[Federal Register Volume 81, Number 229 (Tuesday, November 29, 2016)]
[Notices]
[Page 85991]
[FR Doc No: 2016-28719]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

[Docket No. USCG-2016-0896]

Information Collection Request to Office of Management and
Budget; OMB Control Number: 1625-0084

AGENCY: Coast Guard, DHS.

ACTION: Sixty-day notice requesting comments.

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SUMMARY: In compliance with the Paperwork Reduction Act of 1995, the
U.S. Coast Guard intends to submit an Information Collection Request
(ICR) to the Office of Management and Budget (OMB), Office of
Information and Regulatory Affairs (OIRA), requesting an extension of
its approval for the following collection of information: 1625-0084,
Audit Reports under the International Safety Management Code. Our ICR
describes the information we seek to collect from the public. Before
submitting this ICR to OIRA, the Coast Guard is inviting comments as
described below.

DATES: Comments must reach the Coast Guard on or before January 30,
2017.

ADDRESSES: You may submit comments identified by Coast Guard docket
number [USCG-2016-0896] to the Coast Guard using the Federal
eRulemaking Portal at http://www.regulations.gov. See the ``Public
participation and request for comments'' portion of the SUPPLEMENTARY
INFORMATION section for further instructions on submitting comments.
    A copy of the ICR is available through the docket on the Internet
at http://www.regulations.gov. Additionally, copies are available from:
Commandant (CG-612), Attn: Paperwork Reduction Act Manager, U.S. Coast
Guard, 2703 Martin Luther King Jr. Ave. SE., Stop 7710, Washington, DC
20593-7710.

FOR FURTHER INFORMATION CONTACT: Contact Mr. Anthony Smith, Office of
Information Management, telephone<PHONE_NUMBER>, or fax<PHONE_NUMBER>,
for questions on these documents.

SUPPLEMENTARY INFORMATION:

Public Participation and Request for Comments

    This Notice relies on the authority of the Paperwork Reduction Act
of 1995; 44 U.S.C. Chapter 35, as amended. An ICR is an application to
OIRA seeking the approval, extension, or renewal of a Coast Guard
collection of information (Collection). The ICR contains information
describing the Collection's purpose, the Collection's likely burden on
the affected public, an explanation of the necessity of the Collection,
and other important information describing the Collection. There is one
ICR for each Collection.
    The Coast Guard invites comments on whether this ICR should be
granted based on the Collection being necessary for the proper
performance of Departmental functions. In particular, the Coast Guard
would appreciate comments addressing: (1) The practical utility of the
Collection; (2) the accuracy of the estimated burden of the Collection;
(3) ways to enhance the quality, utility, and clarity of information
subject to the Collection; and (4) ways to minimize the burden of the
Collection on respondents, including the use of automated collection
techniques or other forms of information technology. In response to
your comments, we may revise the ICR or decide not to seek an extension
of approval for the Collection. We will consider all comments and
material received during the comment period.
    We encourage you to respond to this request by submitting comments
and related materials. Comments must contain the OMB Control Number of
the ICR and the docket number of this request, [USCG-2016-0896], and
must be received by January 30, 2017.

Submitting Comments

    We encourage you to submit comments through the Federal eRulemaking
Portal at http://www.regulations.gov. If your material cannot be
submitted using http://www.regulations.gov, contact the person in the
FOR FURTHER INFORMATION CONTACT section of this document for alternate
instructions. Documents mentioned in this notice, and all public
comments, are in our online docket at http://www.regulations.gov and
can be viewed by following that Web site's instructions. Additionally,
if you go to the online docket and sign up for email alerts, you will
be notified when comments are posted.
    We accept anonymous comments. All comments received will be posted
without change to http://www.regulations.gov and will include any
personal information you have provided. For more about privacy and the
docket, you may review a Privacy Act notice regarding the Federal
Docket Management System in the March 24, 2005, issue of the Federal
Register (70 FR 15086).

Information Collection Request

    Title: Audit Reports under the International Safety Management
Code.
    OMB Control Number: 1625-0084.
    Summary: This information helps to determine whether U.S. vessels,
subject to the International Convention for the Safety of Life at Sea
(SOLAS 74/78), engaged in international trade, are in compliance with
that treaty. Organizations recognized by the Coast Guard conduct
ongoing audits of vessels' and companies' safety management systems.
    Need: Title 46 U.S.C. 3203 authorizes the Coast Guard to prescribe
regulations regarding safety management systems. Title 33 CFR part 96
contains the rules for those systems and hence the safe operation of
vessels.
    Forms: N/A.
    Respondents: Owners and operators of vessels, and organizations
authorized to issue ISM Code certificates for the United States.
    Frequency: On occasion.
    Hour Burden Estimate: The estimated burden has decreased from
17,660 hours to 10,221 hours a year due to a decrease in the estimated
annual number of responses.

    Authority: The Paperwork Reduction Act of 1995; 44 U.S.C.
Chapter 35, as amended.

    Dated: November 22, 2016.
Thomas P. Michelli,
 Chief Information Officer, U.S. Coast Guard.
[FR Doc. 2016-28719 Filed 11-28-16; 8:45 am]
 BILLING CODE 9110-04-P


[Federal Register Volume 76, Number 2 (Tuesday, January 4, 2011)]
[Notices]
[Pages 354-356]
[FR Doc No: 2010-33154]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

December 21, 2010.
    Take notice that the Commission received the following electric
corporate filings:

    Docket Numbers: EC11-22-001.
    Applicants: Dynegy Inc., Dynegy Midwest Generation, Inc., Dynegy
Power Marketing, Inc., Sithe/Independence Power Partners, L.P., Dynegy
Moss Landing, LLC, Dynegy Morro Bay, LLC, CASCO BAY ENERGY CO LLC,
Dynegy Oakland, LLC, Dynegy South Bay, LLC, Dynegy Kendall Energy, LLC,
Dynegy Roseton, L.L.C., ONTELAUNEE POWER OPERATING CO, LLC, Dynegy
Marketing and Trade, LLC, Dynegy Danskammer, L.L.C., Icahn Partners LP
et al, High River Limited Partnership, ICAHN Partners Master Fund III
LP, ICAHN Partners Master Fund II LP, ICAHn Partners Master Fund LP.
    Description: Amendment to Application.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5139.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: EC11-31-000.
    Applicants: Northeast Utilities Service Company, The Connecticut
Light and Power Company.
    Description: NUSCO's Section 203 Application for Authority to
Transfer Jurisditional Facilities on Behalf of The Connecticut Light
and Power Company and the Connecticut Transmission Municipal Electric
Energy Cooperative.
    Filed Date: 12/17/2010.
    Accession Number: 20101217-5176.
    Comment Date: 5 p.m. Eastern Time on Friday, January 7, 2011.

    Docket Numbers: EC11-32-000.
    Applicants: Baja California Power, Inc, GMR Infrastructure (Malta)
Limited, GMR Infrastructure (Netherlands) B.V., China Huaneng Group HK
Ltd., Upper Horm Investments Ltd., Overseas International Inc. Limited
    Description: Application of Baja California Power, Inc., et al.
    Filed Date: 12/20/2010.
    Accession Number: 20101220-5164.
    Comment Date: 5 p.m. Eastern Time on Monday, January 10, 2011.

    Take notice that the Commission received the following exempt
wholesale generator filings:

    Docket Numbers: EG11-37-000.
    Applicants: Vermont Wind, LLC.
    Description: Notice of Self-Certification of EWG Status of Vermont
Wind, LLC.
    Filed Date: 12/17/2010.
    Accession Number: 20101217-5183.
    Comment Date: 5 p.m. Eastern Time on Friday, January 7, 2011.

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

    Docket Numbers: ER06-1334-014.
    Applicants: Spindle Hill Energy LLC.
    Description: Triennial Report of Spindle Hill Energy LLC.
    Filed Date: 12/20/2010.
    Accession Number: 20101220-5210.
    Comment Date: 5 p.m. Eastern Time on Friday, February 18, 2011.

    Docket Numbers: ER08-1096-001; ER10-2163-001; ER10-2160-001; ER10-
2161-001; ER10-2162-001.
    Applicants: NAEA Energy Massachusetts, LLC, NAEA Ocean Peaking
Power, LLC, NAEA Rock Springs, LLC, NAEA Lakewood Cogeneration, LP,
NAEA Newington Energy, LLC.
    Description: Triennial Market-Based Rate Update Filing for NAEA
Energy Massachusetts, LLC; NAEA Lakewood. Cogeneration, LLC; NAEA
Newington Energy, LLC; NAEA Ocean Peaking Power, LLC and NAEA Rock
Springs, LLC.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5169.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

    Docket Numbers: ER10-1790-001; ER10-1821-002; ER10-2598-001; ER11-
2029-002.
    Applicants: BP Energy Company, Rolling Thunder I Power Partners,
LLC, Goshen Phase II LLC, Cedar Creek II, LLC.
    Description: Updated Market Power Update of BP Energy Company, et
al.

    Filed Date: 12/20/2010.
    Accession Number: 20101220-5255.
    Comment Date: 5 p.m. Eastern Time on Friday, February 18, 2011.

    Docket Numbers: ER10-2548-001.
    Applicants: Interstate Power and Light Company.
    Description: Interstate Power and Light Company submits tariff
filing per 35: Compliance Filing for IPL, TVA and Pioneer Prairie Wind
LBAOCA to be effective 9/8/2010.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5161.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER10-2869-000.
    Applicants: Midwest Independent Transmission System Operator, Inc.
    Description: Midwest Independent Transmission System Operator,
Inc.'s Response to Deficiency Letter.
    Filed Date: 12/20/2010.
    Accession Number: 20101220-5246.
    Comment Date: 5 p.m. Eastern Time on Monday, January 10, 2011.

    Docket Numbers: ER11-67-002.
    Applicants: Stephentown Regulation Services LLC.
    Description: Stephentown Regulation Services LLC submits tariff
filing per 35: Stephentown FERC Electric MBR Tariff to be effective 12/
14/2010.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5093.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-1895-001.
    Applicants: ISO New England Inc.
    Description: ISO New England Inc., submits tariff filing per
35.17(a): Withdrawal of Compliance Filing in Docket ER11-1895-001 to be
effective 10/1/2010.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5072.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2416-000.
    Applicants: Cedar Creek II, LLC.
    Description: Cedar Creek II, LLC submits tariff filing per
35.13(a)(2)(iii) Cotenancy Agreement to be effective 12/21/2010.
    Filed Date: 12/20/2010.
    Accession Number: 20101220-5157.
    Comment Date: 5 p.m. Eastern Time on Monday, January 10, 2011.

    Docket Numbers: ER11-2417-000.
    Applicants: Westar Energy, Inc.
    Description: Westar Energy, Inc. submits tariff filing per
35.13(a)(2)(iii): Kansas Electric Power Cooperative, Inc., to be
effective 1/1/2011.
    Filed Date: 12/20/2010.
    Accession Number: 20101220-5161.
    Comment Date: 5 p.m. Eastern Time on Monday, January 10, 2011.

    Docket Numbers: ER11-2418-000.
    Applicants: PJM Interconnection, L.L.C., Delmarva Power & Light
Company.
    Description: PJM Interconnection, L.L.C., submits tariff filing per
35.13(a)(2)(iii): Interconnection & Mutual Operating Agmt No. 2710 for
Delmarva and City of Lewes to be effective 2/18/2011.
    Filed Date: 12/20/2010.
    Accession Number: 20101220-5162.
    Comment Date: 5 p.m. Eastern Time on Monday, January 10, 2011.

    Docket Numbers: ER11-2420-000.
    Applicants: Western Massachusetts Electric Company.
    Description: Western Massachusetts Electric Company submits tariff
filing per 35.13(a)(2)(iii): Interconnection Agreement Between WMECO
and Covanta Springfield LLC to be effective 1/1/2011.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5006.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2421-000.
    Applicants: Public Service Company of New Hampshire.
    Description: Public Service Company of New Hampshire submits tariff
filing per 35.13(a)(2)(iii): Interconnection Agreement between PSNH and
Pinetree Power to be effective 1/1/2011.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5008.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2422-000.
    Applicants: Manitowoc Public Utilities.
    Description: Manitowoc Public Utilities' Application to Amend Rate
Schedule FERC No 2.
    Filed Date: 12/20/2010.
    Accession Number: 20101220-5247.
    Comment Date: 5 p.m. Eastern Time on Monday, January 10, 2011.

    Docket Numbers: ER11-2424-000.
    Applicants: Pinetree Power-Tamworth, Inc.
    Description: Pinetree Power-Tamworth, Inc. submits tariff filing
per 35.12: Pinetree Power--Tamworth, Inc.--Filing of Initial Tariff to
be effective 1/1/2011.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5029.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2425-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc. submits tariff filing per
35.13(a)(2)(iii): Revisions to Attachment M and N--Losses Election, to
be effective 2/19/2011.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5030.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2426-000.
    Applicants: Duke Energy Carolinas, LLC.
    Description: Duke Energy Carolinas, LLC submits tariff filing per
35: Attachment C Compliance Filing (Dkt. No. RM09-18) to be effective
4/1/2011.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5031.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2427-000.
    Applicants: ISO New England Inc., New England Power Pool
Participants Committee.
    Description: ISO New England Inc. submits tariff filing per
35.13(a)(2)(iii): Rev. Rel. to the Peak Energy Rent Feature of the FCM,
to be effective 12/22/2010.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5034.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2428-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc. submits tariff filing per
35.13(a)(2)(iii). Revisions to Clarify Losses Calculation to be
effective 3/1/2011.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5044.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2429-000.
    Applicants: Fowler Ridge Wind Farm LLC.
    Description: Fowler Ridge Wind Farm LLC submits tariff filing per
35: Compliance Filing--Price Reporting Status to be effective N/A.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5047.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2430-000.
    Applicants: San Diego Gas & Electric Company.
    Description: San Diego Gas & Electric Company submits tariff filing
per 35.13(a)(2)(ii): SDG&E TRBAA/TACBAA Update to Transmission Owner
Filing to be effective 1/1/2011.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5053.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2431-000.
    Applicants: Duke Energy Ohio, Inc.
    Description: Notice of Cancellation of Duke Energy Ohio's First
Revised Rate Schedule No. 63.

    Filed Date: 12/21/2010.
    Accession Number: 20101221-5062.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2432-000.
    Applicants: Duke Energy Ohio, Inc.
    Description: Notice of Cancellation of Duke Energy Ohio's First
Revised Rate Schedule No. 62.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5063.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2434-000.
    Applicants: Wisconsin Electric Power Company.
    Description: Wisconsin Electric Power Company submits tariff filing
per 35.13(a)(2)(iii): FERC Rate Schedule 115 Amended Service Agreement
Filing to be effective 12/21/2010.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5077.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2435-000.
    Applicants: Public Service Company of Colorado.
    Description: Public Service Company of Colorado submits tariff
filing per 35.13(a)(2)(iii): 2010--12--21--286-PSCo--PRPA--RCA to be
effective 12/22/2010.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5078.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2436-000.
    Applicants: Oracle Energy Services, LLC.
    Description: Oracle Energy Services, LLC submits tariff filing per
35.12: Oracle Energy Services, LLC Initial Market-Based Rate. Tariff
and Baseline to be effective 12/21/2010.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5082.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Docket Numbers: ER11-2437-000.
    Applicants: ABN Energy, LLC.
    Description: ABN Energy, LLC submits tariff filing per 35.12:
Market-Based Rate Initial Tariff Baseline to be effective 2/27/2011.
    Filed Date: 12/21/2010.
    Accession Number: 20101221-5084.
    Comment Date: 5 p.m. Eastern Time on Tuesday, January 11, 2011.

    Any person desiring to intervene or to protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214) on or before 5 p.m. Eastern time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously intervened in the
same docket. Protests will be considered by the Commission in
determining the appropriate action to be taken, but will not serve to
make protestants parties to the proceeding. Anyone filing a motion to
intervene or protest must serve a copy of that document on the
Applicant. In reference to filings initiating a new proceeding,
interventions or protests submitted on or before the comment deadline
need not be served on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St., NE., Washington, DC 20426.
    The filings in the above proceedings are accessible in the
Commission's eLibrary system by clicking on the appropriate link in the
above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive e-mail notification
when a document is added to a subscribed docket(s). For assistance with
any FERC Online service, please e-mail<EMAIL_ADDRESS>or
call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2010-33154 Filed 1-3-11; 8:45 am]
BILLING CODE 6717-01-P


From:
Kiechle, Fredric S<EMAIL_ADDRESS>Sent:
Thursday, August 4, 2016 2:28 PM
To:
Jones, DonnaLee<EMAIL_ADDRESS>Raymond, Gabrielle<EMAIL_ADDRESS>Cc:
May, Jeffrey X<EMAIL_ADDRESS>Zavoda, Rich<EMAIL_ADDRESS>Hill, John R<EMAIL_ADDRESS>Subject:
Coke MACT ICR submittal, ArcelorMittal Burns Harbor LLC sections I-III and attachments email #1

Dr. Jones, find attached in email #1 Coke ICR survey answers  parts I, II, and III.  Part II question #16 attachments, and reports attached for Q1 2015 and 2016.  The five (5) additional emails will contain second quarter, third quarter, and fourth quarter reports completing our present submission for :

ArcelorMittal Burns Harbor LLC

F. Scott Kiechle  Sr. Engineer-Environmental
ArcelorMittal Burns Harbor
Maintenance, Environmental & Utilities | 250 W. U.S. Highway 12 Burns Harbor, IN 46304-9745
T +219 787 4968 | F +219 787 4973  | M +219 313 2661  | www.arcelormittal.c
 Qapla'!

<< BH Coke-Enclosure-1-Questionnaire Answer File_ALL-Part_04 01 16 (003) SK RZ FINAL.xlsx >>
<< HAP emissions data for question tab Part  II 16b&c.pdf >>
<< Q1 15  1st Qtr Coke Plant MACT COMS Report.pdf >>
<< Q1 15  IDEM 1st Qtr_#1_ COMS.pdf >>
<< Q1 15 COB2_Att5_VEE.pdf >>
<< Q1 15 final  IDEM 1st Qtr #2_ COMS.pdf >>
<< Q1 15 NESHAP Benzene_Subpart FF_2014.pdf >>
<< Q1 16 1st Qtr 2016 Coke Plant MACT COMS.pdf >>
<< Q1 16 COB2_Att5_VEE.pdf >>
<< Q1 16 Final IDEM 1 st Qtr_#1_ COMS.pdf >>
<< Q1 16 FINAL IDEM 1st Qtr #2_ COMS.pdf >>
<< Q1 16 NESHAP_Benzene_Subpart FF_2016.pdf >>


[Federal Register Volume 86, Number 93 (Monday, May 17, 2021)]
[Notices]
[Pages 26753-26758]
[FR Doc No: 2021-10274]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-91841; File No. SR- NASDAQ-2021-030]

Self-Regulatory Organizations; The Nasdaq Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend the Nasdaq Options Market LLC Rules at Options 3, Section 7,
Types of Orders and Order and Quote Protocols, and Options 3, Section
15, Risk Protections

May 11, 2021.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on April 28, 2021, The Nasdaq Stock Market LLC (``Nasdaq'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by the Exchange. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
---------------------------------------------------------------------------

    \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

    The Exchange proposes to amend The Nasdaq Options Market LLC
(``NOM'') Rules at Options 3, Section 7, Types of Orders and Order and
Quote Protocols, and Options 3, Section 15, Risk Protections.
    The text of the proposed rule change is available on the Exchange's
website at https://listingcenter.nasdaq.com/rulebook/nasdaq/rules, at
the principal office of the Exchange, and at the Commission's Public
Reference Room.

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

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

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

1. Purpose
    The Exchange proposes to amend NOM's Rules at Options 3, Section
15, Risk Protections, to describe Size Limitation. The Exchange also
proposes to amend Options 3, Section 7, Types of Orders and Order and
Quote Protocols, to: (1) Remove the One-Cancels-the-Other Order; (2)
indicate the risk protections that are applicable to On the Open Orders
and Immediate or Cancel orders; and (3) remove references to an
outdated OTTO protocol; and (4) make technical corrections. The
Exchange also proposes to update a rule citation within General 1,
Section 1, Definitions, and add and reserve certain sections within the
Equity Rules. Each change is described below.
Options 3, Section 15
    The Exchange proposes to amend Options 3, Section 15, Risk
Protections, to add a new section (b)(2) to describe within its rules a
current limitation that exists today as to the number of contracts an
incoming order or quote may specify. Specifically, the maximum number
of contracts, which shall not be

less than 10,000, is established by the Exchange from time-to-time.
Orders or quotes that exceed the maximum number of contracts are
rejected. This System limitation is the same on all Nasdaq affiliated
exchanges.\3\ Today, Nasdaq ISE, LLC (``ISE''), Nasdaq GEMX, LLC
(``GEMX'') and Nasdaq MRX, LLC (``MRX'') describe this limitation
within those rules at Options 3, Section 15(a)(2)(B). NOM proposes to
similarly describe this limitation in its rules.
---------------------------------------------------------------------------

    \3\ The Exchange will propose a similar rule change to Nasdaq
Phlx LLC (``Phlx'') and Nasdaq BX, Inc. (``BX'').
---------------------------------------------------------------------------

Options 3, Section 7
    The Exchange proposes to amend Options 3, Section 7, Types of
Orders and Order and Quote Protocols, to (1) remove the ``One-Cancels-
the-Other Order'' order type; (2) indicate the risk protections that
are applicable to On the Open Orders or ``OPG'' orders and Immediate or
Cancel orders; (3) remove references to an outdated OTTO protocol; and
(4) make technical corrections.
    The Exchange proposes to remove the ``One-Cancels-the-Other Order''
currently located within Options 3, Section 7(a)(8). A One-Cancels-the-
Other Order is an order entered by a Market Maker that consists of a
buy order and a sell order treated as a unit; the full execution of one
of the orders causes the other to be canceled. This order type was
adopted in 2011 \4\ and was to be implemented on or about August 1,
2011 by issuance of an Option Trader Alert as part of a larger
implementation related to a technology migration.\5\ The One-Cancels-
the-Other Order was never implemented on NOM as part of that migration.
No Participant was able to utilize this order type as it was not
available on NOM's System. The Exchange proposes to remove the order
type at this time. The order type was intended to permit Market Makers
to submit a two-sided order consisting of both a bid and an offer.
Today, Market Makers may submit two-sided quotes utilizing NOM's
Specialized Quote Feed or ``SQF'' \6\ quoting protocol. The Exchange
would file a rule change with the Commission if it decides to offer
this order type in the future. The Exchange proposes to renumber
current Options 3, Section 7(a)(9) and (10) new Options 3, Section
7(a)(8) and (9).
---------------------------------------------------------------------------

    \4\ See Securities Exchange Act Release No. 64406 (May 4, 2011),
76 FR 27134 (May 10, 2011) (SR-NASDAQ-2011-065) (The NASDAQ Stock
Market LLC; Notice of Filing and Immediate Effectiveness of Proposed
Rule Change To Adopt a Two-Sided Order for NOM Market Makers).
    \5\ Id.
    \6\ SQF is an interface that allows Market Makers to connect,
send, and receive messages related to quotes and Immediate-or-
Cancel Orders into and from the Exchange. Features include the
following: (1) Options symbol directory messages (e.g, underlying
instruments); (2) system event messages (e.g., start of trading
hours messages and start of opening); (3) trading action messages
(e.g., halts and resumes); (4) execution messages; (5) quote
messages; (6) Immediate-or-Cancel Order messages; (7) risk
protection triggers and purge notifications; and (8) opening
imbalance messages. The SQF Purge Interface only receives and
notifies of purge request from the Market Maker. Market Makers may
only enter interest into SQF in their assigned options series.
Immediate-or-Cancel Orders entered into SQF are not subject to the
Order Price Protection or the Market Order Spread Protection in
Options 3, Section 15(a)(1) and (a)(2), respectively.
---------------------------------------------------------------------------

    The Exchange proposes to amend Options 3, Section 7(b)(1) which
describes an On the Open Order or ``OPG'' order. Today, an OPG order
can only be executed in the Opening Cross pursuant to Options 3,
Section 8. Further, if after entry into the System, the order is not
fully executed in its entirety during the Opening Cross, the order, or
any unexecuted portion of such order, will be cancelled back to the
entering participant. OPG orders may not route. OPG orders are entered
during the Opening Cross utilizing ``Financial Information eXchange''
or ``FIX''.\7\ OPG orders are currently not subject to any protections
listed in Options 3, Section 15 describing risk protections, except
Size Limitation.\8\ Options 3, Section 7(b)(1) is currently silent on
the application of risk protections. At this time, the Exchange
proposes to state that this order type is not subject to any
protections listed in Options 3, Section 15, except Size Limitation.
With the proposed addition of Size Limitation to proposed new Options
3, Section 15(b)(2), the Exchange proposes to note in the proposed new
text within Options 3, Section 7(b)(1) that OPG orders are subject to
Size Limitation. The Exchange notes that the Opening Cross itself has
boundaries within which orders will be executed.\9\ Also, any
participant may enter an Opening Only Order. Typically Market Makers
submit Valid Width NBBOs, as provided for within Options 3, Section 8,
during the Opening Cross. Nasdaq BX's OPG Orders are also not subject
to any risk protections aside from Size Limitation.\10\
---------------------------------------------------------------------------

    \7\ FIX is an interface that allows Participants and their
Sponsored Customers to connect, send, and receive messages related
to orders to and from the Exchange. Features include the following:
(1) Execution messages; (2) order messages; and (3) risk protection
triggers and cancel notifications. See Options 3, Section
7(e)(1)(A).
    \8\ See Options 3, Section 7(b)(1).
    \9\ See Options 3, Section 8(b).
    \10\ See BX Options 3, Section 7(b)(1) which currently provides
that an OPG order is not subject to any protections listed in
Options 3, Section 15. The Exchange is in the process of filing a
rule change to indicate that BX OPG orders are subject to Size
Limitation. See also SR-BX-2021-020.
---------------------------------------------------------------------------

    The Exchange proposes to amend Options 3, Section 7(b)(2) which
describes an Immediate-or-Cancel Order or ``IOC'' order. Today, the
Exchange describes an IOC order as a Market Order or Limit Order to be
executed in whole or in part upon receipt. Any portion not so executed
is cancelled and/or routed pursuant to the Participant's
instruction.\11\ The rule text currently also provides that ``IOC
orders may be entered through FIX, OTTO or SQF; IOC Orders entered
through OTTO or SQF may not route.'' The Exchange previously filed to
remove its ``Ouch to Trade Options'' or ``OTTO'' protocol from its
rules.\12\ The citations to OTTO within Options 3, Section 7 were
inadvertently not removed. At this time, the Exchange proposes to
remove those remaining references to OTTO within Options 3, Section 7
from the descriptions of IOC orders and DAY orders.\13\
---------------------------------------------------------------------------

    \11\ See NOM Options 3, Section 7(b)(2).
    \12\ See Securities Exchange Act Release No. 84084 (December 17,
2020), 85 FR 84084 (December 23, 2020) (SR-NASDAQ-2020-089)
(``Notice of Filing and Immediate Effectiveness of Proposed Rule
Change To No Longer Implement the OTTO Protocol'').
    \13\ ``DAY'' is an order entered with a TIF of ``Day'' that
expires at the end of the day on which it was entered, if not
executed. All orders by their terms are Day Orders unless otherwise
specified. Day orders may be entered through FIX. See proposed
Options 3, Section 7(b)(3).
---------------------------------------------------------------------------

    The Exchange also proposes to note, similar to Phlx and BX, that an
IOC order entered by a Market Maker through Specialized Quote Feed or
``SQF'' \14\ is not subject to certain risk protections noted within
Options 3, Section 15. Today, an IOC order entered through SQF is not
subject to the Order Price Protection or Market Order Spread
Protections noted within Options 3, Section 15(a)(1) and (a)(2),
respectively. Further, with the addition of Size Limitation to proposed
new Options 3, Section 15(b)(2), the Exchange also proposes to note
that SQF orders are not subject to Size Limitation. The addition of
this rule text will bring greater clarity to the order type.
---------------------------------------------------------------------------

    \14\ See supra note 6.
---------------------------------------------------------------------------

    The Exchange notes that while only orders are entered into FIX, SQF
is a quote protocol which also permits Market Makers to enter IOC
orders that do not rest on the order book. The Exchange has not elected
to utilize Order Price Protection, Market Order Spread Protection, and
Size Limitation on SQF orders, as it did for FIX, because Market Makers
only utilize SQF to enter IOC orders and Market Makers are professional
traders with their own risk

settings. FIX, on the other hand, is utilized by all market
participants who may not have their own risk settings, unlike Market
Makers.
    Market Makers utilize IOC orders to trade out of accumulated
positions and manage their risk when providing liquidity on the
Exchange. Proper risk management, including using these IOC orders to
offload risk, is vital for Market Makers, and allows them to maintain
tight markets and meet their quoting and other obligations to the
market. Market Makers handle a large amount of risk when quoting and in
addition to the risk protections required by the Exchange, Market
Makers utilize their own risk management parameters when entering
orders, minimizing the likelihood of a Market Maker's erroneous order
from being entered. The Exchange believes that Market Makers, unlike
other market participants, have the ability to manage their risk when
submitting IOC orders through SQF and should be permitted to elect this
method of order entry to obtain efficiency and speed of order entry,
particularly in light of the continuous quoting obligations the
Exchange imposes on these participants.
    The Exchange believes that allowing Market Makers to submit IOC
orders through their preferred protocol increases their efficiency in
submitting such orders and thereby allows them to maintain quality
markets to the benefit of all market participants that trade on the
Exchange. Further, unlike other market participants, Market Makers
provide liquidity to the market place and have obligations.\15\ Thus,
the Exchange opted to not offer Order Price Protection, Market Order
Spread Protection, and Size Limitation for IOC orders entered through
SQF because Market Makers have more sophisticated infrastructures than
other market participants and are able to manage their risk.
---------------------------------------------------------------------------

    \15\ Market Makers have intra-day quoting obligations as
specified in Options 2, Section 5.
---------------------------------------------------------------------------

    The Exchange proposes to amend the description of Specialized Quote
Feed within Options 3, Section 7(e)(1)(B) to make plural the word
``request'' and also add an ``.,'' after an e.g to conform the
punctuation in the paragraph.
General 1, Section 1
    The Exchange proposes to update a rule citation within General 1,
Section 1 to Options 3, Section 20. The rule text currently cites
Options 3, Section 4, but that citation was incorrectly updated in a
prior rule change.\16\ The original citation was to Chapter V, Section
6, Nullification and Adjustment of Options Transactions including
Obvious Errors. This rule was relocated to Options 3, Section 20 within
that Relocation Rule Change.
---------------------------------------------------------------------------

    \16\ See Securities Exchange Act Release No. 87779 (December 17,
2019), 84 FR 70590 (December 23, 2019) (SR-NASDAQ-2019-098) (Notice
of Filing and Immediate Effectiveness of Proposed Rule Change To
Relocate Rules From Its Current Rulebook Into Its New Rulebook
Shell) (``Relocation Rule Change'').
---------------------------------------------------------------------------

Equity Rules
    Nasdaq proposes to amend the Rulebook shell to add a new Equity 3A
and Equity 8A and reserve those sections. Equity 3A will be utilized by
BX Rulebook and the Exchange proposes to reserve that section in this
Rulebook to demonstrate the section does not exist for the Nasdaq
equity market.\17\ Equity 8A is utilized by Nasdaq Phlx within its
Rulebook and the Exchange proposes to reserve that section in this
Rulebook to demonstrate the section does not exist for the Nasdaq
equity market.\18\ Also, Nasdaq proposes to add Sections 15-23 within
Equity 9 and reserve those sections to harmonize the numbering of
Nasdaq equity rules across its affiliated markets.
---------------------------------------------------------------------------

    \17\ BX will file a proposed rule change to add and reserve
Equity 3A.
    \18\ See Phlx Equity 8A Unlisted Trading Privileges; Proxy and
Other Rules.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\19\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\20\ in particular, in that it is designed to
promote just and equitable principles of trade and to protect investors
and the public interest.
---------------------------------------------------------------------------

    \19\ 15 U.S.C. 78f(b).
    \20\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

Options 3, Section 15
    The Exchange's proposal to amend Options 3, Section 15, Risk
Protections, to add a new section (b)(2) is consistent with the Act.
The proposed amendment is intended to describe a current limitation
that exists today as to the number of contracts an incoming order or
quote may specify. Specifically, the maximum number of contracts, which
shall not be less than 10,000, is established by the Exchange from
time-to-time. Orders or quotes that exceed the maximum number of
contracts are rejected. This System limitation is the same on all
Nasdaq affiliated exchanges.\21\ Today, ISE, GEMX and MRX describe this
limitation within those rules at Options 3, Section 15(a)(2)(B). NOM
proposes to similarly describe this limitation in its rules.
---------------------------------------------------------------------------

    \21\ See supra note 3.
---------------------------------------------------------------------------

Options 3, Section 7
    The Exchange's proposal to remove the ``One-Cancels-the-Other
Order'' currently located within Options 3, Section 7(a)(8) is
consistent with the Act. This order type was adopted in 2011 \22\ and
was to be implemented on or about August 1, 2011 by issuance of an
Option Trader Alert as part of a larger implementation related to a
technology migration,\23\ however, the new order type was never
implemented on NOM as part of that migration. No Participant was able
to utilize this order type on NOM's System to date. The Exchange's
proposal to remove the order type protects investors and the public
interest by making clear that the order type is not available. Further,
the order type was intended to permit Market Makers to submit a two-
sided order consisting of both a bid and an offer. Today, Market Makers
may submit two-sided quotes utilizing NOMs SQF \24\ quoting protocol.
---------------------------------------------------------------------------

    \22\ See supra note 4.
    \23\ Id.
    \24\ See supra note 6.
---------------------------------------------------------------------------

    The Exchange's proposal to amend OPG orders within Options 3,
Section 7(b)(1) to make clear that OPG orders are currently not subject
to any protections listed in Options 3, Section 15 describing risk
protections,\25\ except Size Limitation is consistent with the Act and
will bring greater clarity to the order type. Options 3, Section
7(b)(1) is currently silent on the application of risk protections.
Today, OPG orders are not subject to any protections listed in Options
3, Section 15, except Size Limitation. With the proposed addition of
Size Limitation to proposed new Options 3, Section 15(b)(2), the
Exchange proposes to note in the proposed new text within Options 3,
Section 7(b)(1) that OPG orders are subject to Size Limitation. The
Exchange believes that it is consistent with the Act to not apply any
risk protections during the Opening Cross as the Opening Cross itself
has boundaries within which orders will be executed.\26\ Any
participant may enter an Opening Only Order. Typically Market Makers
submit Valid Width NBBOs, as provided for within Options 3, Section 8,
during the Opening Cross. Nasdaq BX's OPG Orders are also not subject
to any risk protections aside from Size Limitation.\27\
---------------------------------------------------------------------------

    \25\ See Options 3, Section 7(b)(1).
    \26\ See Options 3, Section 8(b).
    \27\ See supra note 10.

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

    The Exchange's proposal to amend Options 3, Section 7(b)(2) and
(b)(3), which describes IOC orders and DAY orders, to remove outdated
citations to OTTO within Options 3, Section 7 that were inadvertently
not removed is consistent with the Act. These amendments are non-
substantive and will add clarity to these rules.
    The Exchange's proposal to note, similar to Phlx and BX, that an
IOC order entered by a Market Maker through SQF is not subject to
certain risk protections noted within Options 3, Section 15 is
consistent with the Act. Today, an IOC order entered through SQF is not
subject to the Order Price Protection or Market Order Spread
Protections noted within Options 3, Section 15(a)(1) and (a)(2),
respectively. Further, with the addition of Size Limitation to proposed
new Options 3, Section 15(b)(2), the Exchange also proposes to note
that SQF orders are not subject to Size Limitation. The addition of
this rule text will bring greater clarity to the order type.
    The Exchange notes that while only orders are entered into FIX, SQF
is a quote protocol which also permits Market Makers to enter IOC
orders that do not rest on the order book. The Exchange has not elected
to utilize Order Price Protection, Market Order Spread Protection, and
Size Limitation on SQF orders, as it did for FIX, because Market Makers
only utilize SQF to enter IOC orders and Market Makers are professional
traders with their own risk settings. FIX, on the other hand, is
utilized by all market participants who may not have their own risk
settings, unlike Market Makers.
    Market Makers utilize IOC orders to trade out of accumulated
positions and manage their risk when providing liquidity on the
Exchange. Proper risk management, including using these IOC orders to
offload risk, is vital for Market Makers, and allows them to maintain
tight markets and meet their quoting and other obligations to the
market. Market Makers handle a large amount of risk when quoting and in
addition to the risk protections required by the Exchange, Market
Makers utilize their own risk management parameters when entering
orders, minimizing the likelihood of a Market Maker's erroneous order
from being entered. The Exchange believes that Market Makers, unlike
other market participants, have the ability to manage their risk when
submitting IOC orders through SQF and should be permitted to elect this
method of order entry to obtain efficiency and speed of order entry,
particularly in light of the continuous quoting obligations the
Exchange imposes on these participants.
    The Exchange believes that allowing Market Makers to submit IOC
orders through their preferred protocol increases their efficiency in
submitting such orders and thereby allows them to maintain quality
markets to the benefit of all market participants that trade on the
Exchange. Further, unlike other market participants, Market Makers
provide liquidity to the market place and have obligations.\28\ The
Exchange believes not offering Order Price Protection, Market Order
Spread Protection, and Size Limitation for IOC orders entered through
SQF is consistent with the Act because Market Makers have more
sophisticated infrastructures than other market participants and are
able to manage their risk.
---------------------------------------------------------------------------

    \28\ See supra note 15.
---------------------------------------------------------------------------

    Finally, the Exchange's proposal to amend the description of
Specialized Quote Feed within Options 3, Section 7(e)(1)(B) to make
plural the word ``request'' and also add an ``.,'' after an e.g to
conform the punctuation in the paragraph is consistent with the Act.
These changes are non-substantive.
General 1, Section 1
    The Exchange's proposal to update an incorrect rule citation within
General 1, Section 1 to Options 3, Section 20 is consistent with the
Act. The rule text currently cites Options 3, Section 4, but that
citation was incorrectly updated in a prior rule change.\29\ The
original citation was to Chapter V, Section 6, Nullification and
Adjustment of Options Transactions including Obvious Errors. This rule
was relocated to Options 3, Section 20 within that Relocation Rule
Change. This amendment will bring clarity to this rule.
---------------------------------------------------------------------------

    \29\ See supra note 16.
---------------------------------------------------------------------------

Equity Rules
    Nasdaq's proposal to amend the Rulebook shell to add a new Equity
3A and Equity 8A and reserve those sections is consistent with the Act.
Equity 3A will be utilized by the BX Rulebook and the Exchange proposes
to reserve that section in this Rulebook to demonstrate the section
does not exist for the Nasdaq equity market.\30\ Equity 8A is utilized
by Phlx within its Rulebook and the Exchange proposes to reserve that
section in this Rulebook to demonstrate the section does not exist for
the Nasdaq equity market.\31\ Also, Nasdaq proposes to add Sections 15-
23 within Equity 9 and reserve those sections to harmonize the
numbering of Nasdaq equity rules across its affiliated markets.
---------------------------------------------------------------------------

    \30\ See supra note 17.
    \31\ See Phlx Equity 8A Unlisted Trading Privileges; Proxy and
Other Rules.
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act.
Options 3, Section 15
    The Exchange's proposal to amend Options 3, Section 15, Risk
Protections, to add a new section (b)(2) does not impose an undue
burden on competition. The proposed amendment is intended to describe a
current limitation that exists today as to the number of contracts an
incoming order or quote may specify. This System limitation is the same
on all Nasdaq affiliated exchanges.\32\ Today, ISE, GEMX and MRX
describe this limitation within its rules at Options 3, Section
15(a)(2)(B). NOM proposes to similarly describe this limitation in its
rules.
---------------------------------------------------------------------------

    \32\ See supra note 3.
---------------------------------------------------------------------------

Options 3, Section 7
    The Exchange's proposal to remove the ``One-Cancels-the-Other
Order'' currently located within Options 3, Section 7(a)(8) does not
impose an undue burden on competition. No Participant was able to
utilize this order type on NOM's System to date. The Exchange's
proposal to remove the order type will make clear that the order type
is not available. Further, the order type was intended to permit Market
Makers to submit a two-sided order consisting of both a bid and an
offer. Today, Market Makers may submit two-sided quotes utilizing NOM's
SQF \33\ quoting protocol.
---------------------------------------------------------------------------

    \33\ See supra note 6.
---------------------------------------------------------------------------

    The Exchange's proposal to amend Options 3, Section 7(b)(1) to make
clear that Size Limitation applies to OPG orders and the remainder of
the risk protections noted within Options 3, Section 15 do not apply to
OPG orders does not impose an undue burden on competition. The proposed
rule text will clarify the manner in which risk protections interact
with this order type. The Opening Cross itself has boundaries within
which orders will be executed. Any participant may enter an Opening
Only Order. Typically Market Makers submit Valid Width NBBOs, as
provided for within Options 3, Section 8, during the Opening Cross.
    The Exchange's proposal to amend Options 3, Section 7(b)(2) and
(b)(3),

which describes IOC orders and DAY orders, to remove outdated citations
to OTTO within Options 3, Section 7 that were inadvertently not removed
does not impose an undue burden on competition. These amendments are
non-substantive and will add clarity to these rules.
    The Exchange's proposal to note, similar to Phlx and BX, that an
IOC order entered by a Market Maker through SQF is not subject to
certain risk protections noted within Options 3, Section 15 does not
impose an undue burden on competition. Today, an IOC order entered
through SQF is not subject to the Order Price Protection or Market
Order Spread Protections noted within Options 3, Section 15(a)(1) and
(a)(2), respectively. Further, with the addition of Size Limitation to
proposed new Options 3, Section 15(b)(2), the Exchange also proposes to
note that SQF orders are not subject to Size Limitation. The addition
of this rule text will bring greater clarity to the order type.
    The Exchange notes that while only orders are entered into FIX, SQF
is a quote protocol which also permits Market Makers to enter IOC
orders that do not rest on the order book. The Exchange has not elected
to utilize Order Price Protection, Market Order Spread Protection, and
Size Limitation on SQF orders, as it did for FIX, because Market Makers
only utilize SQF to enter IOC orders and Market Makers are professional
traders with their own risk settings. FIX, on the other hand, is
utilized by all market participants who may not have their own risk
settings, unlike Market Makers.
    The Exchange believes that Market Makers, unlike other market
participants, have the ability to manage their risk when submitting IOC
orders through SQF and should be permitted to elect this method of
order entry to obtain efficiency and speed of order entry, particularly
in light of the continuous quoting obligations the Exchange imposes on
these participants. Further, unlike other market participants, Market
Makers provide liquidity to the market place and have obligations.\34\
---------------------------------------------------------------------------

    \34\ See supra note 15.
---------------------------------------------------------------------------

    Finally, the Exchange's proposal to amend the description of
Specialized Quote Feed within Options 3, Section 7(e)(1)(B) to make
plural the word ``request'' and also add an ``.,'' after an e.g to
conform the punctuation in the paragraph does not impose an undue
burden on competition. These changes are non-substantive.
General 1, Section 1
    The Exchange's proposal to update an incorrect rule citation within
General 1, Section 1 to Options 3, Section 20 does not impose an undue
burden on competition. The rule text currently cites Options 3, Section
4, but that citation was incorrectly updated in a prior rule
change.\35\ The original citation was to Chapter V, Section 6,
Nullification and Adjustment of Options Transactions including Obvious
Errors. This rule was relocated to Options 3, Section 20 within that
Relocation Rule Change. This amendment will bring clarity to this rule.
---------------------------------------------------------------------------

    \35\ See supra note 16.
---------------------------------------------------------------------------

Equity Rules
    Nasdaq's proposal to amend the Rulebook shell to add a new Equity
3A and Equity 8A and reserve those sections does not impose an undue
burden on competition. Equity 3A will be utilized by the BX Rulebook
and the Exchange proposes to reserve that section in this Rulebook to
demonstrate the section does not exist for the Nasdaq equity
market.\36\ Equity 8A is utilized by Phlx within its Rulebook and the
Exchange proposes to reserve that section in this Rulebook to
demonstrate the section does not exist for the Nasdaq equity
market.\37\ Also, Nasdaq proposes to add Sections 15-23 within Equity 9
and reserve those sections to harmonize the numbering of Nasdaq equity
rules across its affiliated markets.
---------------------------------------------------------------------------

    \36\ See supra note 17.
    \37\ See Phlx Equity 8A Unlisted Trading Privileges; Proxy and
Other Rules.
---------------------------------------------------------------------------

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

    No written comments were either solicited or received.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \38\ and
subparagraph (f)(6) of Rule 19b-4 thereunder.\39\
---------------------------------------------------------------------------

    \38\ 15 U.S.C. 78s(b)(3)(A).
    \39\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    The Exchange has requested that the Commission waive the 30-day
operative delay. The Commission notes that other exchanges have
substantively similar rules regarding size limitation for certain
incoming orders or quotes.\40\ In addition, removing references to an
order type and protocol that are not available on the Exchange will
bring greater clarity to NOM's rules, as will the non-substantive
amendments, which correct typographical errors, remove duplicative
text, and align the Exchange's rulebook numbering with that of an
affiliated exchange. Thus, the Commission believes waiver of the 30-day
operative delay is consistent with the protection of investors and the
public interest. The Commission therefore waives the 30-day operative
delay and designates this proposal operative upon filing.\41\
---------------------------------------------------------------------------

    \40\ See ISE, GEMX and MRX rules at Options 3, Section
15(a)(2)(B).
    \41\ For purposes only of waiving the 30-day operative delay,
the Commission has also considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NASDAQ-2021-030 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NASDAQ-2021-030. This
file number should be included on the subject line if email is used. To
help the Commission process and review your

comments more efficiently, please use only one method. The Commission
will post all comments on the Commission's internet website (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent
amendments, all written statements with respect to the proposed rule
change that are filed with the Commission, and all written
communications relating to the proposed rule change between the
Commission and any person, other than those that may be withheld from
the public in accordance with the provisions of 5 U.S.C. 552, will be
available for website viewing and printing in the Commission's Public
Reference Room, 100 F Street NE, Washington, DC 20549 on official
business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of
the filing also will be available for inspection and copying at the
principal office of the Exchange. All comments received will be posted
without change. Persons submitting comments are cautioned that we do
not redact or edit personal identifying information from comment
submissions. You should submit only information that you wish to make
available publicly. All submissions should refer to File Number SR-
NASDAQ-2021-030 and should be submitted on or before June 7, 2021.
---------------------------------------------------------------------------

    \42\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\42\
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-10274 Filed 5-14-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 60 (Tuesday, March 29, 2011)]
[Notices]
[Pages 17470-17471]
[FR Doc No: 2011-7302]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Office of the Secretary of Transportation

[Docket No. 2011-0059]

Notice of Transportation Services' Transition From Paper to
Electronic Fare Media

AGENCY: Office of the Secretary, DOT.

ACTION: Notice.

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

SUMMARY: The Office of Transportation Services (TRANServe) located in
the U.S. Department of Transportation, Office of the Secretary of
Transportation within the Office of the Assistant Secretary for
Administration is adopting a new program distribution methodology.
TRANServe is planning to shift to electronic fare media in particular
areas, beginning in New York and parts of the National Capitol Region,
where paper vouchers are not available for redemption through the
Transit Authority. The shift allows for the most effective and
efficient delivery mechanism for the qualified transportation fringe
benefit in those areas. TRANServe provides services to Federal
Government agencies for the qualified transportation fringe benefit. To
date, TRANServe has distributed these fringe benefits via a paper
voucher process.

DATES: TRANServe will consider all comments received on or before April
19, 2011.

ADDRESSES: You may submit comments by the following methods:
     Federal eRulemaking Portal: Go to (http://www.regulations.gov Web address) to submit or view comments and to view
supporting and related materials available electronically.
     Postal Mail/Commercial Delivery: Please send one copy of
your comment to Docket No. DOT-OST-2011-0059, DOT/TRANServe, 1200 New
Jersey Ave., SE., Washington, DC 20590.
    Reading Room (Public Terminal): You may read any comments that we
receive on this docket in our reading room (Public Terminal). The
reading room is located in Room W12-140 of the U.S. DOT, 1200 New
Jersey Avenue, SW., Washington, DC. Normal reading room hours are 8
a.m. to 4:30 p.m. Monday through Friday, except holidays. To be sure
someone is there to help you please call<PHONE_NUMBER> or (202) 366-
9317 before arriving.
    Other Information: Additional information about TRANServe is
available on the Internet at (http://transerve.dot.gov/index.html ).

FOR FURTHER INFORMATION CONTACT: Ms. Denise P. Wright, Business Office
Manager, 1200 New Jersey Avenue SE., Washington, DC 20590.

SUPPLEMENTARY INFORMATION:

Background

    Under the authority of 49 U.S.C. 327, Administrative Working
Capital Fund and 26 U.S.C. 132(f)(3), Qualified Transportation Fringe,
Cash Reimbursement, TRANServe conducts its Program operations as the
service provider by distributing the qualified transportation fringe
benefit. Since the enactment of Public Law 103-172, Federal Employees
Clean Air Incentives Act, Executive Order 13150, Federal Workforce
Transportation, and other enabling legislation, TRANServe has
maintained its servicing operations for the distribution of transit
benefits to Federal employees via a paper voucher process.
    Since 2000, TRANServe has operated a highly sophisticated ordering/
inventory/distribution program. TRANServe's program is supported by a
complex network of activities, such as statistical forecasting for
nationwide distribution, multi-million dollar contract awards, support
arrangements for travel and distribution, and an elaborate array of
financial analysis for Federal Agency billing. April 2000 served as the
transaction baseline year for TRANServe, when significant and
measurable transaction activity occurred that accounted for an
estimated 800% increase in Federal Agency participant growth. Over
time, many State and local transit authorities are transitioning or
have transitioned to electronic fare media; thus, compelling the shift
from a paper based system (vouchers) to an electronic fare media
structure.
    In addition to rising program costs related to inventory, travel,
and

infrastructure support, the shift to electronic fare media by State and
local transit authorities require that TRANServe adopt a new
distribution method from paper to electronic fare media, consistent
with 26 U.S.C. 132(f)(3).
    Public Comments: Persons wishing to offer written comments and
suggestions concerning the activities of TRANServe's change in
distribution operations should file comments in the Public Docket
(Docket Number DOT-OST-2011-0059) at http://www.regulations.gov.

Marie Petrosino-Woolverton,
Director, Office of Financial Management & Transportation Services.
[FR Doc. 2011-7302 Filed 3-28-11; 8:45 am]
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