[Federal Register Volume 85, Number 111 (Tuesday, June 9, 2020)]
[Notices]
[Pages 35318-35319]
[FR Doc No: 2020-12477]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-3525-EM; Docket ID FEMA-2020-0001]

Michigan; Amendment No. 1 to Notice of an Emergency Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of an emergency declaration for
the State of Michigan (FEMA-3525-EM), dated May 21, 2020, and related
determinations.

DATES: This change occurred on May 27, 2020.

FOR FURTHER INFORMATION CONTACT: Dean Webster, Office of Response and
Recovery, Federal Emergency Management Agency, 500 C Street SW,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The Federal Emergency Management Agency
(FEMA) hereby gives notice that pursuant to the authority vested in the
Administrator, under Executive Order 12148, as amended, Kevin M. Sligh,
of FEMA is appointed to act as the Federal Coordinating Officer for
this emergency.

    This action terminates the appointment of James K. Joseph as
Federal Coordinating Officer for this emergency.

The following Catalog of Federal Domestic Assistance Numbers (CFDA)
are to be used for reporting and drawing funds: 97.030, Community
Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling;
97.033, Disaster Legal Services; 97.034, Disaster Unemployment
Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048,
Disaster Housing Assistance to Individuals and Households In
Presidentially Declared Disaster Areas; 97.049, Presidentially
Declared Disaster Assistance--Disaster Housing Operations for
Individuals and Households; 97.050, Presidentially Declared Disaster
Assistance to Individuals and Households--Other Needs; 97.036,
Disaster Grants--Public Assistance (Presidentially Declared
Disasters); 97.039, Hazard Mitigation Grant.

Pete Gaynor,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2020-12477 Filed 6-8-20; 8:45 am]
 BILLING CODE 9111-23-P


Comment Info: =================

General Comment:Dear Mr. Zeller:

I am writing as an individual consumer to request an extension of the comment period for the Food and Drug Administration's ("FDA") Proposed Rule Deeming Tobacco Products to be Subject to the Federal Food, Drug, and Cosmetic Act, as amended by the Family Smoking and Prevention and Tobacco Control Act (the "Proposed Rule") published at 79 Fed. Reg. 23,142 and Federal Register No. 2014-09491. On behalf of myself, I am requesting that the comment period for the Proposed Rule be extended by the FDA for an additional 105 days, from its current 75-day period, to 180 days.

The Proposed Rule raises a number of significant issues and questions that are important and relevant to me, as a consumer of products that are proposed for regulation under the Proposed Rule. The Proposed Rule asks about a hundred different questions I might want to respond to. I want to provide my thoughts and comments on many of these issues, but my time to devote to researching and providing thoughtful comments on these important questions is limited. I have already spent many hours researching and dissecting these issues, but they take time. I know that the FDA took many years to even come up with the Proposed Rule, so I do not think it is at all unreasonable to allow the public a mere six months to comment on it. This is our only opportunity, as consumers, to provide our feedback.

I feel very strongly about e-cigarettes as an alternative to combustible cigarettes. Quite simply, I firmly believe that they saved my life. I wish to provide you with my personal story, so that you can take my comment into account. I have cancer and my tumors are once again active. If it weren't for the e-cig vaping, I would still be smoking and possibly poisoning my body further with carcinogens. I was also diagnosed with COPD and I am breathing much, much, better. I hardly have to use my maintenance inhaler now. I feel better than I have in all the over 30 years I had smoked now that I am vaping. My family is proud of me too, and some of them are going to start vaping for their health as well. They cannot smell the awful second hand smoke from the e-cig either. I believe that by not smoking real cigarettes anymore will be beneficial in slowing down the growth of my cancer tumors. I personally see vaping as a healthy alternative to regular carcinogenic cigarettes. Please listen to the peoples voices and keep them available for use. It will ultimately make for healthier Americans!!!   I realize that the FDA has the authority under 21 CFR 10.40 to extend this time frame and that the FDA has exercised this authority on numerous occasions in the past. I would therefore ask that you do so here, so that all stakeholders have the opportunity to provide their comments on this proposed regulation.

I appreciate your consideration of my request and am happy to discuss this issue with you further.


[Federal Register Volume 87, Number 118 (Tuesday, June 21, 2022)]
[Notices]
[Pages 36908-36909]
[FR Doc No: 2022-13159]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-255, OMB Control No.3235-0305]

Proposed Collection; Comment Request: Extension; Rule 13e-1

Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collection of
information

summarized below. The Commission plans to submit this existing
collection of information to the Office of Management and Budget for
extension and approval.
    Rule 13e-1 (17 CFR 240.13e-1) under the Securities Exchange Act of
1934 (15 U.S.C. 78 et seq.) makes it unlawful for an issuer who has
received notice that it is the subject of a tender offer made under
Section 14(d)(1) of the Exchange Act to purchase any of its equity
securities during the tender offer, unless it first files a statement
with the Commission containing information required by the rule. This
rule is in keeping with the Commission's statutory responsibility to
prescribe rules and regulations that are necessary for the protection
of investors. The information filed under Rule 13e-1 must be filed with
the Commission and is publicly available. We estimate that it takes
approximately 10 burden hours per response to provide the information
required under Rule 13e-1 and that the information is filed by
approximately 10 respondents. We estimate that 25% of the 10 hours per
response (2.5 hours) is prepared by the company for a total annual
reporting burden of 25 hours (2.5 hours per response x 10 responses).
    Written comments are invited on: (a) whether this 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 imposed by the collection of information; (c) ways to
enhance the quality, utility, and clarity of the information collected;
and (d) ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication by August 22, 2022.
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    Please direct your written comment to David Bottom, Director/Chief
Information Officer, Securities and Exchange Commission, c/o John
Pezzullo, 100 F Street NE, Washington, DC 20549 or send an email to:
[email protected].

    Dated: June 14, 2022.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022-13159 Filed 6-17-22; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: November 10, 2005 (Volume 70, Number 217)]
[Notices]
[Page 68425-68426]
[DOCID:fr10no05-85]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP05-498-002]

Nautilus Pipeline Company, LLC; Notice of Compliance Filing

November 4, 2005.
    Take notice that on October 31, 2005, Nautilus Pipeline Company
(Nautilus) tendered for filing as part of its FERC Gas Tariff, Original
Volume No. 1, Second Substitute Fourth Revised Sheet No. 217, with an
effective date of September 1, 2005.
    Nautilus states that the filing is being made in compliance with
the Commission's Letter Order issued on August 22, 2005 in the above-
referenced proceeding.
    Any person desiring to protest this filing must file in accordance
with Rule 211 of the Commission's Rules of Practice and Procedure (18
CFR 385.211). Protests to this filing 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. Such protests
must be filed in accordance with the provisions of Section 154.210 of
the Commission's regulations (18 CFR 154.210). Anyone filing a protest
must serve a copy of that document on all the parties to the
proceeding.
    The Commission encourages electronic submission of protests in lieu
of paper using the ``eFiling'' link at http://www.ferc.gov. Persons

unable to file electronically should submit an original and 14 copies
of the protest to the Federal Energy Regulatory Commission, 888 First
Street, NE., Washington, DC 20426.
    This filing is accessible on-line at http://www.ferc.gov, using the

``eLibrary'' link and is 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
(866) 208-3676 (toll free). For TTY, call<PHONE_NUMBER>.

Magalie R. Salas,
Secretary.
[FR Doc. E5-6224 Filed 11-9-05; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 77, Number 146 (Monday, July 30, 2012)]
[Notices]
[Page 44608]
[FR Doc No: 2012-18503]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:

Filings Instituting Proceedings

    Docket Numbers: RP12-878-000.
    Applicants: Tennessee Gas Pipeline Company, LLC.
    Description: Clean Up Revenue Sharing Report to be effective 2/1/
2012.
    Filed Date: 7/23/12.
    Accession Number: 20120723-5178.
    Comments Due: 5 p.m. ET 8/6/12.

    Docket Numbers: RP12-879-000.
    Applicants: Trailblazer Pipeline Company LLC.
    Description: 2012-07-23 NC Mieco, Cima, Concord to be effective 7/
24/2012.
    Filed Date: 7/23/12.
    Accession Number: 20120723-5198.
    Comments Due: 5 p.m. ET 8/6/12.

    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.

Filings in Existing Proceedings

    Docket Numbers: RP12-245-002.
    Applicants: TransColorado Gas Transmission Company L.
    Description: Compliance to Filing Reservation Charge Credit to be
effective 6/16/2012.
    Filed Date: 7/23/12.
    Accession Number: 20120723-5149.
    Comments Due: 5 p.m. ET 8/6/12.

    Any person desiring to protest in any of the above proceedings must
file in accordance with Rule 211 of the Commission's Regulations (18
CFR 385.211) on or before 5:00 p.m. Eastern time on the specified
comment date.
    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, and service 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 (202) 502-
8659.

    Dated: July 24, 2012.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2012-18503 Filed 7-27-12; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 60 (Monday, March 30, 2015)]
[Notices]
[Page 16725]
[FR Doc No: 2015-07099]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket Number FRA-2015-0020]

Notice of Application for Approval of Discontinuance or
Modification of a Railroad Signal System

    In accordance with Part 235 of Title 49 of the Code of Federal
Regulations (CFR) and 49 U.S.C. 20502(a), this document provides the
public notice that by a document dated February 18, 2015, the Union
Pacific Railroad Company (UP) petitioned the Federal Railroad
Administration (FRA) seeking approval for the discontinuance or
modification of a signal system. FRA assigned the petition Docket
Number FRA-2015-0020.
    Applicants: Union Pacific Railroad Company, Mr. Neal Hathaway, AVP
Engineering--Signal, 1400 Douglas Street, MS 0910, Omaha, NE 68179.
    UP seeks approval of the discontinuance of the coded track circuits
on the siding between Control Point (CP) W045, at Milepost (MP) 45.30.
and CP W047 MP 47.20, on the Greely Subdivision at LaSalle, CO. The
diverging yellow and flashing yellow aspects will be retired from the B
head of the W signal at CP W047, and the B head of the E signal at CP
W045.
    The purpose of the discontinuance is to facilitate the large number
of switching operations that take place in the siding.
    A copy of the petition, as well as any written communications
concerning the petition, is available for review online at
www.regulatons.gov and in person at the U.S. Department of
Transportation's (DOT) Docket Operations Facility, 1200 New Jersey
Avenue 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 party
desires an opportunity for oral comment, 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 (e.g., Waiver Petition Docket Number FRA-
2015-0020) and may be submitted by any of the following methods:
     Web site: 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 Avenue SE., W12-140, Washington, DC
20590.
     Hand Delivery: 1200 New Jersey Avenue SE., Room W12-140,
Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays.
    Communications received by May 14, 2015 will be considered by FRA
before final action is taken. Comments received after that date will be
considered as far as practicable.
    Anyone is able to 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.).
In accordance with 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 www.dot.gov/privacy.
See also http://www.regulations.gov/#!privacyNotice for the privacy
notice of regulations.gov or interested parties may review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (65 FR 19477).

    Issued in Washington, DC, on March 24, 2015.
Ron Hynes,
Director, Office of Technical Oversight.
[FR Doc. 2015-07099 Filed 3-27-15; 8:45 am]
 BILLING CODE 4910-06-P


[Federal Register Volume 82, Number 213 (Monday, November 6, 2017)]
[Proposed Rules]
[Page 51380]
[FR Doc No: 2017-24114]

=======================================================================
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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 62

[EPA-R03-OAR-2017-0484; FRL-9970-29-Region 3]

Approval and Promulgation of Air Quality Implementation Plans;
Maryland; Continuous Opacity Monitoring Requirements for Municipal
Waste Combustors

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed rule.

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SUMMARY: The Environmental Protection Agency (EPA) proposes to approve
the Clean Air Act (CAA) section 111(d)/129 State Plan revision
submitted by the State of Maryland for the purpose of updating
municipal waste combustor (MWC) references to opacity monitor quality
assurance and quality compliance requirements in Regulations .07 and
.08 under the Code of Maryland Regulations (COMAR) 26.11.08. In the
Final Rules section of this Federal Register, EPA is approving
Maryland's State Plan revision submittal as a direct final rule without
prior proposal because the Agency views this as a noncontroversial
submittal and anticipates no adverse comments. A detailed rationale for
the approval is set forth in the direct final rule. If no adverse
comments are received in response to this action, no further activity
is contemplated. If EPA receives adverse comments, the direct final
rule will be withdrawn and all public comments received will be
addressed in a subsequent final rule based on this proposed rule. EPA
will not institute a second comment period. Any parties interested in
commenting on this action should do so at this time.

DATES: Comments must be received in writing by December 6, 2017.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-R03-
OAR-2017-0484 at http://www.regulations.gov, or via email to
[email protected]. For comments submitted at Regulations.gov,
follow the online instructions for submitting comments. Once submitted,
comments cannot be edited or removed from Regulations.gov. For either
manner of submission, the EPA may publish any comment received to its
public docket. Do not submit electronically any information you
consider to be confidential business information (CBI) or other
information whose disclosure is restricted by statute. Multimedia
submissions (audio, video, etc.) must be accompanied by a written
comment. The written comment is considered the official comment and
should include discussion of all points you wish to make. EPA will
generally not consider comments or comment contents located outside of
the primary submission (i.e. on the web, cloud, or other file sharing
system). For additional submission methods, please contact the person
identified in the ``For Further Information Contact'' section. For the
full EPA public comment policy, information about CBI or multimedia
submissions, and general guidance on making effective comments, please
visit http://www2.epa.gov/dockets/commenting-epa-dockets.

FOR FURTHER INFORMATION CONTACT: Emily Linn,<PHONE_NUMBER>, or by
email at [email protected].

SUPPLEMENTARY INFORMATION: For further information, please see the
information provided in the direct final action, with the same title,
that is located in the ``Rules and Regulations'' section of this
Federal Register publication.

    Dated: October 18, 2017.
Cosmo Servidio,
Regional Administrator, Region III.
[FR Doc. 2017-24114 Filed 11-3-17; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register Volume 82, Number 57 (Monday, March 27, 2017)]
[Notices]
[Page 15217]
[FR Doc No: 2017-05940]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER17-1241-000]

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

    This is a supplemental notice in the above-referenced proceeding
Deerfield Wind, LLC`s application for market-based rate authority, with
an accompanying rate tariff, noting that such application includes a
request for blanket authorization, under 18 CFR 34, of future issuances
of securities and assumptions of liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is April 10, 2017.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
5 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street NE., Washington, DC 20426.
    The filings in the above-referenced proceeding are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for electronic review in the
Commission's Public Reference Room in Washington, DC. There is an
eSubscription link on the Web site that enables subscribers to receive
email notification when a document is added to a subscribed docket(s).
For assistance with any FERC Online service, please email
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.

    Dated: March 21, 2017.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2017-05940 Filed 3-24-17; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: May 14, 2009 (Volume 74, Number 92)]
[Notices]
[Page 22791-22792]
[DOCID:fr14my09-87]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-59889; File No. SR-BATS-2009-011]

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change Related to
Fees for Use of BATS Exchange, Inc.

May 7, 2009.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on May 1, 2009, BATS Exchange, Inc. (``BATS'' 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. BATS has designated the
proposed rule change as one establishing or changing a member due, fee,
or other charge imposed by the Exchange under Section 19(b)(3)(A)(ii)
of the Act \3\ and Rule 19b-4(f)(2) thereunder,\4\ which renders the
proposed rule change effective upon filing with the Commission. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \4\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

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

    The Exchange proposes to modify its fee schedule applicable to use
of the Exchange effective as of May 1, 2009.
    The text of the proposed rule change is available at the Exchange's
Web site at http://www.batstrading.com, at the principal office of the
Exchange, and at the Commission's Public Reference Room.

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

    In its filing with the Commission, the 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 parts of such
statements.

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

1. Purpose
    Under the Exchange's fee schedule effective May 1, 2009, the
Exchange charges 0.25% of the total dollar value of the execution for
any security priced under $1.00 per share that is routed away from the
Exchange. The Exchange is filing this proposed rule change to clarify
that this charge only applies to orders routed through its ``CYCLE''
strategy,\5\ and thus, does not apply to

other non-standard routing options such as Directed ISO's, Dark Scan
orders, and orders routed through its ``DART'' strategy to dark
liquidity venues. For any security priced under $1.00 that is routed
away and executed through an order type or routing strategy other than
CYCLE, the Exchange will charge the specified fee or provide the
specified rebate for such execution. For instance, an order for a
security priced below $1.00 that is routed and executed through Dark
Scan would receive the same $0.0001 rebate as a security priced above
$1.00.
---------------------------------------------------------------------------

    \5\ The Exchange's CYCLE strategy is the best execution routing
strategy through which the Exchange routes to venues other than dark
liquidity venues. The current fee schedule states that the charge
applies to ``orders routed to and executed at other markets.'' The
Exchange intended this to apply only to orders routed through CYCLE,
and believes that the proposed language clarifies this intent.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with the requirements of the Act and the rules and regulations
thereunder that are applicable to a national securities exchange, and,
in particular, with the requirements of Section 6 of the Act.\6\
Specifically, the Exchange believes that the proposed rule change is
consistent with Section 6(b)(4) of the Act,\7\ in that it provides for
the equitable allocation of reasonable dues, fees and other charges
among members and other persons using any facility or system which the
Exchange operates or controls. The Exchange notes that it operates in a
highly competitive market in which market participants can readily
direct order flow to competing venues if they deem fee levels at a
particular venue to be excessive. The Exchange believes that its fees
and rebates are competitive with those charged by other venues.
Finally, the Exchange believes that the proposed rates are equitable in
that they apply uniformly to all Members.
---------------------------------------------------------------------------

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

(B) Self-Regulatory Organization's Statement of Burden on Competition

    The Exchange does not believe that the proposed rule change imposes
any burden on competition.

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

    No written comments were solicited or received.

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

    The foregoing proposed rule change has been designated as a fee
change pursuant to Section 19(b)(3)(A)(ii) of the Act \8\ and Rule 19b-
4(f)(2) thereunder,\9\ because it establishes or changes a due, fee or
other charge imposed on members by the Exchange. Accordingly, the
proposal is effective upon filing with the Commission.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \9\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate 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 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 e-mail to<EMAIL_ADDRESS>Please include
File No. SR-BATS-2009-011 on the subject line.

Paper Comments

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

All submissions should refer to File No. SR-BATS-2009-011. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/
sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule 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 inspection and
copying in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of BATS. 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-BATS-2009-011 and should be
submitted on or before June 4, 2009.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
---------------------------------------------------------------------------

    \10\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-11231 Filed 5-13-09; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 80, Number 208 (Wednesday, October 28, 2015)]
[Notices]
[Pages 66013-66014]
[FR Doc No: 2015-27418]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2008-D-0142]

Nonclinical Safety Evaluation of Reformulated Drug Products and
Products Intended for Administration by an Alternate Route; Guidance
for Industry and Review Staff; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of availability.

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

SUMMARY: The Food and Drug Administration (FDA or Agency) is announcing
the availability of a guidance for industry and review staff entitled
``Nonclinical Safety Evaluation of Reformulated Drug Products and
Products Intended for Administration by an Alternate Route.'' The
guidance provides recommendations concerning the evaluation of the
nonclinical safety of reformulated drug products or products being used
by an alternate route. It is intended for use by interested individuals
in industry and reviewers within the Center for Drug Evaluation and
Research (CDER). The goals of this guidance are to foster and expedite
the development of reformulated drug products or the use of previously
approved drugs by alternate routes, communicate to industry current
CDER thoughts pertaining to safety data needed to support these drug
products, and increase uniformity within CDER on expectations for the
nonclinical development of reformulated drug products or products being
used by an alternate route. This guidance finalizes the draft guidance
of the same name published on March 7, 2008.

DATES: Submit either electronic or written comments on Agency guidances
at any time.

ADDRESSES: You may submit comments as follows:

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments. Comments submitted
electronically, including attachments, to http://www.regulations.gov
will be posted to the docket unchanged. Because your comment will be
made public, you are solely responsible for ensuring that your comment
does not include any confidential information that you or a third party
may not wish to be posted, such as medical information, your or anyone
else's Social Security number, or confidential business information,
such as a manufacturing process. Please note that if you include your
name, contact information, or other information that identifies you in
the body of your comments, that information will be posted on http://www.regulations.gov.
     If you want to submit a comment with confidential
information that you do not wish to be made available to the public,
submit the comment as a written/paper submission and in the manner
detailed (see ``Written/Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper
submissions): Division of Dockets Management (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Division of
Dockets Management, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions''.
    Instructions: All submissions received must include the Docket No.
FDA-2008-D-0142 for ``Nonclinical Safety Evaluation of Reformulated
Drug Products and Products Intended for Administration by an Alternate
Route; Guidance for Industry and Review Staff.'' Received comments will
be placed in the docket and, except for those submitted as
``Confidential Submissions,'' publicly viewable at http://www.regulations.gov or at the Division of Dockets Management between 9
a.m. and 4 p.m., Monday through Friday.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION''. The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on http://www.regulations.gov.
Submit both copies to the Division of Dockets Management. If you do not
wish your name and contact information to be made publicly available,
you can provide this information on the cover sheet and not in the body
of your comments and you must identify this information as
``confidential''. Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: http://www.fda.gov/regulatoryinformation/dockets/default.htm.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to http://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Division of Dockets Management, 5630 Fishers
Lane, Rm. 1061, Rockville, MD 20852.

    Submit written requests for single copies of this guidance to the
Division of Drug Information, Center for Drug Evaluation and Research,
Food and Drug Administration, 10001 New Hampshire Ave., Hillandale
Building, 4th Floor, Silver Spring, MD 20993-0002. Send one self-
addressed adhesive label to assist that office in processing your
requests. See the SUPPLEMENTARY INFORMATION section for electronic
access to the guidance document.

FOR FURTHER INFORMATION CONTACT: Paul C. Brown, Center for Drug
Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg., 22, Rm. 6472, Silver Spring, MD 20993-0002, 301-
796-0856.

SUPPLEMENTARY INFORMATION:

I. Background

    FDA is announcing the availability of a guidance for industry and
review staff entitled ``Nonclinical Safety Evaluation of Reformulated
Drug Products and Products Intended for Administration by an Alternate
Route.'' This guidance provides recommendations regarding the
nonclinical evaluation of a new formulation containing a previously
approved drug substance and of a product proposed for use by an
alternate route of administration for which the product was not
previously approved.
    Generally, nonclinical data support use of a drug product by a
particular route and also reflect the planned duration of use. Much of
the available nonclinical information used to support approval of the
initial formulation can be used to support the safety of additional
formulations assuming all legal rights to the information are met.
Information used to support an initial formulation, however, may not
always be sufficient to support such additional approvals because
changes in the formulation could produce a new toxicity. This is
particularly true if the drug product's route of administration is
different or the duration of use changes markedly. Therefore,
additional nonclinical studies might be recommended to ensure that the
toxicity of a new formulation is fully characterized.
    This guidance provides general nonclinical considerations for all
reformulations or new routes of use and several route-specific
considerations. The considerations in this guidance can also be applied
to routes not specifically mentioned in the guidance.
    This guidance finalizes the draft guidance of the same name
published on March 7, 2008. Changes to the guidance include the
addition of a recommendation that toxicology studies be conducted under
good laboratory practices, clarification that histopathology can be
limited in some cases to locally exposed tissues, the addition of a
reference to the International Conference on Harmonisation guidance for
industry entitled ``S10 Photosafety Evaluation of Pharmaceuticals,''
and other clarifications to the studies recommended for specific routes
such as dermal, ocular, and intranasal.
    This guidance is being issued consistent with FDA's good guidance
practices regulation (21 CFR 10.115). The guidance represents the
current thinking of FDA on nonclinical safety evaluation of
reformulated drug products and products intended for administration by
an alternate route. It does not establish any rights for any person and
is not binding on FDA or the public. You can use an alternative
approach if it satisfies the requirements of the applicable statutes
and regulations.

II. Electronic Access

    Persons with access to the Internet may obtain the document at
either http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm or http://www.regulations.gov.

    Dated: October 21, 2015.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2015-27418 Filed 10-27-15; 8:45 am]
 BILLING CODE 4164-01-P


[Federal Register Volume 82, Number 17 (Friday, January 27, 2017)]
[Notices]
[Pages 8636-8641]
[FR Doc No: 2017-01831]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-79861; File No. SR-C2-2017-004]

Self-Regulatory Organizations; C2 Options Exchange, Incorporated;
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change
Relating to the Give Up of a Clearing Trading Permit Holder

January 23, 2017.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on January 10, 2017, C2 Options Exchange, Incorporated (the
``Exchange'' or ``C2'') filed with the Securities and Exchange
Commission (the ``Commission'') the proposed rule change as described
in Items I and II, below, which Items have been prepared by the
Exchange. The Exchange filed the proposal as a ``non-controversial''
proposed rule change pursuant to Section 19(b)(3)(A)(iii) of the Act
\3\ and Rule 19b-4(f)(6) thereunder.\4\ The Commission is publishing
this notice to solicit comments on the proposed rule change from
interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \4\ 17 CFR 240.19b-4(f)(6).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend its rules governing the give up of a
Clearing Participant by a Participant on Exchange Transactions. The
text of the proposed rule change is available on the Exchange's Web
site (http://www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome.aspx), at
the Exchange's Office of the Secretary, 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 augment its requirements in C2 Rule 6.30
related to the give up of a Clearing Participant by a Participant on
Exchange transactions. By way of background, to enter transactions on
the Exchange, a Participant must either be a Clearing Participant or
must have a Clearing Participant agree to accept financial
responsibility for all of its transactions. Additionally, Rule 6.30
currently provides that when a Participant executes a transaction on
the Exchange, it must give up the name of the Clearing Participant (the
``Give Up'') through which the transaction will be cleared (i.e.,
``give up'').
Designated Give Ups and Guarantors
    The Exchange seeks to amend Rule 6.30 to provide that a Participant
may only give up a ``Designated Give Up'' or its ``Guarantor.'' The
Exchange proposes to introduce and define the term ``Designated Give
Up.'' For purposes of Rule 6.30, a ``Designated Give Up,'' is any
Clearing Participant that a Participant (other than a Market-Maker \5\)
identifies to the Exchange, in writing, as a Clearing Participant that
the Participant would like to have the ability to give up. To designate
a ``Designated Give Up'' a Participant must submit written
notification, in a form and manner determined by the Exchange, to the
Registration Services Department (``RSD''). Specifically, the Exchange
anticipates using a standardized form (``Notification Form'') that a
Participant would need to complete and submit to the RSD. A copy of the
proposed Notification Form is included with this filing in Exhibit 3.
Similarly, should a Participant no longer want the ability to give up a
particular Designated Give Up, it must submit written notification, in
a form and manner determined by the Exchange, to the RSD. The Exchanges
[sic] notes that a Participant may designate any Clearing Participant
as a Designated Give Up. Additionally, there is no minimum or maximum
number of Designated Give Ups that a Participant must identify. The
Exchange shall notify a Clearing Participant, in writing and as soon as
practicable, of each Participant that has identified it as a Designated

Give Up. The Exchange anticipates obtaining the contact information of
a Clearing Participant by having each Clearing Participant complete a
standardized form (``Designated Give Up Contact Form'') and submit it
to the RSD. A copy of the proposed Designated Give Up Contact Form is
included with this filing in Exhibit 3. The Exchange however, will not
accept any instructions, and not give effect to any previous
instructions, from a Clearing Participant not to permit a Participant
to designate the Clearing Participant as a Designated Give Up. The
Exchange notes that there is no subjective evaluation of a
Participant's list of proposed Designated Give Ups by the Exchange.
Rather, the Exchange intends to process each list as submitted and
ensure that the Clearing Participants identified as Designated Give Ups
are in fact current Clearing Participants, as well as confirm that the
Notification Forms are complete (e.g., contains appropriate signatures)
and the OCC numbers listed for each Clearing Participant are accurate.
---------------------------------------------------------------------------

    \5\ For purposes of this rule, references to ``Market-Maker''
shall refer to Participants acting in the capacity of a Market-Maker
and shall include all Exchange Market-Maker capacities (e.g.,
Designated Primary Market-Makers).
---------------------------------------------------------------------------

    The Exchange also proposes to define the term ``Guarantor'' in the
proposed rule text. For purposes of proposed Rule 6.30, a ``Guarantor''
shall refer to a Clearing Participant that has issued a Letter of
Guarantee or Letter of Authorization for the executing Participant
under the C2 Rule 3.10 (Letters of Guarantee and Authorization) that is
in effect at the time of the execution of the applicable trade. An
executing Participant may give up its Guarantor without having to first
designate it to the Exchange as a ``Designated Give Up.''
    As noted above, the proposed rule change seeks to provide that a
Participant may give up only (i) the name of a Clearing Participant
that has previously been identified and processed by the Exchange as a
Designated Give Up for that Participant, if not a Market-Maker or (ii)
its Guarantor. This limitation shall be enforced by the Exchange's
trading systems. Specifically, the Exchange will configure its trading
systems to only accept orders from a Participant which identify a
Designated Give Up or Guarantor for that Participant and will reject
any order entered by a Participant which designates a Give Up that is
not at the time a Designated Give Up or Guarantor of the Participant.
The Exchange notes that it will notify a Participant in writing when an
identified Designated Give Up becomes ``effective'' (i.e., when a
Clearing Participant that has been identified by the Participant as a
Designated Give Up has been enabled by the Exchange's trading systems
to be given up). A Guarantor for a Participant shall be enabled to be
given up for that Participant without any further action by the
Participant (i.e., submitting its name as a Designated Give Up on the
Notification Form). The Exchange notes that this configuration (i.e.,
the trading system accepting only orders which identify a Designated
Give Up or Guarantor) is intended to help reduce ``keypunch errors''
and prevent Participants from mistakenly giving up the name of a
Clearing Participant that it had no intention of ever using as a Give
Up.
Acceptance of a Trade
    The Exchange next proposes to permit a Designated Give Up and a
Guarantor to, in certain circumstances, determine not to accept a trade
on which its name was given up. If a Designated Give Up or Guarantor
determines not to accept a trade, it may reject the trade in accordance
with the procedures described more fully below.
    A Designated Give Up may determine to not accept a trade on which
its name was given up so long as it believes in good faith that it has
a valid reason not to accept the trade. Examples of valid reasons may
be that the Designated Give Up does not have a customer for that
particular trade or that another Clearing Participant agrees to be the
Give Up on the trade and has notified the Exchange and executing
Participant in writing of its intent to accept the trade. If a
Designated Give Up determines to not accept (and thereby reject) a
trade on which its name was given up, the executing Participant's
Guarantor or another Clearing Participant that agrees to be the Give Up
on the trade shall become the Give Up. Next, the Exchange proposes to
provide that a Guarantor may not accept (and thereby reject) a non-
Marker-Maker trade on which its name was given up only if another
Clearing Participant agrees to be the Give Up on the trade and has
notified the Exchange and executing Participant in writing of its
intent to accept the trade. The Exchange notes that only a Designated
Give Up or Guarantor whose name was initially given up on a trade is
permitted to not accept the trade, subject to the conditions noted
above (i.e., the Clearing Participant or Guarantor that becomes the
Give Up on a rejected trade may not also reject the trade).
Rejection of a Trade
    The Exchange has incorporated into proposed Rule 6.30 procedures
that must be followed in order for a Designated Give Up to reject a
trade. A trade may only be rejected on (i) the trade date or (ii) the
business day following the trade date (``T+1'') (except that
transactions in expiring options series may not be rejected on T+1).
Rejection on Trade Date
    If a Designated Give Up decides to reject a trade on the trade
date, it must first notify, in writing, the executing Participant or
its designated agent, as soon as possible and attempt to resolve the
disputed give up. This requirement puts the executing Participant on
notice that the Give Up on the trade may be changed and provides the
executing Participant and Designated Give Up an opportunity to resolve
the dispute in a manner agreeable to each party. The Exchange notes
that a Designated Give Up may request from the Exchange the contact
information of the executing Participant or its designated agent for
any trade it wishes to reject.
    Following notification to the executing Participant on the trade
date, a Designated Give Up may request the ability from the Exchange to
change the Give Up on the trade. This request must be made by
completing and submitting a standardized form (``Give Up Change Form'')
to the Exchange. A copy of the proposed Give Up Change Form is included
with this filing in Exhibit 3. So long as the Exchange is able to
process the request prior to the trade input cutoff time established by
the Clearing Corporation (or fifteen minutes thereafter, so long as the
Exchange receives and is able to process a request to extend its time
of final trade submission to the Clearing Corporation) (``Trade Date
Cutoff Time''), the Exchange will provide the Designated Give Up the
ability to make the change to the Give Up on the trade to either (1)
another Clearing Participant or (2) the executing Participant's
Guarantor.
    A Designated Give Up may change the Give Up to another Clearing
Participant (``New Clearing Participant'') (i.e., a Clearing
Participant that is not the executing Participant's Guarantor) only if
that Clearing Participant has agreed to be the give up on the trade and
has first notified the Exchange and the executing Participant in
writing of its intent to accept the trade. To notify the Exchange, the
New Clearing Participant must complete and submit a standardized form
(i.e., the Give-Up Change Form for Accepting Clearing Trading Permit
Holders) to the Exchange. A copy of the proposed Give-Up Change Form
for Accepting Clearing Trading Permit Holders is included with this
filing in Exhibit 3. The Exchange notes that any Clearing Participant
may agree to accept a trade from the

Designated Give Up that is rejecting the trade (i.e., the New Clearing
Participant does not have to already be a Designated Give Up of the
executing Participant). The Exchange also notes that a New Clearing
Participant that has agreed to accept a trade and become the Give Up
cannot later reject the trade. Requiring the New Clearing Participant
to provide notice to the Exchange of its intent to accept the trade and
prohibiting the New Clearing Participant from later rejecting the trade
provides finality to the trade and ensures that the trade is not
repeatedly reassigned from one Clearing Participant to another.
    The Exchange also seeks to provide that a Designated Give Up may
alternatively change the Give Up to the executing Participant's
Guarantor. The Guarantor does not need to notify the Exchange of its
intent to accept the trade nor does it need to submit any notification
or form. The Designated Give Up however, must first provide written
notice to the Guarantor that it will be making this change. A Guarantor
that becomes the Give Up on a trade as a result of the Designated Give
Up rejecting the trade is prohibited from not accepting the trade/
rejecting the trade. This prohibition provides finality to the trade
and ensures that the trade is not repeatedly reassigned from one
Clearing Participant to another.
    A Guarantor may also reject a non-Market-Maker trade for which its
name was the initial given up by a Participant, but only if another
Clearing Participant has first agreed to be the Give Up on the trade
and has notified the Exchange and executing Participant in writing of
its intent to accept the trade. If a Guarantor of a Participant decides
to reject a trade on the trade date, it must follow the same procedures
to change the Give Up as would be followed by a Designated Give Up. The
ability to make any changes, either by the Designated Give Up or
Guarantor, to the Give Up pursuant to this procedure will end at the
Trade Date Cutoff Time.
    Finally, once the Give Up has been changed, the Designated Give Up
or Guarantor making the change must immediately thereafter notify the
Exchange, the parties to the trade and the New Clearing Participant of
the change in writing.
Rejection on T+1
    The Exchange next acknowledges that some clearing firms may not
reconcile their trades until after the Trade Date Cutoff Time. A
clearing firm therefore, may not realize that a valid reason exists to
not accept a particular trade until after the close of the trading day
or until the following morning. Accordingly, the Exchange seeks to
establish a procedure for a Designated Give Up or Guarantor of a
Participant that is not a Market-Maker to reject a trade on the
following trade day (``T+1''). The Exchange notes that a separate
procedure must be established for T+1 changes because to effectively
change the Give Up on a trade on T+1, an offsetting reversal has to
occur (as opposed to merely identifying a different Clearing
Participant on the trade). More specifically, a buy side must be
entered by one Clearing Participant and the sell side must be entered
by the other Clearing Participant in order to effect the moving of the
position from one Clearing Participant to another.
    A Designed [sic] Give Up that wishes to reject a trade on T+1 must
first notify the executing Participant, in writing, to try to attempt
and resolve the dispute. Following notification to the Participant, a
Designated Give Up may contact the Exchange and request the ability to
enter trade records into the Exchange's trading system on behalf of
itself and either the New Clearing Participant or the executing
Participant's Guarantor, which would effect a transfer of the trade to
the new Give Up. So long as the Exchange is able to process the request
prior to 12:00 p.m. (CT) on T+1 (``T+1 Cutoff Time''), the Exchange
shall provide the Designated Give Up the ability to do so. The request
must be made in writing using a standardized form (i.e., the Give Up
Change Form) from the Exchange. In the event a New Clearing Participant
will be accepting the trade as the Give Up, the New Clearing
Participant must also complete and submit the C2 Give-Up Change Form
for Accepting Clearing Participants. A Guarantor that becomes the new
Give Up on T+1 does not need to notify the Exchange of its intent to
accept the trade nor does it need to submit any notification or form.
The Designated Give Up however, must first provide written notice to
the Guarantor that it will be making this change on T+1.
    An executing Participant's Guarantor that was the initial Give Up
on a trade may also reject the trade on T+1, but may only change the
Give Up to another Clearing Participant that has first agreed to be the
Give Up on the trade and has notified the Exchange (by submitting the
Give Up Change Form) and executing Participant in writing of its intent
to accept the trade. If a Guarantor of a Participant decides to reject
a non-Market-Maker trade on T+1, it must follow the same procedures
outlined in subparagraph (f)(iii). The Exchange again notes that only a
Guarantor whose name was initially given up is permitted to reject a
trade (i.e., a Guarantor cannot reject a trade on T+1 for which it has
become the give up as a result of a Designated Give Up not accepting
the trade).
    The ability for either a Designated Give Up or Guarantor to make
these changes shall end at the T+1 Cutoff Time. The Exchange notes that
that the T+1 Cutoff Time is 12:00 p.m. (CT) to provide finality and
certainty as to which Clearing Participant will be the Clearing
Participant for the trade.
    Once the change to the Give Up has been made, the Designated Give
Up or Guarantor making the change must immediately thereafter notify
the Exchange, the parties to the trade and the New Clearing Participant
of the change in writing. The Exchange notes that the T+1 procedure is
not applicable to trades in expiring options series that take place on
the last trading day prior to their expiration. Rather, a Designated
Give Up and Guarantor may only reject these transactions on the trade
date until the Trade Date Cutoff Time in accordance with the trade date
procedures described above.
    As discussed above, the Exchange is allowing Participant s [sic]
that are not Market-Makers to identify any Clearing Participant as a
Designated Give Up. Also as discussed, the Exchange has determined not
to take instructions from a Clearing Participant not to permit a
particular Participant from giving up their name so that the Exchange
will not be placed in the position of arbiter between a Clearing
Participant, a Participant and a customer. The Exchange recognizes,
however, that Participants should not be given the ability to give up
any Clearing Participant without also providing a method of recourse to
those Clearing Participants which, for the prescribed reasons discussed
above, should not be obligated to clear certain trades for which they
are given up. The Exchange accordingly is seeking to provide Designated
Give Ups and Guarantors the ability to, where appropriate, reject a
trade. Ultimately, however, the trade must clear with a clearing firm
and there must be finality to the trade. The Exchange believes that the
executing Participant's Guarantor, absent a Clearing Participant that
agrees to accept the trade, should become the Give Up on any trade
which a Designated Give Up determines to reject in accordance with
these proposed rule provisions, because the Guarantor, by virtue of
having issued a Letter of Guarantee or Authorization, has already
accepted financial responsibility for all Exchange transactions made by
the executing Participant. The Exchange

however, does not want to prevent a Clearing Participant that agrees to
accept the trade from being able to do so, and accordingly, the
Exchange also provides that a New Clearing Participant may become the
Give Up on a trade in accordance with the procedure discussed above.
Other Give Up Changes
    The Exchange seeks to codify in its proposed rule three scenarios
in which a Give Up on a transaction may be changed without Exchange
involvement. First, if an executing Participant has the ability through
an Exchange system to do so, it may change the Give Up on a trade to
another Designated Give Up or its Guarantor. The Exchange notes that
Participants often make these changes when, for example, there was a
keypunch error (i.e. an error that involves the erroneous entry of an
intended clearing firm's OCC clearing number). The ability of the
executing Participant to make any such change will end at the Trade
Date Cutoff Time.\6\
---------------------------------------------------------------------------

    \6\ After that time, the Participant will no longer have the
ability to make this type of change as the trade will have been
submitted to OCC.
---------------------------------------------------------------------------

    Next, the proposed rule provides that, if a Designated Give Up has
the ability to do so, it may change the Give Up on a transaction for
which it was given up to (i) another Clearing Participant affiliated
with the Designated Give Up or (ii) a Clearing Participant that is a
back office agent for the Designated Give Up. The ability to make such
a change will end at the Trade Date Cutoff Time. The procedures in
proposed subparagraph (f) of Rule 6.30 that were previously described
will not apply in these instances. The Exchange notes that often
Clearing Participants themselves have the ability to change a Give Up
on a trade for which it was given up to another Clearing Participant
affiliate or Clearing Participant for which the Designated Give Up is a
back office agent. Therefore, Exchange involvement in these instances
is not necessary.
    Lastly, the proposed rule provides that if both a Designated Give
Up and a Clearing Participant have the ability through an Exchange
system to do so, the Designated Give Up and Clearing Participant may
each enter trade records into the Exchange's systems on T+1 that would
effect a transfer of the trade in a non-expired option series from that
Designated Give Up to that Clearing Participant. Likewise, if a
Guarantor of a Participant trade that is not a Market-Maker trade and a
Clearing Participant have the ability through an Exchange system to do
so, the Guarantor and Clearing Participant may each enter trade records
into the Exchange's systems on T+1 that would effect a transfer of the
trade in a non-expired option series from that Guarantor to that
Clearing Participant. The Designated Give Up or Guarantor shall not
make any such change after the T+1 Cutoff Time. The Exchange notes that
a Designated Give Up (or Guarantor) must notify, in writing, the
Exchange and all the parties to the trade, of any such change made
pursuant to this provision. This notification alerts the parties and
the Exchange that a change to the Give Up has been made. Finally, the
Designated Give Up (or Guarantor) will be responsible for monitoring
the trade and ensuring that the other Clearing Participant has entered
its side of the transaction timely and correctly. If either a
Designated Give Up (or Guarantor) or Clearing Participant cannot
themselves enter trade records into the Exchange's systems to effect a
transfer of the trade from one to the other, the Designated Give Up (or
Guarantor) may request the ability from the Exchange to enter both
sides of the transaction in accordance with this amended Rule 6.30 and
pursuant to the procedures set forth in subparagraph (f)(iii) of that
Rule.
Responsibility
    For purposes of the Rules of the Exchange, a Clearing Participant
will be financially responsible for all trades for which it is the Give
Up at the Applicable Cutoff Time (for purposes of the proposed rule,
the ``Applicable Cutoff Time'' shall refer to the T+1 Cutoff Time for
non-expiring option series and to the Trade Date Cutoff Time for
expiring option series). The Exchange notes however, that nothing in
the proposed rule shall preclude a different party from being
responsible for the trade outside of the Rules of the Exchange pursuant
to OCC Rules, any agreement between the applicable parties, other
applicable rules and regulations, arbitration, court proceedings or
otherwise. Moreover, in processing a request to provide a Designated
Give Up the ability to change a Give Up on a trade, the Exchange will
not consider or validate whether the Designated Give Up has satisfied
the requirements of this Rule in relation to having a good faith belief
that it has a valid reason not to accept a trade or having notified the
executing Participant and attempting to resolve the disputed Give Up
prior to changing the Give Up. Rather, upon request, the Exchange shall
always provide a Designated Give Up or Guarantor the ability to change
the give up or to reject a trade pursuant to the proposed rule so long
as the Designated Give Up or Guarantor, and New Clearing Participant if
applicable, have provided a completed Give Up Change Forms within the
prescribed time period. The Exchange notes that given the inherent time
constraints in making a change to a Give Up on a transaction, the
Exchange would not be able to adequately consider the above-mentioned
requirements and make a determination within the prescribed period of
time. Rather, the Exchange will examine trades for which a Give Up was
changed pursuant to subparagraphs (e) and (f) after the fact to ensure
that requirements set forth in amended Rule 6.30 were complied with.
Particularly, the Exchange notes that the Give Up Change Forms that
Designated Give Ups, Guarantors and New Clearing Participants must
submit, will help to ensure that the Exchange obtains, in a uniform
format, the information that it needs to monitor and regulate this rule
and these give up changes in particular. This information, for example,
will better allow the Exchange to determine whether the Designated Give
Up had a valid reason to reject the trade, as well as assist the
Exchange in cross checking and confirming that what the Designated Give
Up or Guarantor said it was going to do is what it actually did (e.g.,
check that the New Clearing Participant identified in the Give Up
Change Form was the Clearing Participant that actually was identified
on the trade as the Give Up). Additionally, the proposed rule does not
preclude these factors from being considered in a different forum
(e.g., court or arbitration) nor does it preclude any Clearing
Participant that violates any provision of amended Rule 6.30 from being
subject to discipline in accordance with Exchange rules.
    The Exchange proposes to announce the implementation date of the
proposed rule change in a Regulatory Circular, to be published no later
than thirty (30) days following the date of filing. The implementation
date will be no later than ninety (90) days following publication of
the Regulatory Circular. The Exchange notes this additional time gives
Participants time to provide their lists of all Clearing Participants
that they would like to designate as ``Designated Give Ups'' and gives
the Exchange time to process those lists and configure its system
accordingly.
2. Statutory Basis
    The Exchange believes the proposed rule change is consistent with
the Securities Exchange Act of 1934 (the

``Act'') and the rules and regulations thereunder applicable to the
Exchange and, in particular, the requirements of Section 6(b) of the
Act.\7\ Specifically, the Exchange believes the proposed rule change is
consistent with the Section 6(b)(5) \8\ requirements that the rules of
an exchange be designed to prevent fraudulent and manipulative acts and
practices, to promote just and equitable principles of trade, to foster
cooperation and coordination with persons engaged in regulating,
clearing, settling, processing information with respect to, and
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.
Additionally, the Exchange believes the proposed rule change is
consistent with the Section 6(b)(5) \9\ requirement that the rules of
an exchange not be designed to permit unfair discrimination between
customers, issuers, brokers, or dealers.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78f(b).
    \8\ 15 U.S.C. 78f(b)(5).
    \9\ Id.
---------------------------------------------------------------------------

    First, detailing in the rules how Participants will give up
Clearing Participants and how Clearing Participants may ``reject'' a
trade provides transparency and operational certainty. The Exchange
believes additional transparency removes a potential impediment to, and
will contribute to perfecting, the mechanism for a free and open market
and a national market system, and, in general, will protect investors
and the public interest. Moreover, the Exchange notes that amended Rule
6.30 requires standardized forms to be used in the designation of
Designated Give Ups to ensure a seamless administration of the Rule.
The Rule also requires that Clearing Participants submit standardized
forms when requesting the ability to reject a trade and that all
notifications relating to a change in Give Up are in writing. These
requirements will aid the Exchange's efforts to monitor and regulate
Participants and Clearing Participants as they relate to amended Rule
6.30 and changes in give ups, thereby protecting investors and the
public interest.
    Additionally, the Exchange notes that in evaluating its give up
rule provisions, it solicited feedback from a variety of market
participants. The Exchange believes that its proposed give up rule
strikes the right balance between the various views and interests
across the industry. For example, although the rule allows Participants
that are not Market-Makers to identify any Clearing Participant as a
Designated Give Up, it also provides that Clearing Participants will
receive notice of any Participant that has designated it as a
Designated Give Up and provides for a procedure for a Clearing
Participant to ``reject'' a trade in accordance with the Rules, both on
the trade date and T+1. The Exchange recognizes that Participants
should not be given the ability to give up any Clearing Participant
without also providing a method of recourse to those Clearing
Participants which, for the prescribed reasons discussed above, should
not be obligated to clear certain trades for which they are given up.
The Exchange believes that providing Designated Give Ups the ability to
reject a trade within a reasonable amount of time is consistent with
the Act as, pursuant to the proposed rule, the Designated Give Ups may
only do so if they have a valid reason and because ultimately, the
trade can always be assigned to the Guarantor of the executing
Participant. A trade must clear with a clearing firm and there must be
finality to the trade. The Exchange believes that the executing
Participant's Guarantor, absent a Clearing Participant that agrees to
accept the trade, should become the Give Up on any trade which a
Designated Give Up determines to reject in accordance with the proposed
rule provisions, because the Guarantor, by virtue of having issued a
Letter of Guarantee or Authorization, has already accepted financial
responsibility for all Exchange transactions made by the executing
Participant. Therefore, amended Rule 6.30 is reasonable and provides
certainty that a Clearing Participant will always be responsible for a
trade, which protects investors and the public interest.
    Lastly, the Exchange notes that amended Rule 6.30 does not preclude
a different party than the party given up from being responsible for
the trade outside of the Rules of the Exchange pursuant to OCC Rules,
any agreement between the applicable parties, other applicable rules
and regulations, arbitration, court proceedings or otherwise. The
Exchange acknowledges that it will not consider whether the Designated
Give Up has satisfied the requirements of this Rule in relation to
having a good faith belief that it has a valid reason not to accept a
trade or having notified the executing Participant and attempting to
resolve the disputed Give Up prior to changing the Give Up, due to
inherent time restrictions. However, the Exchange believes investor and
public interest are still protected as the Exchange will still examine
trades for which a Give Up was changed pursuant to subparagraphs (e)
and (f) of amended Rule 6.30 after the fact to ensure that the
requirements set forth in the Rule were complied with. As noted above,
the use of standardized forms and the requirement that certain notices
be in writing will assist monitoring any give up changes and enforcing
amended Rule 6.30. Finally, the Exchange notes that the Rule does not
preclude these factors from being considered in a different forum
(e.g., court or arbitration) nor does it preclude any Participant or
Clearing Participant that violates any provision of amended Rule 6.30
from being subject to discipline by the Exchange.

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

    C2 does not believe that the proposed rule change will impose any
burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act. The Exchange does not believe
that the proposed rule change will impose an unnecessary burden on
intramarket competition because it will apply equally to all similarly
situated Participants. The Exchange also notes that, should the
proposed changes make C2 more attractive for trading, market
participants trading on other exchanges can always elect to become
Participants on C2 to take advantage of the trading opportunities.

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

    The Exchange neither solicited nor received comments on the
proposed rule change.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \10\ and Rule 19b-
4(f)(6) \11\ thereunder.
---------------------------------------------------------------------------

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

    A proposed rule change filed under Rule 19b-4(f)(6) \12\ normally
does not become operative for 30 days after the date of filing.
However, Rule 19b-

4(f)(6)(iii) \13\ permits the Commission to designate a shorter time if
such action is consistent with the protection of investors and the
public interest. The Exchange has requested that the Commission waive
the 30-day operative delay so that it can implement the proposed rule
change as early as the last week in January. The Commission believes
that waiver of the 30-day operative delay is consistent with the
protection of investors and the public interest. The Commission notes
that the Exchange's proposed rule change is based on a substantially
similar proposed rule change submitted by CBOE, which the Commission
approved after receiving no comments.\14\ The Commission also notes
that the filing raises no novel issues apart from those already
considered in the earlier CBOE filing. Therefore, the Commission waives
the 30-day operative delay and designates the proposed rule change
operative upon filing.\15\
---------------------------------------------------------------------------

    \12\ 17 CFR 240.19b-4(f)(6).
    \13\ 17 CFR 240.19b-4(f)(6)(iii).
    \14\ See Securities Exchange Act Release No. 72668 (July 24,
2014), 79 FR 44229 (July 30, 2014) (SR-CBOE-2014-048).
    \15\ For purposes only of waiving the 30-day operative delay,
the Commission also has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission will institute proceedings to
determine whether the proposed rule change should be approved or
disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-C2-2017-004 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-C2-2017-004. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549 on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of 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; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-C2-2017-004 and should be
submitted on or before February 17, 2017.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\16\
---------------------------------------------------------------------------

    \16\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-01831 Filed 1-26-17; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 86, Number 43 (Monday, March 8, 2021)]
[Notices]
[Page 13411]
[FR Doc No: 2021-04712]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-91190A; File No. S7-24-89]

Self-Regulatory Organizations; Notice of Filing and Immediate
Effectiveness of the Fiftieth Amendment to the Joint Self-Regulatory
Organization Plan Governing the Collection, Consolidation and
Dissemination of Quotation and Transaction Information for Nasdaq-
Listed Securities Traded on Exchanges on an Unlisted Trading Privileges
Basis; Correction

March 3, 2021.
AGENCY: Securities and Exchange Commission.

ACTION: Notice; correction.

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

SUMMARY: The Securities and Exchange Commission published a document in
the Federal Register on March 1, 2021, concerning a Notice of Filing
and Immediate Effectiveness of the Fiftieth Amendment to the Joint
Self-Regulatory Organization Plan. The document header contained a
typographical error.

FOR FURTHER INFORMATION CONTACT: Mia Zur, Division of Trading and
Markets, Securities and Exchange Commission, 100 F Street NE,
Washington, DC 20549,<PHONE_NUMBER>.

Correction

    In the Federal Register of March 1, 2021 in FR Doc. 2021-04089, on
page 12045, in the heading ``Joint Industry Plan; Notice of Filing and
Immediate Effectiveness of the Fiftieth Amendment to the Joint Self-
Regulatory Organization Plan Governing the Collection, Consolidation
and Dissemination of Quotation and Transaction Information to Nasdaq-
Listed Securities Traded on Exchanges on an Unlisted Trading Privileges
Basis'' remove ``and Immediate Effectiveness'' from the heading.

J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-04712 Filed 3-5-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: May 21, 2009 (Volume 74, Number 97)]
[Notices]
[Page 23847-23848]
[DOCID:fr21my09-25]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 13463-000]

Hydro Energy Technologies, LLC; Notice of Preliminary Permit
Applications Accepted for Filing and Soliciting Comment, Motions To
Intervene, and Competing Applications

May 13, 2009.
    On May 5, 2009, Hydro Energy Technologies, LLC filed an
application, pursuant to section 4(f) of the Federal Power Act,
proposing to study the feasibility of the Pleasant Hill Hydroelectric
Project, to be located on the Clear Fork of Mohican River, in Ashland
County, Ohio.
    The proposed Pleasant Hill Hydroelectric Project would be located
at: (1) The existing U.S. Army Corps of Engineers 775-foot-long, 113-
foot-high Pleasant Hill Dam; and (2) an existing 2,600-acre reservoir
with a normal water surface elevation of 1,020 feet mean sea level.
    The proposed project would consist of: (1) A new powerhouse
containing a single turbine generating unit with an installed capacity
of 1.5 megawatts; (2) a new 200-foot-long, 60-inch-diameter penstock;
(3) a new switchyard; (4) a new 1-mile-long, 25-kilovolt transmission
line; and (5) appurtenant facilities. The Pleasant Hill Project would
have an estimated average annual generation of 5.4 gigawatt-hours,
which would be sold to a local utility.
    Applicant Contact: Mr. Anthony J. Marra Jr., President, Hydro
Energy Technologies, LLC, 31300 Solon Rd. Suite 12, Solon, OH 44139,
(440) 498-1000.
    FERC Contact: John Ramer,<PHONE_NUMBER>.
    Deadline for filing comments, motions to intervene, competing
applications (without notices of intent), or notices of intent to file
competing applications: 60 days from the issuance of this notice.
Comments, motions to intervene, notices of intent, and competing
applications may be filed electronically via the Internet. See 18 CFR
385.2001(a)(1)(iii) and the instructions on the Commission's Web site
under the ``e-Filing'' link. If unable to be filed electronically,
documents may be paper-filed. To paper-file, an original and eight
copies should be mailed to: Kimberly D. Bose, Secretary, Federal Energy
Regulatory Commission, 888 First Street, NE., Washington, DC 20426. For
more information on how to submit these types of filings please go to
the Commission's Web site located at http://

www.ferc.gov/filing-comments.asp. More information about this project
can be viewed or printed on the ``eLibrary'' link of Commission's Web
site at http://www.ferc.gov/docs-filing/elibrary.asp. Enter the docket
number (P-13463) in the docket number field to access the document. For
assistance, call toll-free 1-866-208-3372.

Kimberly D. Bose,
Secretary.
 [FR Doc. E9-11792 Filed 5-20-09; 8:45 am]

BILLING CODE 6717-01-P