fractional share of a Pilot Security, provided that such fractional
share order was not the result of breaking an order for one or more
whole shares of a Pilot Security into orders for fractional shares or
was not otherwise effected to evade the requirements of the Trade-at
Prohibition or any other provisions of the Plan.
    The subparagraph (n) exception applies to bona fide errors
transactions. Following the adoption of Rule 611 and its exceptions,
the Commission issued exemptive relief that created exceptions from
Rule 611 for certain error correction transactions.\41\ The Exchange
has determined that it is appropriate to incorporate the error
correction exception to the Trade-at prohibition, as this exception is
equally applicable in the Trade-at context. Accordingly, the Exchange
is proposing to exempt certain transactions to correct bona fide errors
in the execution of customer orders from the Trade-at prohibition,
subject to the conditions set forth by the SEC's order exempting these
transactions from Rule 611 of SEC Regulation NMS.\42\
---------------------------------------------------------------------------

    \41\ See Securities Exchange Act Release No. 55884 (June 8,
2007), 72 FR 32926 (June 14, 2007).
    \42\ The Commission granted BZX an exemption from Rule 608(c)
related to this provision. See February Exemption Request and
Exemption Letter, supra note 20. The Exchange is seeking the same
exemptions as requested in the October Exemption Request and the
February Exemption Request. Supra note 20.
---------------------------------------------------------------------------

    As with the corresponding exception under Rule 611 of SEC
Regulation NMS, the Exchange proposes to define a ``bona fide error''
as: (i) The inaccurate conveyance or execution of any term of an order
including, but not limited to, price, number of shares or other unit of
trading; identification of the security; identification of the account
for which securities are purchased or sold; lost or otherwise misplaced
order tickets; short sales that were instead sold long or vice versa;
or the execution of an order on the wrong side of a market; (ii) the
unauthorized or unintended purchase, sale, or allocation of securities,
or the failure to follow specific client instructions; (iii) the
incorrect entry of data into relevant systems, including reliance on
incorrect cash positions, withdrawals, or securities positions
reflected in an account; or (iv) a delay, outage, or failure of a
communication system used to transmit market data prices or to
facilitate the delivery or execution of an order. The bona fide error
must be evidenced by objective facts and circumstances, the Trading
Center must maintain documentation of such facts and circumstances, and
the Trading Center must record the transaction in its error account. To
avail itself of the exemption, the Trading Center must establish,
maintain, and enforce written policies and procedures that are
reasonably designed to address the occurrence of errors and, in the
event of an error, the use and terms of a transaction to correct the
error in compliance with this exemption. Finally, the Trading Center
must regularly surveil to ascertain the effectiveness of its policies
and procedures to address errors and transactions to correct errors and
take prompt action to remedy deficiencies in such policies and
procedures.\43\
---------------------------------------------------------------------------

    \43\ See Securities Exchange Act Release No. 55884 (June 8,
2007), 72 FR 32926 (June 14, 2007).
---------------------------------------------------------------------------

    Consistent with the Plan, the final exception to the Trade-At
Prohibition and its accompanying supplementary material applies to an
order that is for a fractional share of a Pilot Security. The
supplementary material provides that such fractional share orders may
not be the result of breaking an order for one or more whole shares of
a Pilot Security into orders for fractional shares or that otherwise
were effected to evade the requirements of the Trade-at Prohibition or
any other provisions of the Plan. In approving the Plan, the Commission
noted that this exception was appropriate, as there could be potential
difficulty in the routing and executing of fractional shares.\44\
---------------------------------------------------------------------------

    \44\ See Approval Order, supra note 10, 80 FR at 27541.
---------------------------------------------------------------------------

    The proposed rule change will become operative upon the
commencement of the Pilot Period.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act \45\ in general, and furthers the objectives of Section
6(b)(5) of the Act \46\ in particular, in that it is designed to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in facilitating transactions in
securities, to remove impediments to and perfect the mechanism of a
free and open market and a national market system and, in general, to
protect investors and the public interest.
---------------------------------------------------------------------------

    \45\ 15 U.S.C. 78f(b).
    \46\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that this proposal is consistent with the Act
because it implements, interprets, and clarifies the provisions of the
Plan, and is designed to assist the Exchange and CHX Participants in
meeting regulatory obligations pursuant to the Plan. In approving the
Plan, the SEC noted that

the Pilot was an appropriate, data-driven test that was designed to
evaluate the impact of a wider tick size on trading, liquidity, and the
market quality of securities of smaller capitalization companies, and
was therefore in furtherance of the purposes of the Act. To the extent
that this proposal implements, interprets, and clarifies the Plan and
applies specific requirements to CHX Participants, the Exchange
believes that this proposal is in furtherance of the objectives of the
Plan, as identified by the SEC, and is therefore consistent with the
Act.

B. Self-Regulatory Organization's Statement of 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. The Exchange
notes that the proposed rule change implements the provisions of the
Plan, and is designed to assist the Exchange in meeting its regulatory
obligations pursuant to the Plan. The Exchange also notes that the
quoting and trading requirements of the Plan will apply equally to all
CHX Participants that trade Pilot Securities.

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

    No written comments were either solicited or received.

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

    The Exchange has designated this rule filing as non-controversial
under Section 19(b)(3)(A) of the Act \47\ and paragraph (f)(6) of Rule
19b-4 thereunder.\48\ The Exchange asserts that the proposed rule
change: (1) Will not significantly affect the protection of investors
or the public interest, (2) will not impose any significant burden on
competition, (3) and will not become operative for 30 days from the
date on which it was filed, or such shorter time as the Commission may
designate. In addition, the Exchange provided the Commission with
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.\49\
---------------------------------------------------------------------------

    \47\ 15 U.S.C. 78s(b)(3)(A).
    \48\ 17 CFR 240.19b-4.
    \49\ 17 CFR 240.19b-4(f)(6)(iii).
---------------------------------------------------------------------------

    The Exchange believes that the proposed rule change meets the
criteria of subparagraph (f)(6) of Rule 19b-4 \50\ because it would not
significantly affect the protection of investors or the public
interest; rather, the proposed rule change will benefit investors
because it implements, interprets, and clarifies the provisions of the
Plan, and is designed to assist the Exchange and CHX Participants in
meeting regulatory obligations pursuant to the Plan. To the extent that
this proposal implements, interprets, and clarifies the Plan and
applies specific requirements to CHX Participants, the Exchange
believes that this proposal is in furtherance of the objectives of the
Plan, as identified by the SEC, and is therefore consistent with the
Act, the protection of investors and the public interest. In addition,
the proposed rule change is substantially similar to a proposed rule
change by BZX that was approved by the Commission.\51\ Therefore, the
proposed rule change does not present any unique issues not previously
considered by the Commission. Based on the foregoing, the Exchange has
designated this rule filing as ``non-controversial'' under Section
19(b)(3)(A) of the Act \52\ and paragraph (f)(6) of Rule 19b-4
thereunder.\53\
---------------------------------------------------------------------------

    \50\ 17 CFR 240.19b-4(f)(6).
    \51\ See supra note 3.
    \52\ 15 U.S.C. 78s(b)(3)(A).
    \53\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily temporarily suspend such rule
change if it appears to the Commission that such action is: (1)
Necessary or appropriate in the public interest; (2) for the protection
of investors; or (3) 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 proposal 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 No. SR-CHX-2016-09 on the subject line.

Paper Comments

     Send paper comments in triplicate to [Name of Secretary],
Secretary, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549.

All submissions should refer to File No. SR-CHX-2016-09. 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 changes 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 20549-1090 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 CHX. 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 No. SR-CHX-2016-09 and should be
submitted on or before July 20, 2016.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\54\
---------------------------------------------------------------------------

    \54\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Brent J. Fields,
Secretary.
[FR Doc. 2016-15324 Filed 6-28-16; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 84, Number 200 (Wednesday, October 16, 2019)]
[Notices]
[Pages 55312-55313]
[FR Doc No: 2019-22519]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

    Take notice that the Commission received the following electric
rate filings:
    Docket Numbers: ER18-1737-002.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Midcontinent Independent System Operator, Inc. submits
tariff filing per 35.19a(b): Refund Report_NIPSO Reactive Power to be
effective N/A.
    Filed Date: 10/9/19.
    Accession Number: 20191009-5157.
    Comments Due: 5 p.m. ET 10/30/19.

    Docket Numbers: ER19-2065-002.
    Applicants: Midcontinent Independent System Operator, Inc., Ameren
Illinois Company.
    Description: Report Filing: 2019-10-09_SA 2026 Ameren-Hannibal
Second Substitute 2nd Rev WDS Refund Report to be effective N/A.
    Filed Date: 10/9/19.

    Accession Number: 20191009-5133.
    Comments Due: 5 p.m. ET 10/30/19.

    Docket Numbers: ER20-57-000.
    Applicants: GA Solar 3, LLC.
    Description: Baseline eTariff Filing: Application For Market Based
Rate to be effective 10/26/2019.
    Filed Date: 10/9/19.
    Accession Number: 20191009-5001.
    Comments Due: 5 p.m. ET 10/30/19.

    Docket Numbers: ER20-58-000.
    Applicants: FL Solar 4, LLC.
    Description: Baseline eTariff Filing: Application For Market Based
Rate to be effective 11/4/2019.
    Filed Date: 10/9/19.
    Accession Number: 20191009-5002.
    Comments Due: 5 p.m. ET 10/30/19.

    Docket Numbers: ER20-59-000.
    Applicants: AZ Solar 1, LLC.
    Description: Baseline eTariff Filing: Application For Market Based
Rate to be effective 12/2/2019.
    Filed Date: 10/9/19.
    Accession Number: 20191009-5005.
    Comments Due: 5 p.m. ET 10/30/19.

    Docket Numbers: ER20-60-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Tariff Cancellation: Notice of Cancellation of WMPA/SA
No. 5094, Queue No. AD1-048 to be effective 11/4/2019.
    Filed Date: 10/9/19.
    Accession Number: 20191009-5056.
    Comments Due: 5 p.m. ET 10/30/19.

    Docket Numbers: ER20-61-000.
    Applicants: Citizens Sunrise Transmission LLC.
    Description: Sec.  205(d) Rate Filing: Annual TRBAA Filing October
2019 to be effective 1/1/2020.
    Filed Date: 10/9/19.
    Accession Number: 20191009-5078.
    Comments Due: 5 p.m. ET 10/30/19.

    Docket Numbers: ER20-62-000.
    Applicants: Rochester Gas and Electric Corporation, New York
Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: Section 205 Amended and
Restated IA RGE and RED SA. No 2484 to be effective 9/16/2019.
    Filed Date: 10/9/19.
    Accession Number: 20191009-5086.
    Comments Due: 5 p.m. ET 10/30/19.

    Docket Numbers: ER20-63-000.
    Applicants: Emmons-Logan Wind Interconnection, LLC.
    Description: Baseline eTariff Filing: TSA between Emmons-Logan
Interconnection and Emmons-Logan Wind to be effective 12/6/2019.
    Filed Date: 10/9/19.
    Accession Number: 20191009-5115.
    Comments Due: 5 p.m. ET 10/30/19.

    Docket Numbers: ER20-64-000.
    Applicants: PGR Lessee L, LLC.
    Description: Baseline eTariff Filing: PGR Lessee L MBR Application
to be effective 10/9/2019.
    Filed Date: 10/9/19.
    Accession Number: 20191009-5118.
    Comments Due: 5 p.m. ET 10/30/19.

    Docket Numbers: ER20-65-000.
    Applicants: TWE Bowman Solar Project, LLC.
    Description: Baseline eTariff Filing: TWE Bowman MBR Application to
be effective 10/9/2019.
    Filed Date: 10/9/19.
    Accession Number: 20191009-5120.
    Comments Due: 5 p.m. ET 10/30/19.

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

    Docket Numbers: QF20-29-000.
    Applicants: Eco Green Generation LLC.
    Description: Form 556 of Eco Green Generation LLC [Clean Power #3].
    Filed Date: 10/9/19.
    Accession Number: 20191009-5035.
    Comments Due: None-Applicable.

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

    Dated: October 9, 2019.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2019-22519 Filed 10-15-19; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 79, Number 63 (Wednesday, April 2, 2014)]
[Proposed Rules]
[Pages 18497-18498]
[FR Doc No: 2014-07390]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 761

[EPA-HQ-RCRA-2013-0396; FRL-9909-00-OSWER]
RIN 2050-AG79

Polychlorinated Biphenyls (PCBs): Manufacturing (Import)
Exemption for the Defense Logistics Agency (DLA)

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed rule.

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

SUMMARY: The U.S. Environmental Protection Agency (EPA or the Agency)
is proposing to take action on a petition from the United States
Defense Logistics Agency (DLA) to import foreign-manufactured
polychlorinated biphenyls (PCBs). For purposes of the Toxic Substances
Control Act (TSCA), ``manufacture'' is defined to include the import of
chemical substances into the customs territory of the United States.
With certain exceptions, section 6(e)(3) of TSCA bans the manufacture,
processing, and distribution in commerce of PCBs. One of these
exceptions is TSCA section 6(e)(3)(B), which gives EPA authority to
grant petitions to import PCBs into the customs territory of the United
States for a period of up to 12 months, provided EPA can make certain
findings by rule. On April 23, 2013, EPA received a petition from DLA,
a component of the United States Department of Defense (DOD), to import
foreign-manufactured PCBs that DOD currently owns in Japan for disposal
in the United States. EPA is proposing to grant DLA's petition as of
July 1, 2014. This proposal to grant the petition, if finalized, would
allow DLA to manufacture (i.e., import) certain PCBs for disposal. EPA
has granted two previous exemptions in 2003 and 2007 to DLA for similar
petitions to import PCBs for disposal. Without an exemption granted by
EPA, DLA would not be allowed to import the PCB waste to the U.S. for
proper disposal. In fact, if the exemption is not granted, it is very
likely that DLA will not be able to find any country willing to accept
and properly dispose of the PCB waste.

DATES: Written comments or a request for an informal hearing (per 40
CFR part 750, subpart B) must be received by May 2, 2014.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
RCRA-2013-0396, by mail to RCRA Docket, Mail Code 28221T, U.S.
Environmental Protection Agency, 1200 Pennsylvania Avenue NW.,
Washington, DC 20460. Attention Docket ID No. EPA-HQ-RCRA-2013-0396.
Please include a total of two copies. Comments may also be submitted
electronically or through hand delivery/courier by following the
detailed instructions in the ADDRESSES section of the direct final rule
located in the Rules section of this Federal Register.

FOR FURTHER INFORMATION CONTACT: Kelly Greene, U.S. Environmental
Protection Agency, Office of Resource Conservation and Recovery, (MC:
5304P), 1200 Pennsylvania Avenue NW., Washington, DC 20460, Phone: 703-
347-0363; or by email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Why is EPA proposing this rule?

    EPA is proposing to grant DLA's petition to revise 40 CFR 761.80,
which will allow DLA to import its PCB waste from Japan back to the
customs territory of the United States for proper disposal. In
addition, in the Rules section of this Federal Register, EPA is
promulgating a direct final rule to make the same revision as is being
proposed here, for the reasons outlined in detail in the preamble to
that direct final rule. The reason EPA is issuing a direct final rule
elsewhere in this Federal Register is because we view this revision as
a noncontroversial action and anticipate no adverse comment. However,
if we receive adverse comment or a request for an informal hearing, we
will withdraw the direct final rule (and therefore it will not take
effect based on the direct final rule), and address all public comments
in any subsequent final rule based on this proposed rule.
Alternatively, if we receive no adverse comment (or request for an
informal hearing) on the change we are promulgating today in the direct
final rule, we will not take further action on this proposed rule. We
do not intend to institute a second comment period on this action,
unless an informal hearing is requested, in which case comments will be
accepted until one week after the close of the informal hearing. Any
parties interested in commenting should do so at this time, since there
may not be an informal hearing. For further information, please see the
information provided in the ADDRESSES section of this document.

II. Does this action apply to me?

    The discussion of the potentially affected entities by this
proposed rule can be found in the preamble to the direct final rule
located in the Rules section of this Federal Register.

III. Statutory and Executive Order Reviews

    For a complete discussion of all the administrative requirements
applicable to this action, see the direct final rule in the Rules
section of this Federal Register.
    The Regulatory Flexibility Act (RFA) generally requires an agency
to prepare a regulatory flexibility analysis of any rule subject to
notice and comment rulemaking requirements under the Administrative
Procedure Act or any other statute unless the agency certifies that the
rule will not have a significant economic impact on a substantial
number of small entities. Small entities include small businesses,
small organizations, and small governmental jurisdictions.
    For purposes of assessing the impacts of today's rule on small
entities, small entity is defined as: (1) A small business that is
primarily engaged in hazardous waste treatment and disposal as defined
by NAICS code 562211, with annual receipts of less than 12.5 million
dollars (based on Small Business Administration size standards); (2) a
small governmental jurisdiction that is a government of a city, county,
town, school district or special district with a population of less
than 50,000; and (3) a small organization that is any not-for-profit
enterprise which is independently owned and operated and is not
dominant in its field.
    After considering the economic impacts of today's proposed rule on
small entities, I certify that this action will not have a significant
economic impact on a substantial number of small entities. This rule
merely allows DOD to bring its PCB waste back to the U.S. for proper
disposal.

List of Subjects in 40 CFR Part 761

    Environmental protection, Hazardous substances, and Polychlorinated
biphenyls.

    Dated: March 25, 2014.
Mathy Stanislaus,
Assistant Administrator, Office of Solid Waste and Emergency Response.
[FR Doc. 2014-07390 Filed 4-1-14; 8:45 am]
BILLING CODE 6560-50-P