PAPERWORK REDUCTION ACT SUBMISSION Please read the instructions before completing this form. For additional forms or assistance in completing this form, contact your agency s Paperwork Clearance Officer. Send two copies of this form, the collection instrument to be reviewed, the Supporting Statement, and any additional documentation to: Office of Information and Regulatory Affairs, Office of Management and Budget, Docket Library, Room 10102, 725 17th Street NW Washington, DC 20503.

1. Agency/ Subagency originating request 2. OMB control number b. X None EPA, Office of Air and Radiation, OAQPS a.   3. Type of information collection ( check one) 4. Type of review requested ( check one)

a. x New collection a. x Regular b. Revision of a currently approved collection b. Emergency  Approval requested by: / /

c. Extension of a currently approved collection c. Delegated d. Reinstatement, without change, of a previously 5. Small entities approved collection for which approval has expired Will this information collection have a significant economic impact on a e. Reinstatement, with change, of a previously substantial number of small entities? Yes x No approved collection for which approval has expired f. Existing collection in use without OMB control 6. Requested expiration date number a. x Three years from approval date For b   f, note Item A2 of Supporting Statement Instructions b. Other Specify: /

7. Title NESHAP: Site Remdiation ( Final Rule)

8. Agency form number( s) ( if applicable)

EPA ICR No. 2062.02 9. Keywords Environmental protection, Air pollution control, Hazardous substances, Reporting and recordkeeping requirements, Site remediation 10. Abstract Owners and operators performing certain types of site remediations would comply with the recordkeeping and reporting requirements of the NESHAP ( 40 CFR Part 63, Subpart A) and maintain records of specific information needed by EPA to determine if compliance has been achieved.

11. Affected public 12. Obligation to respond ( Mark primary with   P  and all others that apply with   X ) ( Mark primary with   P  and all others that apply with   X )

a. Individuals or households d. Farms a. Voluntary b. P Business or other for profit e. X Federal Government b. Required to obtain or retain benefits c. Not for profit institutions f. X State, Local or Tribal c. P Mandatory Government 13. Annual reporting and recordkeeping hour burden 14. Annual reporting and recordkeeping cost burden ( in thousands of dollars)

a. Number of respondents 286 a. Total annualized capital/ startup costs $ 1,239 b. Total annual responses 2,288 b. Total annual costs ( O& M) $ 1,283 1. Percentage of these responses c. Total annualized cost requested $ 2,522 collected electronically 0 % d. Current OMB inventory $ 0 c. Total annual hours requested 341,737 e. Difference $ 2,522 d. Current OMB inventory 0 f. Explanation of difference e. Difference 341,737 1. Program change $ 2,522 f. Explanation of difference 2. Adjustment 1. Program change 341,737 2. Adjustment 15. Purpose of information collection 16. Frequency of recordkeeping or reporting ( check all that apply)

( Mark primary with   P  and all others that apply with   X ) a. X Recordkeeping b. Third party disclosure a. Application for benefits e. Program planning or c. X Reporting b. Program evaluation management 1. X On occasion 2. Weekly c. General purpose statistics f. Research 3. X Monthly 4. Quarterly d. Audit g. P Regulatory or 5. X Semi annually 6. Annually compliance 7. Biennially 8. X Other ( describe) Notification 17. Statistical methods 18. Agency contact ( person who can best answer questions regarding the Does this information collection employ statistical methods? content of this submission)

Yes X No Name: Greg Nizich, EPA/ OAR/ OAQPS/ ESD Phone: 919 541 3078 OMB 83 I 10/ 95 19. Certification for Paperwork Reduction Act Submissions On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9.

NOTE: The text of 5 CFR 1320.9, and the related provisions of 5 CFR 1320.8( b)( 3), appear at the end of the instructions. The certification is to be made with reference to those regulatory provisions as set forth in the instructions.

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers: ( a) It is necessary for the proper performance of agency functions; ( b) It avoids unnecessary duplication; ( c) It reduces burden on small entities; ( d) It uses plain, coherent, and unambiguous terminology that is understandable to respondents; ( e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices; ( f) It indicates the retention periods for recordkeeping requirements; ( g) It informs respondents of the information called for under 5 CFR 1320.8( b)( 3): ( i) Why the information is being collected; ( ii) Use of information; ( iii) Burden estimate; ( iv) Nature of response ( voluntary, required for a benefit, or mandatory); ( v) Nature and extent of confidentiality; and ( vi) Need to display currently valid OMB control number; ( h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected ( see note in Item 19 of the instructions); ( i) It uses effective and efficient statistical survey methodology; and ( j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item below and explain the reason in Item 18 of the Supporting Statement.

Signature of Program Office Official Date Signature of Senior Official or designee Date Oscar Morales, Director Collection Strategies Division Office of Environmental Information OMB 83 I 10/ 95 2 6 25 03


[Federal Register Volume 80, Number 207 (Tuesday, October 27, 2015)]
[Notices]
[Pages 65830-65832]
[FR Doc No: 2015-27224]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-76214; File No. SR-ISEGemini-2015-21]

Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Amend the
Schedule of Fees

October 21, 2015.
    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 October 7, 2015, ISE Gemini, LLC (the ``Exchange'' or ``ISE
Gemini'') 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 self-regulatory
organization. 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

    ISE Gemini proposes to amend the Schedule of Fees to adjust the
maker rebates provided to Non-ISE Gemini Market Maker, Firm
Proprietary/Broker-Dealer, and Professional Customer orders by adopting
a new Performance Routing Program as described in more detail below.
The text of the proposed rule change is available on the Exchange's
Internet Web site at http://www.ise.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 self-regulatory organization 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
    Currently, the Exchange provides maker rebates to Firm Proprietary
\3\/Broker-Dealer \4\ and Professional Customer \5\ orders in four
tiers based on the member's maker average daily volume (``ADV'') in
Firm Proprietary/Broker-Dealer and Professional Customer orders.
Members must execute an ADV of 9,999 contracts or fewer for Tier 1,
from 10,000-24,999 contracts for Tier 2, from 25,000-39,999 contracts
for Tier 3, and 40,000 or more contracts for Tier 4. Based on the tier
achieved, Firm Proprietary/Broker-Dealer and Professional Customer
orders in Penny Symbols \6\ are entitled to a maker rebate of $0.25 per
contract for Tier 1, $0.30 per contract for Tier 2, $0.35 per contract
for Tier 3, and $0.40 per contract for Tier 4. In Non-Penny Symbols,\7\
this maker rebate is $0.35 per contract for Tier 1, $0.45 per contract
for Tier 2, $0.55 per contract for Tier 3, and $0.65 per contract for
Tier 4. In order to attract additional order flow, Exchange proposes to
eliminate the current tiers, and replace them with a new Performance
Routing Program (``PRP'') that the Exchange believes will be more
attractive to members.
---------------------------------------------------------------------------

    \3\ A ``Firm Proprietary'' order is an order submitted by a
member for its own proprietary account.
    \4\ A ``Broker-Dealer'' order is an order submitted by a member
for a broker-dealer account that is not its own proprietary account.
    \5\ A ``Professional Customer'' is a person or entity that is
not a broker/dealer and is not a Priority Customer.
    \6\ ``Penny Symbols'' are options overlying all symbols listed
on ISE Gemini that are in the Penny Pilot Program.
    \7\ ``Non-Penny Symbols'' are options overlying all symbols
excluding Penny Symbols.
---------------------------------------------------------------------------

    The proposed rebates under the PRP will be based on each member's
maker ADV in Non-ISE Gemini Market Maker,\8\ Firm Proprietary/Broker-
Dealer and Professional Customer orders that improve the national best
bid or offer (``NBBO'') in a series at the time of order entry (``PRP
eligible contracts''). As proposed, members that execute an ADV of
9,999 PRP eligible contracts or fewer will be entitled to a maker
rebate of $0.25 per contract in both Penny Symbols and Non-Penny
Symbols for their Non-ISE Gemini Market Maker, Firm Proprietary/Broker-
Dealer and Professional Customer orders. Members that execute an ADV of
10,000 or more PRP eligible contracts will be entitled to a maker
rebate of $0.47 per contract in Penny Symbols and $0.71 per contract in
Non-Penny Symbols for the above market participant types if the order
improves the NBBO in the series at the time it is entered.\9\ As an
additional incentive, members that qualify for the higher tier of PRP
rebates by executing an ADV of 10,000 or more PRP eligible contracts
will also be entitled to a maker rebate of $0.40 per contract in Penny
Symbols and $0.65 per contract in Non-Penny Symbols for their Non-ISE
Gemini Market Maker, Firm Proprietary/Broker-Dealer, and Professional
Customer orders that do not improve the NBBO at the time of order
entry.
---------------------------------------------------------------------------

    \8\ A ``Non-ISE Gemini Market Maker'' is a market maker as
defined in Section 3(a)(38) of the Securities Exchange Act of 1934,
as amended, registered in the same options class on another options
exchange. Non-ISE Gemini Market Makers currently earn a flat maker
rebate of $0.25 per contract for all tiers in Penny and Non-Penny
Symbols. The PRP introduces tiered maker rebates for Non-ISE Gemini
Market Makers for the first time.
    \9\ As is the case today, all eligible volume from affiliated
members will be aggregated in determining applicable tiers, provided
there is at least 75% common ownership between the members as
reflected on each member's Form BD, Schedule A. Members that achieve
the higher tier threshold will be eligible for the enhanced rebates
for all eligible orders executed during the month.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with the provisions of Section 6 of the Act,\10\ in general, and
Section 6(b)(4) of the Act,\11\ in particular, in that it is designed
to provide for the equitable allocation of reasonable dues, fees, and
other charges among its members and other persons using its facilities.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78f.
    \11\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

    The Exchange believes that it is reasonable and equitable to
eliminate the current standalone tiers for Firm Proprietary/Broker-
Dealer and Professional Customer orders as this rebate program being
replaced with a new rebate program that is designed to be more
attractive to members. The PRP is similar to a program offered on the
BATS Options Exchange (``BATS''),\12\ and will benefit the members that
qualify for enhanced rebates as well as other members that can trade in
a tighter and more liquid market. With the proposed changes, Non-ISE
Gemini Market Maker, Firm Proprietary/Broker-Dealer, and Professional
Customer orders in the lowest tier will be entitled to a maker rebate
in Penny and Non-Penny Symbols that is the same as the rebate currently
provided as a ``Tier 1'' rebate for Firm Proprietary/Broker-Dealer and
Professional Customer orders in Penny Symbols as well as the flat
rebate provided to Non-ISE Gemini Market Maker orders in both Penny and
Non-Penny Symbols. Members that execute a larger volume of PRP eligible
contracts will receive higher rebates that compare favorably to the
rebates provided on the Exchange today. In particular, the proposed
maker rebates for non-NBBO setting orders in Penny and Non-Penny
Symbols executed by members that meet the volume requirements for the
higher PRP tier are equivalent to the rebates provided today based on
the highest volume tier of Firm Proprietary/Broker-Dealer and
Professional Customer orders, and significantly higher than the current
flat maker rebate for Non-ISE Gemini Market Maker orders.\13\ For
orders executed by these members that improve the NBBO, the proposed
maker rebate is higher than anything offered on the Exchange today for
these market participants. The Exchange believes that introducing a PRP
rebate program will encourage members to enter orders that improve the
NBBO, which will create more trading opportunities at better prices for
all market participants that trade on the Exchange.
---------------------------------------------------------------------------

    \12\ See BATS Fee Schedule, NBBO Setter Tiers.
    \13\ The Exchange notes that members that achieve the PRP volume
threshold will be entitled to enhanced rebates on all orders, not
just orders that improve the NBBO. The Exchange believes that it is
reasonable and equitable to provide enhanced rebates on all orders
as this creates an added incentive for members to qualify for PRP.
However, the Exchange believes that it is important to offer the
highest level of rebate specifically to those orders that improve
the NBBO.
---------------------------------------------------------------------------

    The Exchange further believes that the proposed fee change is not
unfairly discriminatory as it provides equal rebates to Non-ISE Gemini
Market Maker, Firm Proprietary/Broker-Dealer, and Professional Customer
orders. The Exchange notes that, with the proposed fee change, Non-ISE
Gemini Market Makers will now be entitled to tiered rebates similar to
other market participants. Priority Customer \14\ and Market Maker \15\
rebates, which have been successful in attracting that order flow to
the Exchange, will remain at current levels. The Exchange does not
believe that it is unfairly discriminatory to provide higher rebates to
Priority Customer orders. As has historically been the case, Priority
Customer orders remain entitled to more favorable fees and rebates than
other market participants in order to encourage this order flow. A
Priority Customer is by

definition not a broker or dealer in securities, and does not place
more than 390 orders in listed options per day on average during a
calendar month for its own beneficial account(s). This limitation does
not apply to participants whose behavior is substantially similar to
that of market professionals, including Professional Customers, who
will generally submit a higher number of orders (many of which do not
result in executions) than Priority Customers. Similarly, while Market
Maker orders may receive higher or lower rebates depending on the tier
achieved, the Exchange does not believe that this is unfairly
discriminatory as it reflects the different mix of benefits and
obligations applicable to Market Makers that trade on the Exchange.
Market Makers currently receive tiered rebates based on their volume
executed on the Exchange, without the additional requirement that those
orders improve the NBBO. As such, the Exchange believes that it is not
unfairly discriminatory to provide potentially higher rebates to other
market participants that have demonstrated a high level of commitment
to the Exchange by entering orders that improve the NBBO.
---------------------------------------------------------------------------

    \14\ A ``Priority Customer'' is a person or entity that is not a
broker/dealer in securities, and does not place more than 390 orders
in listed options per day on average during a calendar month for its
own beneficial account(s), as defined in Rule 100(a)(37A).
    \15\ The term Market Maker refers to ``Competitive Market
Makers'' and ``Primary Market Makers'' collectively. See Rule
100(a)(25).
---------------------------------------------------------------------------

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

    In accordance with Section 6(b)(8) of the Act,\16\ the Exchange
does not believe that the proposed rule change will impose any burden
on intermarket or intramarket competition that is not necessary or
appropriate in furtherance of the purposes of the Act. The proposed fee
change is designed to provide more attractive rebates to ISE Gemini
members, and will compete with rebate programs offered by competitor
exchanges such as BATS. The Exchange operates in a highly competitive
market in which market participants can readily direct their order flow
to competing venues. In such an environment, the Exchange must
continually review, and consider adjusting, its fees and rebates to
remain competitive with other exchanges. For the reasons described
above, the Exchange believes that the proposed fee changes reflect this
competitive environment.
---------------------------------------------------------------------------

    \16\ 15 U.S.C. 78f(b)(8).
---------------------------------------------------------------------------

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

    The Exchange has not solicited, and does not intend to solicit,
comments on this proposed rule change. The Exchange has not received
any unsolicited written comments from members or other interested
parties.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A)(ii) of the Act,\17\ and subparagraph (f)(2) of Rule 19b-4
thereunder,\18\ because it establishes a due, fee, or other charge
imposed by ISE Gemini.
---------------------------------------------------------------------------

    \17\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \18\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-ISEGemini-2015-21 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-ISEGemini-2015-21. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549 on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such filing also will be available
for inspection and copying at the principal office of 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-ISEGemini-2015-21, and
should be submitted on or before November 17, 2015.

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

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

Brent J. Fields,
Secretary.
[FR Doc. 2015-27224 Filed 10-26-15; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: May 8, 2009 (Volume 74, Number 88)]
[Notices]
[Page 21730-21732]
[DOCID:fr08my09-114]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-59854; File No. SR-NYSEArca-2009-29]

Self-Regulatory Organizations; Notice of Filing and Immediate
Effectiveness of Proposed Rule Change by NYSE Arca, Inc. That Suspends
NYSE Arca's Stock Price Continued Listing Standard

May 1, 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 April 17, 2009, NYSE Arca, Inc. (``NYSE Arca'' or the
``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, through its wholly-owned subsidiary NYSE Arca
Equities, Inc. (``NYSE Arca Equities''), proposes to amend its rules
governing NYSE Arca, LLC (also referred to as the ``NYSE Arca
Marketplace'') by suspending through June 30, 2009, the application of
its price criteria for capital and common stock set forth in NYSE Arca
Equities Rule 5.5(b)(2).The text of the proposed rule change is
available at the Exchange, the Commission's Public Reference Room, and
http://www.nyse.com.

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 self-regulatory organization
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 those 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
    In recent months, the U.S. and global equities markets have
experienced extreme volatility and a precipitous decline in trading
prices of many securities. In response to these unusual market
conditions, the NYSE and NASDAQ have suspended the application of their
respective dollar price continued listing requirements.\3\ NYSE Arca
proposes to suspend through June 30, 2009, its own dollar price
requirement as set forth in NYSE Arca Equities Rule 5.5(b)(2). This
proposed suspension will provide temporary relief to companies in
response to the extreme volatility and a precipitous decline in trading
prices of many securities experienced in the U.S. and global equities
markets, which the Commission had acknowledged constituted a threat to
the fair and orderly functioning of the securities markets and could
lead to a crisis of confidence among investors regarding the viability
of companies whose stock prices have declined significantly.\4\
---------------------------------------------------------------------------

    \3\ See Securities Exchange Act Release No. 59510 (March 4,
2009), 74 FR 10636 (March 11, 2009) (SR-NYSE-2009-21), which
suspends the NYSE's dollar price continued listing requirement set
forth in Section 802.01C of the Listed Company Manual through [sic]
June 30, 2009 (the ``NYSE Amendment''). See Securities Exchange Act
Release 58809 (October 17, 2008), 73 FR 63222 (October 23, 2008)
(SR-NASDAQ-2008-082) for the suspension of NASDAQ's bid price and
market value of publicly held shares through January 16, 2009 (the
``NASDAQ Amendment''). See, also, Securities Exchange Act Release
59219 (January 8, 2009), 74 FR 2640 (January 15, 2009), extending
the application of the NASDAQ Amendment to April 19, 2009. See,
also, SR-NASDAQ-2009-026 (filed March 18, 2009), proposing to
further extend the application of the NASDAQ Amendment through July
19, 2009. NASDAQ's continued listing requirements relating to bid
price are set forth in NASAQ Marketplace Rules 4310(c)(4),
4320(e)(2)(E)(ii), 4450(a)(5), 4450(b)(4), and 4450(h)(3) and the
related compliance periods are set forth in NASDAQ Marketplace Rules
4310(c)(8)(D), 4320(e)(2)(E)(ii), and 4450(e)(2). NASDAQ's continued
listing requirements relating to market value of publicly held
shares are set forth in NASDAQ Marketplace Rules 4310(c)(7),
4320(e)(5), 450(a)(2), 4450(b)(3) and 4450(h)(2) and the related
compliance periods are set forth in Rules 4310(c)(8)(B) and
4450(e)(1).
    \4\ See, e.g., Securities Exchange Act Release No. 58588
(September 18, 2008), 73 FR 55174 (September 24, 2008) (``The
Commission is aware of the continued potential of sudden and
excessive fluctuations of securities prices and disruption in the
functioning of the securities markets that could threaten fair and
orderly markets. Given the importance of confidence in our financial
markets as a whole, we have also become concerned about sudden and
unexplained declines in the prices of securities. Such price
declines can give rise to questions about the underlying financial
condition of an issuer, which in turn can create a crisis of
confidence without a fundamental underlying basis. This crisis of
confidence can impair the liquidity and ultimate viability of an
issuer, with potentially broad market consequences.'').
---------------------------------------------------------------------------

    Under the proposed suspension of the Exchange's stock price
continued listing standard, companies will not be notified of new
events of noncompliance with the price requirement during the
suspension period. Companies that are in a compliance period at the
time of commencement of the suspension \5\ will still be deemed to have
regained compliance during the rule suspension period if, at the
expiration of their respective six-month cure periods

established prior to the commencement of the rule suspension, they have
a $1.00 closing share price on the last trading day of the period and a
$1.00 average share price based on the preceding 30 trading days. In
addition, any company that is in a compliance period at the time of
commencement of the rule suspension can return to compliance during the
suspension if at the end of any calendar month during the suspension
such company has a $1.00 closing share price on the last trading day of
such month and a $1.00 average share price based on the 30 trading days
preceding the end of such month.\6\ Any company that is in a compliance
period at the time of commencement of the rule suspension that does not
regain compliance during the suspension period will recommence its
compliance period upon reinstitution of the stock price continued
listing standard and receive the remaining balance of its compliance
period.\7\ Following the temporary rule suspension, any new events of
noncompliance with the Exchange's stock price continued listing
standard would be determined based on a consecutive 30 trading-day
period commencing on July 1, 2009.
---------------------------------------------------------------------------

    \5\ The Exchange notes that there is currently one company in a
compliance period for noncompliance with the dollar price
requirement and there are not currently any companies in the
Exchange's delisting appeal process that have been sent a delisting
notification for noncompliance with the dollar price continued
listing requirement. The Exchange also notes that it would continue
to identify companies in a compliance period as below compliance for
price, including by continuing to append an indicator to the
company's stock ticker to identify it as being below compliance for
price and including the company on a list of companies that are
below compliance for price posted to the Exchange's Web site, unless
the company regains compliance during the suspension. A company
would continue to be subject to delisting for failure to comply with
other listing requirements.
    \6\ A company would continue to be subject to delisting for
failure to comply with other listing requirements.
    \7\ For example, if a company is four months into its compliance
period for noncompliance with the price continued listing standard
when the suspension starts and the company does not regain
compliance during the suspension, the company would have an
additional two months starting on July 1, 2009, to regain
compliance.
---------------------------------------------------------------------------

    The proposed suspension of the Exchange's price continued listing
requirement will enable companies to remain listed in the current
difficult market conditions with the prospect of a future recovery in
their stock prices enabling them to comply with the applicable listing
requirements upon the standards' reinstatement. During the period
between now and June 30, 2009, the Exchange will consider whether it is
appropriate to propose further revisions to its continued listing
requirements.
    The Exchange notes that this filing is based on a NYSE filing,
pursuant to which the NYSE responded to the current market conditions
by temporarily suspending its dollar price continued listing
requirements through [sic] June 30, 2009.\8\ The NYSE dollar price test
(as set forth in Section 802.01C of the Listed Company Manual) is
identical to NYSE Arca's price test set forth in NYSE Arca Equities
Rule 5.5(b)(2).
---------------------------------------------------------------------------

    \8\ The Commission notes that NYSE suspended its dollar price
continued listing requirement until June 30, 2009, not through June
30, 2009. Accordingly, as stated in NYSE's filing, following the
temporary suspension, any new events of noncompliance with the
NYSE's stock price continued listing standard will be determined
based on a consecutive 30 trading-day period commencing on June 30,
2009. See NYSE Amendment, supra note 3. In contrast, NYSE Arca's
suspension will be through June 30, 2009, and following the
temporary rule suspension, any new events of noncompliance with the
Exchange's stock price continued listing standard would be
determined based on a consecutive 30 trading-day period commencing
on July 1, 2009.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) \9\ of the Act, in general, and furthers the
objectives of Section 6(b)(5) of the Act \10\\\ in particular in that
it is designed 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.
The proposed rule change is designed to remove uncertainty regarding
the ability of certain companies to remain listed on NYSE Arca during
the current highly unusual market conditions, thereby protecting
investors, facilitating transactions in securities, and removing an
impediment to a free and open market.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78f(b).
    \10\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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 that is not necessary or appropriate
in furtherance of the purposes of the Act.

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 with respect to the
proposed rule change.

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

    Because the proposed rule change: (i) Does not significantly affect
the protection of investors or the public interest; (ii) does not
impose any significant burden on competition; and (iii) does not become
operative for 30 days after the date of the filing, or such shorter
time as the Commission may designate if consistent with the protection
of investors and the public interest, the proposed rule change has
become effective pursuant to Section 19(b)(3)(A) of the Act \11\ and
Rule 19b-4(f)(6) thereunder.\12\
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78s(b)(3)(A).
    \12\ 17 CFR 240.19b-4(f)(6). Pursuant to Rule 19b-4(f)(6)(iii)
under the Act, the Exchange is required to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and text of the proposed rule change, at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the
Act \13\ normally does not become operative for 30 days after the date
of its filing. However, Rule 19b-4(f)(6)(iii) \14\ 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.
---------------------------------------------------------------------------

    \13\ 17 CFR 240.19b-4(f)(6).
    \14\ 17 CFR 240.19b-4(f)(6)(iii).
---------------------------------------------------------------------------

    The Commission believes that waiving the 30-day operative delay is
consistent with the protection of investors and the public interest
because it will allow NYSE Arca to immediately implement a temporary
measure, through June 30, 2009, to suspend its $1.00 price continued
listing requirement to respond to recent market volatility and
conditions. The Commission notes that this will provide certain
companies with immediate relief from receiving a non-compliance or
delisting notification, or from being delisted, as a result of the
current market conditions. The Commission notes that this action is
temporary in nature, and that following the suspension, companies
currently in the compliance period will resume at the same stage and
receive the remaining balance of their compliance periods if they
remain non-compliant with these standards. This will ensure that the
temporary suspension addresses the concerns to companies and investors
caused by the current market conditions, and that may result in a
company's securities becoming non-compliant with the $1.00 price
requirement, or unable to cure such a deficiency, due to these market
conditions. The Commission also notes that the proposed rule change is
substantially similar to the recent Nasdaq and NYSE filings to suspend
their respective $1.00 price continued listing requirements, and thus,
raises no new regulatory issues.\15\ For these reasons, the Commission
designates that

the proposed rule change become operative immediately upon filing.\16\
---------------------------------------------------------------------------

    \15\ See supra note 3.
    \16\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. 15 U.S.C. 78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate the 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 e-mail to<EMAIL_ADDRESS>Please include
File Number SR-NYSEArca-2009-29 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEArca-2009-29. This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/
rules/sro.shtml ). Copies of the submission, all subsequent amendments,
all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for inspection
and copying in the Commission's Public Reference Room, on official
business days between the hours of 10 a.m. and 3 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-NYSEArca-2009-29 and should be submitted on or before
May 29, 2009.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\17\
---------------------------------------------------------------------------

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

Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-10689 Filed 5-7-09; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 81, Number 64 (Monday, April 4, 2016)]
[Notices]
[Pages 19252-19255]
[FR Doc No: 2016-07512]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-77464; File Nos. SR-BATS-2016-10, SR-BYX-2016-02, SR-
EDGX-2016-04, and SR-EDGA-2016-01]

Self-Regulatory Organizations; BATS Exchange, Inc., BATS Y-
Exchange, Inc., EDGX Exchange, Inc., EDGA Exchange, Inc.; Order
Approving Proposed Rule Changes To Amend and Restate the Certificate of
Incorporation and Bylaws of the Exchanges' Ultimate Parent Company,
BATS Global Markets, Inc.

March 29, 2016.

I. Introduction

    On February 9, 2016, BATS Exchange, Inc. (``BATS''), BATS Y-
Exchange, Inc. (``BYX''), EDGX Exchange, Inc. (``EDGX''), and EDGA
Exchange, Inc. (``EDGA'') (collectively, the ``Exchanges'' and each, an
``Exchange'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (the ``Act''),\1\ and Rule 19b-4 thereunder,\2\
proposed rule changes to amend the certificate of incorporation (the
``Current Certificate of Incorporation'') and bylaws (the ``Current
Bylaws'') of BATS Global Markets, Inc. (the ``Corporation''), the
Exchanges' ultimate parent company, in connection with the
Corporation's anticipated initial public offering of shares of its
common stock on BATS (the ``IPO''). The proposed rule changes for EDGX
and EDGA were published for comment in the Federal Register on February
22, 2016, and the proposed rule changes for BATS and BYX were published
for comment in the Federal Register on February 23, 2016.\3\ The
Commission received no comment letters regarding the proposals. This
order approves the proposed rule changes.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release Nos. 77147 (February 16,
2016), 81 FR 8767 (February 22, 2016) (SR-EDGX-2016-04) (``EDGX
Notice''); 77146 (February 16, 2016), 81 FR 8788 (February 22, 2016)
(SR-EDGA-2016-01) (``EDGA Notice''); 77155 (February 17, 2016), 81
FR 9008 (February 23, 2016) (SR-BATS-2016-10) (``BATS Notice''); and
77156 (February 17, 2016), 81 FR 9052 (February 23, 2016) (SR-BYX-
2016-02) (``BYX Notice'').
---------------------------------------------------------------------------

II. Description of the Proposal

    On December 16, 2016, the Corporation filed a registration
statement on Form S-1 with the Commission seeking to register shares of
common stock and to conduct an initial public offering of those shares,
which would be listed for trading on BATS. In connection with the IPO,
the Exchanges filed a proposed rule change to amend and restate the
Corporation's Current Certification of Incorporation and adopt those
changes as the Corporation's Amended and Restated Certificate of
Incorporation (the ``New Certificate of Incorporation'') and amend and
restate the Corporation's Current Bylaws and adopt those changes as its
Amended and Restated Bylaws (the ``New Bylaws''). The Exchanges
anticipate that the Corporation's New Certificate of Incorporation and
New Bylaws will become effective the moment before the closing of the
IPO.\4\ According to the Exchanges, the proposed changes relate to the
Corporation's governing documents only and do not relate to the
governance of the Exchanges.\5\
---------------------------------------------------------------------------

    \4\ See EDGX Notice, supra note 3, at 8767; EDGA Notice, supra
note 3, at 8788; BATS Notice, supra note 3, at 9008; and BYX Notice,
supra note 3, at 9053.
    \5\ See id.
---------------------------------------------------------------------------

A. The New Certificate of Incorporation

1. Capital Stock; Voting Rights
    The Exchanges propose to revise the Current Certificate of
Incorporation to reclassify all of the Corporation's existing stock as
either ``Voting Common Stock'' or ``Non-Voting Common Stock.'' \6\ The
Corporation expects that the outstanding Class A Non-Voting Common
Stock will convert into Voting Common Stock upon the IPO, pursuant to
the terms of the Investor Rights Agreement dated January 31, 2014,
among the Corporation and its stockholders signatory thereto.\7\ To
effect this conversion, the New Certificate of Incorporation states
that, at the time that the New Certificate of Incorporation becomes
effective, each authorized, issued, and outstanding share of Class A
Non-Voting Common Stock shall be automatically converted into one share
of Voting Common Stock.\8\ In addition, the New Certificate of
Incorporation would reclassify each authorized, issued, and outstanding
share of Class B Non-Voting Common Stock into one share of Non-Voting
Common Stock.\9\
---------------------------------------------------------------------------

    \6\ See generally proposed Article Fourth of the New Certificate
of Incorporation.
    \7\ See EDGX Notice, supra note 3, at 8768; EDGA Notice, supra
note 3, at 8789; BATS Notice, supra note 3, at 9009; and BYX Notice,
supra note 3, at 9053.
    \8\ See proposed Article Fourth(b)(i) of the New Certificate of
Incorporation.
    \9\ See proposed Article Fourth(b)(ii) of the New Certificate of
Incorporation.
---------------------------------------------------------------------------

    Except for voting rights \10\ and certain conversion features,\11\
the Exchanges propose that Non-Voting Common Stock and Voting Common
Stock would generally rank equally and have identical rights and
privileges.\12\
---------------------------------------------------------------------------

    \10\ See generally proposed Article Fourth(c) of the New
Certificate of Incorporation.
    \11\ See generally proposed Article Fourth(d) of the New
Certificate of Incorporation.
    \12\ See EDGX Notice, supra note 3, 8768; EDGA Notice, supra
note 3, at 8789; BATS Notice, supra note 3, at 9009; and BYX Notice,
supra note 3, at 9054.
---------------------------------------------------------------------------

2. Board of Directors
    The New Certificate of Incorporation would establish a
``staggered'' or classified board structure in which the Corporation's
directors would be divided into three classes of equal size, to the
extent possible.\13\ Under the proposed board structure, only one class
of directors would be elected each year, and once elected, directors
would serve a three-year term.\14\ Pursuant to the New

Certificate of Incorporation, cumulative voting in the election of
directors would be prohibited.\15\ According to the Exchanges,
cumulative voting is not appropriate for the ultimate parent company of
a national securities exchange because it would increase the likelihood
that a stockholder or group of stockholders holding a minority of
voting shares might be able to exert an outsized influence in the
election of directors of the Corporation, relative to its stockholdings
in the Corporation.\16\ As a result, the Exchanges state that
cumulative voting could undermine the limitations on concentrations of
ownership or voting included in both the Current Certificate of
Incorporation and New Certificate of Incorporation.\17\
---------------------------------------------------------------------------

    \13\ See proposed Article Sixth(c) of the New Certificate of
Incorporation.
    \14\ Id. Directors initially designated as Class I directors
would serve for a term ending on the date of the 2017 annual meeting
of stockholders, directors initially designated as Class II
directors would serve for a term ending on the date 2018 annual
meeting of stockholders, and directors initially designated as Class
III directors would serve for a term ending on the date 2019 annual
meeting of stockholders. See id.
    \15\ See proposed Article Sixth(d) of the New Certificate of
Incorporation.
    \16\ See EDGX Notice, supra note 3, at 8769; EDGA Notice, supra
note 3, at 8790; BATS Notice, supra note 3, at 9010; and BYX Notice,
supra note 3, at 9054-55.
    \17\ Id.
---------------------------------------------------------------------------

3. Transfer, Ownership, and Voting Restrictions
    According to the Exchanges, the New Certificate of Incorporation
maintains and enhances the limitations on aggregate ownership and total
voting power that exist under the Current Certificate of
Incorporation.\18\ The New Certificate of Incorporation would add that,
for purposes of any redemptions of shares purportedly transferred in
violation of Article Fifth of the New Certificate of Incorporation,
which sets forth the limitations on transfer, ownership and voting,
fair market value would be determined as the volume-weighted average
price per share of the common stock during the five business days
immediately preceding the redemption.\19\ The Exchanges state that
specifying the manner by which fair market value would be determined
would enhance this remedy and provide clarity in the event that it is
necessary to enforce this redemption provision.\20\
---------------------------------------------------------------------------

    \18\ The New Certificate of Incorporation would maintain the
Current Certificate of Incorporation's provisions that impose a 40%
ownership limit on the amount of capital stock of the Corporation
that any person, either alone or together with its related persons,
may own, directly or indirectly, of record or beneficially; impose a
20% ownership limit on the amount of capital stock of the
Corporation that any member of the Exchange, either alone, or
together with its related persons, may own directly or indirectly,
of record or beneficially; and prohibit any person, either alone or
together with its related persons, from having or exercising more
than 20% of the voting power of the capital stock of the
Corporation. See proposed Article Fifth(b)(i) of the New Certificate
of Incorporation.
    \19\ See proposed Article Fifth(e) of the New Certificate of
Incorporation.
    \20\ See EDGX Notice, supra note 3, at 8769; EDGA Notice, supra
note 3, at 8790; BATS Notice, supra note 3, at 9010; and BYX Notice,
supra note 3, at 9055.
---------------------------------------------------------------------------

4. No Action by Written Consent
    The New Certificate of Incorporation would provide that any action
required or permitted to be taken at an annual or special meeting of
stockholders may be taken only upon the vote of stockholders at an
annual or special meeting and may not be taken by written consent of
stockholders without a meeting.\21\
---------------------------------------------------------------------------

    \21\ See proposed Article Tenth(c) of the New Certificate of
Incorporation.
---------------------------------------------------------------------------

5. Future Amendments to the Certificate of Incorporation
    The New Certificate of Incorporation would require that certain
provisions of the New Certificate of Incorporation may not be repealed
or amended in any respect, and no other provision may be adopted,
amended or repealed which would have the effect of modifying or
permitting the circumvention of such provisions, unless such action is
approved by the affirmative vote of at least 66\2/3\% of the total
voting power of the Corporation's outstanding securities entitled to
vote generally in the election of directors, voting together as a
single class.\22\ The relevant provisions include Article Fourth(c) and
(d), relating to voting rights and conversion of Non-Voting Common
Stock, and Articles Fifth through Fourteenth, relating to limitations
on transfer, ownership and voting, board of directors, duration of the
Corporation, adopting, amending or repealing bylaws, indemnification
and limitation of director liability, meetings of stockholders, forum
selection, compromise or other arrangement, Section 203 opt-in, and
amendments to the certificate of incorporation, respectively.
---------------------------------------------------------------------------

    \22\ See proposed Article Fourteenth(a) of the New Certificate
of Incorporation.
---------------------------------------------------------------------------

    According to the Exchanges, the purpose of this supermajority
requirement, which they believe is common among public companies, is to
deter actions being taken that the Corporation believes may be
detrimental to the Corporation, including any actions that could
detrimentally affect its ability to comply with its unique
responsibilities under the Act as the ultimate parent of four
registered national securities exchanges.\23\ The Exchanges further
state that the reason the supermajority voting requirement is
applicable only to certain specified provisions of the New Certificate
of Incorporation is to focus such requirement on the most critical
provisions of the New Certificate of Incorporation.\24\
---------------------------------------------------------------------------

    \23\ See EDGX Notice, supra note 3, at 8769; EDGA Notice, supra
note 3, at 8790; BATS Notice, supra note 3, at 9010; and BYX Notice,
supra note 3, at 9055.
    \24\ See EDGX Notice, supra note 3, at 8769; EDGA Notice, supra
note 3, at 8790; BATS Notice, supra note 3, at 9010-11; and BYX
Notice, supra note 3, at 9055.
---------------------------------------------------------------------------

6. Other Amendments
    According to the Exchanges, the proposal would also amend and
restate various other provisions of the Current Certificate of
Incorporation in a manner that the Exchanges believe are intended to
reflect provisions that are more customary for publicly-owned companies
organized under Delaware Law, such as those relating to the
Corporation's preferred stock,\25\ forum selection,\26\ and Section 203
opt-in,\27\ among others.\28\ The New Certificate of Incorporation also
removes various references to the Investor Rights Agreement, as the
provisions of that agreement, other than certain registration rights,
are expected to terminate upon the occurrence of the IPO.\29\ Finally,
the exchanges propose various non-substantive, stylistic or technical
changes throughout the New Certificate of Incorporation. For example,
the New Certificate of Incorporation would amend the name of the
Corporation from ``BATS Global Markets, Inc.'' to ``Bats Global
Markets, Inc.'' \30\
---------------------------------------------------------------------------

    \25\ See proposed Article Fourth (a)(ii) of the New Certificate
of Incorporation.
    \26\ See proposed Article Eleventh of the New Certificate of
Incorporation.
    \27\ See proposed Article Thirteenth of the New Certificate of
Incorporation.
    \28\ See EDGX Notice, supra note 3, at 8770; EDGA Notice, supra
note 3, at 8791; BATS Notice, supra note 3, at 9011; and BYX Notice,
supra note 3, at 9055-56.
    \29\ See EDGX Notice, supra note 3, at 8770; EDGA Notice, supra
note 3, at 8791; BATS Notice, supra note 3, at 9011; and BYX Notice,
supra note 3, at 9056.
    \30\ See id.
---------------------------------------------------------------------------

B. The New Bylaws

1. Annual Meeting of Stockholders
    The Exchanges propose to revise the Current Bylaws to require
stockholders to make certain disclosures and representations in notices
to the Corporation concerning business proposals and director
nominations at annual meetings, and to comply with longer advanced
notice requirements.\31\

In addition, the New Bylaws would require that all proposals and
nominations comply with applicable requirements of the Act.\32\ The
Exchanges represent that the purpose of the disclosure and
representation requirements is to assure that stockholders asked to
vote on stockholder proposals or nominations are more fully informed
and are able to consider any proposals or nominations along with the
interests of those stockholders or the beneficial owners on whose
behalf such proposal or nomination is being made.\33\
---------------------------------------------------------------------------

    \31\ See generally proposed Section 2.02 of the New Bylaws. The
New Bylaws would also state that such notice requirements would be
satisfied if done in compliance with Exchange Act Rule 14a-8. See
proposed Section 2.02(f) of the New Bylaws. Additionally, the New
Bylaws would require stockholders to appear at any meeting to
present such proposals or nominations. See proposed Section 2.02(d)
of the New Bylaws.
    \32\ See proposed Section 2.02(e) of the New Bylaws.
    \33\ See EDGX Notice, supra note 3, at 8771; EDGA Notice, supra
note 3, at 8792; BATS Notice, supra note 3, at 9012; and BYX Notice,
supra note 3, at 9057.
---------------------------------------------------------------------------

2. Special Meetings of Stockholders
    The New Bylaws would only permit a special meeting of the
stockholders to be called by the board of directors pursuant to a
resolution adopted by the majority of the board.\34\ According to the
Exchanges, this amendment is designed to prevent any stockholder from
exercising undue control over the operation of an Exchange by
circumventing the board of directors of the Corporation through a
special meeting of the stockholders.\35\
---------------------------------------------------------------------------

    \34\ See proposed Section 2.03 of the New Bylaws.
    \35\ See EDGX Notice, 81 FR at 8771; EDGA Notice, 81 FR at 8792;
BATS Notice, 81 FR at 9012; and BYX Notice, 81 FR at 9057.
---------------------------------------------------------------------------

3. Adjournment of Meetings
    The New Bylaws would also provide that only the chairman of the
meeting or the board of directors would be permitted to adjourn a
stockholder meeting.\36\ According to the Exchanges, such a requirement
is common among publicly-held companies.\37\ Furthermore, the Exchanges
believe that this amendment would provide the Corporation with
flexibility to postpone a stockholder vote if it determines it is
necessary and would prevent stockholders from adjourning a meeting if
the board of directors and chairman desire to continue with the
meeting.\38\
---------------------------------------------------------------------------

    \36\ See proposed Section 2.06 of the New Bylaws.
    \37\ See EDGX Notice, supra note 3, at 8772; EDGA Notice, supra
note 3, at 8793; BATS Notice, supra note 3, at 9013; and BYX Notice,
supra note 3, at 9057.
    \38\ See id.
---------------------------------------------------------------------------

4. No Action by Written Consent
    The Exchanges propose that no action may be taken by written
consent of the stockholders without a meeting, subject to the rights of
any holders of Preferred Stock.\39\
---------------------------------------------------------------------------

    \39\ See proposed Section 2.10 of the New Bylaws. This revision
would be consistent with the New Certificate of Incorporation. See
proposed Article Tenth(c) of the New Certificate of Incorporation.
---------------------------------------------------------------------------

5. Number of Directors and Classified Board Structure
    Under the New Bylaws, the board of directors would consist of one
or more directors, with the exact number of directors to be determined
by resolution adopted by the majority of the board of directors.\40\ In
addition, the New Bylaws would, consistent with the New Certificate of
Incorporation, establish a classified board structure, in which the
directors would be divided into three classes of equal size, to the
extent possible.\41\
---------------------------------------------------------------------------

    \40\ See proposed Section 3.01 of the New Bylaws.
    \41\ Id.
---------------------------------------------------------------------------

6. Removal of Directors
    The Current Bylaws provide that the board of directors or any
director may be removed, with or without cause, by the affirmative vote
of at least 66\2/3\ percent of the voting power of all then-outstanding
shares of voting stock of the Corporation.\42\ The New Bylaws would
provide that directors may only be removed for cause with the
affirmative vote of a simple majority of the holders of voting power of
all then-outstanding securities of the Corporation generally entitled
to vote in the election of directors, voting together as a single
class.\43\
---------------------------------------------------------------------------

    \42\ See Section 3.05 of the Current Bylaws.
    \43\ See proposed Section 3.05 of the New Bylaws.
---------------------------------------------------------------------------

    The Exchanges state that the purpose of this amendment is to align
the Corporation's requirements for removal of directors with Delaware
Law, which generally provides that, in the case of a corporation with a
classified board, a simple majority of stockholders may remove any
director, but only for cause, unless the certificate of incorporation
provides otherwise.\44\
---------------------------------------------------------------------------

    \44\ See EDGX Notice, supra note 3, at 8772; EDGA Notice, supra
note 3, at 8793; BATS Notice, supra note 3, at 9013-14; and BYX
Notice, supra note 3, at 9058.
---------------------------------------------------------------------------

7. Future Bylaws Amendments
    The New Bylaws would provide that the bylaws may be altered,
adopted, amended or repealed either by a majority of the board of
directors, or by the stockholders with the affirmative vote of not less
than 66\2/3\ percent of the total voting power then entitled to vote at
a meeting of stockholders voting as a single class.\45\ The Exchanges
state that the purpose of this amendment is to be consistent with other
publicly-held companies.\46\
---------------------------------------------------------------------------

    \45\ See proposed Article XI of the New Bylaws.
    \46\ See EDGX Notice, supra note 3, at 8773-74; EDGA Notice,
supra note 3, at 8794-95; BATS Notice, supra note 3, at 9014-15; and
BYX Notice, supra note 3, at 9059-60.
---------------------------------------------------------------------------

    In addition to the board of directors and stockholder approval
requirements, the New Bylaws would maintain the provisions requiring
that, for so long as the Corporation will control a national securities
exchange registered with the Commission under Section 6 of the Act,
before any amendment to the New Bylaws may become effective, the
amendment must be submitted to the board of directors of such exchange,
and if required by Section 19 of the Act, filed with or filed with and
approved by the Commission.\47\
---------------------------------------------------------------------------

    \47\ See proposed Article XI of the New Bylaws.
---------------------------------------------------------------------------

8. Other Amendments
    The New Bylaws make various non-substantive, stylistic or technical
changes throughout. For example, the New Bylaws remove references to
the Investor Rights Agreement, as the provisions of that agreement,
other than certain registration rights, is expected to terminate upon
the occurrence of the IPO.\48\ The proposal would also amend and
restate various other provisions such as those relating to the
registered office of the Corporation,\49\ quorum and vote
requirements,\50\ voting rights,\51\ organization,\52\ vacancies and
resignation of directors,\53\ board committees,\54\ preferred stock
directors,\55\ officers of the Corporation,\56\ form of stock
certificates,\57\ transfers of stock,\58\ fixing of record dates,\59\
indemnification,\60\ notices,\61\ among others.
---------------------------------------------------------------------------

    \48\ See EDGX Notice, supra note 3, at 8774; EDGA Notice, supra
note 3, at 8795; BATS Notice, supra note 3, at 9015; and BYX Notice,
supra note 3, at 9060.
    \49\ See proposed Section 1.01 of the New Bylaws.
    \50\ See proposed Section 2.05 of the New Bylaws.
    \51\ See proposed Section 2.07 of the New Bylaws.
    \52\ See proposed Section 2.11 of the New Bylaws.
    \53\ See proposed Sections 3.03 and 3.04 of the New Bylaws.
    \54\ See proposed Section 3.10 of the New Bylaws.
    \55\ See proposed Section 3.12 of the New Bylaws.
    \56\ See proposed Section 4.01 of the New Bylaws.
    \57\ See proposed Section 6.01 of the New Bylaws.
    \58\ See proposed Section 6.03(d) of the New Bylaws.
    \59\ See proposed Section 6.04 of the New Bylaws.
    \60\ See Article X of the Current Bylaws.
    \61\ See proposed Article X of the New Bylaws.
---------------------------------------------------------------------------

III. Discussion

    After careful review of the proposal, the Commission finds that the
proposed rule changes are consistent with the requirements of the Act
and the rules and regulations thereunder applicable to

a national securities exchange.\62\ In particular, the Commission finds
that the proposals are consistent with Section 6(b)(1) of the Act,\63\
which require a national securities exchange to be so organized and
have the capacity to carry out the purposes of the Act and to enforce
compliance by its members and persons associated with the provisions of
the Act.
---------------------------------------------------------------------------

    \62\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
    \63\ 15 U.S.C. 78f(b)(1).
---------------------------------------------------------------------------

    The Commission notes that the Exchanges have represented that the
proposed rule changes relate solely to the certificate of the
incorporation and bylaws of the Corporation and that each Exchange will
continue to be governed by its respective existing certificate of
incorporation and bylaws.\64\ BATS and BYX have represented that BATS
Global Markets Holdings, Inc., an intermediate holding company wholly-
owned by the Corporation will continue to directly and solely hold the
stock in, and voting power of, BATS and BYX, and BATS and BYX will
continue to operate pursuant to its existing governance structure.\65\
EDGA and EDGX have similarly represented that Direct Edge LLC, an
intermediate holding company wholly-owned by the Corporation will
continue to directly and solely hold the stock in, and voting power of,
EDGX and EDGA and, EDGX and EDGA will continue to operate pursuant to
its existing governance structure.\66\
---------------------------------------------------------------------------

    \64\ See EDGX Notice, supra note 3, at 8767; EDGA Notice, supra
note 3, at 8788; BATS Notice, supra note 3, at 9008; and BYX Notice,
supra note 3, at 9053.
    \65\ See BATS Notice, supra note 3, at 9008; and BYX Notice,
supra note 3, at 9053.
    \66\ See EDGX Notice, supra note 3, at 8767; EDGA Notice, supra
note 3, at 8788.
---------------------------------------------------------------------------

    The Commission further notes that each Exchange has represented
that the proposed rule change will maintain the existing ownership and
voting limitations in the Current Certificate of Incorporation.\67\ As
a result, the Commission believes that the proposed rule changes should
effectively maintain the ownership and voting limits currently in place
for the Corporation consistent with Section 6(b)(1) of the Exchange
Act. In addition, the Commission notes that each Exchange has
represented that it would continue to operate pursuant to its existing
governance structure.\68\ The Commission also notes that the Exchanges
do not propose any substantive changes to the provision of the
Corporation's bylaws relating to SRO functions of the Exchanges.\69\
---------------------------------------------------------------------------

    \67\ See supra note 18 (discussing the limitations of ownership
of capital stock of the Corporation to 40% for any Person and 20%
for any member and voting power of capital stock of the Corporation
to 20% for any Person).
    \68\ See EDGX Notice, supra note 3, at 8767; EDGA Notice, supra
note 3, at 8788; BATS Notice, supra note 3, at 9008; and BYX Notice,
supra note 3, at 9053.
    \69\ See proposed Article XII of the New Bylaws.
---------------------------------------------------------------------------

    The Commission, therefore, believes that the proposed rule changes
are consistent with Section 6(b)(1) of the Exchange Act, which requires
each Exchange to have the ability to be so organized as to have the
capacity to carry out the purposes of the Act and to comply, and to
enforce compliance by its members and persons associated with its
members, with provisions of the Act, the rules and regulations
thereunder, and the rules of such Exchange.\70\
---------------------------------------------------------------------------

    \70\ 15 U.S.C. 78f(b)(1).
---------------------------------------------------------------------------

III. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\71\ that the proposed rule changes (SR-BATS-2016-10, SR-BYX-2016-
02, SR-EDGX-2016-04, SR-EDGA-2016-01) be, and hereby are, approved.
---------------------------------------------------------------------------

    \71\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\72\
---------------------------------------------------------------------------

    \72\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-07512 Filed 4-1-16; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 85, Number 31 (Friday, February 14, 2020)]
[Notices]
[Pages 8598-8599]
[FR Doc No: 2020-03025]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2019-N-5608]

Wockhardt Limited, et al.; Withdrawal of Approval of 28
Abbreviated New Drug Applications

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA or Agency) is
withdrawing approval of 28 abbreviated new drug applications (ANDAs)
from multiple applicants. The applicants notified the Agency in writing
that the drug products were no longer marketed and requested that the
approval of the applications be withdrawn.

DATES: Approval is withdrawn as of March 16, 2020.

FOR FURTHER INFORMATION CONTACT: Martha Nguyen, Center for Drug
Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 75, Rm. 1676, Silver Spring, MD 20993-0002, 240-
402-6980<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The applicants listed in the table have
informed FDA that these drug products are no longer marketed and have
requested that FDA withdraw approval of the applications under the
process described in Sec.  314.150(c) (21 CFR 314.150(c)). The
applicants have also, by their requests, waived their opportunity for a
hearing. Withdrawal of approval of an application or abbreviated
application under Sec.  314.150(c) is without prejudice to refiling.

------------------------------------------------------------------------
       Application No.                Drug                Applicant
------------------------------------------------------------------------
ANDA 040732.................  Phenytoin Sodium      Wockhardt Limited, c/
                               Capsules, 100         o Morton Grove
                               milligrams (mg)       Pharmaceuticals,
                               (Extended).           Inc., 6451 Main
                                                     St., Morton Grove,
                                                     IL 60053.
ANDA 065230.................  Ceftriaxone for       Hospira, Inc., 275
                               Injection,            North Field Dr.,
                               Equivalent to (EQ)    Bldg. H1, Lake
                               250 mg base/vial;     Forest, IL 60045.
                               EQ 500 mg base/
                               vial; EQ 1 gram (g)
                               base/vial; EQ 2 g
                               base/vial.
ANDA 065231.................  Ceftriaxone for       Do.
                               Injection, EQ 1 g
                               base/vial; EQ 2 g
                               base/vial Piggy
                               Back.
ANDA 065290.................  Cefotaxime Sodium     Do.
                               for Injection, EQ
                               500 mg base/vial;
                               EQ 1 g base/vial;
                               EQ 2 g base/vial.
ANDA 065292.................  Cefotaxime Sodium     Do.
                               for Injection, EQ
                               10 g base/vial
                               Pharmacy Bulk
                               Package.
ANDA 065293.................  Cefotaxime Sodium     Do.
                               for Injection, EQ 1
                               g base/vial; EQ 2 g
                               base/vial.
ANDA 065312.................  Cefoxitin for         Do.
                               Injection, EQ 10 g
                               base/vial Pharmacy
                               Bulk Package.
ANDA 065313.................  Cefoxitin for         Do.
                               Injection, EQ 1 g
                               base/vial; EQ 2 g
                               base/vial.
ANDA 065369.................  Cefepime              Do.
                               Hydrochloride (HCl)
                               for Injection, EQ
                               500 mg base/vial;
                               EQ 1 g base/vial;
                               EQ 2 g base/vial.
ANDA 065483.................  Cefuroxime Sodium     Do.
                               for Injection, EQ
                               750 mg base/vial;
                               EQ 1.5 g base/vial.

ANDA 065484.................  Cefuroxime Sodium     Do.
                               for Injection, EQ
                               7.5 g base/vial
                               Pharmacy Bulk
                               Package.
ANDA 065503.................  Cefuroxime Sodium     Do.
                               for Injection, EQ
                               1.5 g base/vial.
ANDA 075250.................  Prednisolone Sodium   Bausch Health US,
                               Phosphate Oral        LLC, 400 Somerset
                               Solution, EQ 15 mg    Corporate Blvd.,
                               base/5 milliliters    Bridgewater, NJ
                               (mL).                 08807.
ANDA 075618.................  Acetaminophen,        Hikma
                               Butalbital,           Pharmaceuticals USA
                               Caffeine, and         Inc., 1809 Wilson
                               Codeine Phosphate     Rd., Columbus, OH
                               Capsules, 325 mg,     43228.
                               50 mg, 40 mg, and
                               30 mg.
ANDA 090375.................  Ampicillin and        Hospira, Inc.
                               Sulbactam for
                               Injection, EQ 1 g
                               base/vial and EQ
                               500 mg base/vial;
                               EQ 2 g base/vial
                               and EQ 1 g base/
                               vial.
ANDA 090646.................  Ampicillin and        Do.
                               Sulbactam for
                               Injection, EQ 10 g
                               base/vial and EQ 5
                               g base/vial.
ANDA 090653.................  Ampicillin and        Do.
                               Sulbactam for
                               Injection, EQ 1 g
                               base/vial and EQ
                               500 mg base/vial;
                               EQ 2 g base/vial
                               and EQ 1 g base/
                               vial.
ANDA 090825.................  Imipenem and          Do.
                               Cilastatin for
                               Injection, EQ 250
                               mg base/vial and
                               250 mg base/vial;
                               EQ 500 mg base/vial
                               and 500 mg/vial.
ANDA 090940.................  Meropenem for         Do.
                               Injection, 500 mg/
                               vial, and 1 g/vial.
ANDA 091007.................  Imipenem and          Do.
                               Cilastatin for
                               Injection, EQ 500
                               mg base/vial and
                               500 mg/vial.
ANDA 202268.................  Cefepime HCl for      Do.
                               Injection, EQ 1 g
                               base/vial; EQ 2 g
                               base/vial.
ANDA 202563.................  Ceftriaxone for       Do.
                               Injection, EQ 1 g
                               base/vial; EQ 2 g
                               base/vial.
ANDA 202864.................  Ampicillin Sodium     Do.
                               for Injection, EQ
                               250 mg base/vial;
                               EQ 500 mg base/
                               vial; EQ 1 g base/
                               vial; EQ 2 g base/
                               vial.
ANDA 202865.................  Ampicillin Sodium     Do.
                               for Injection, EQ
                               10 g base/vial
                               Pharmacy Bulk
                               Package.
ANDA 203132.................  Cefotaxime Sodium     Do.
                               for Injection, EQ 1
                               g base/vial; EQ 2 g
                               base/vial.
ANDA 204879.................  Pyridoxine HCl        Mylan Institutional,
                               Injection, 100 mg/    LLC, 4901 Hiawatha
                               mL.                   Dr., Rockford, IL
                                                     61103.
ANDA 206062.................  Doxorubicin HCl for   Hisun Pharmaceutical
                               Injection, USP, 20    Hangzhou Co., LTD,
                               mg/vial.              200 Crossing Blvd.,
                                                     2nd Floor,
                                                     Bridgewater, NJ
                                                     08807.
ANDA 206195.................  Daunorubicin HCl for  Do.
                               Injection, EQ 20 mg
                               base/vial.
------------------------------------------------------------------------

    Therefore, approval of the applications listed in the table, and
all amendments and supplements thereto, is hereby withdrawn as of March
16, 2020. Approval of each entire application is withdrawn, including
any strengths or products inadvertently missing from the table.
Introduction or delivery for introduction into interstate commerce of
products without approved new drug applications violates section 301(a)
and (d) of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 331(a)
and (d)). Drug products that are listed in the table that are in
inventory on March 16, 2020 may continue to be dispensed until the
inventories have been depleted or the drug products have reached their
expiration dates or otherwise become violative, whichever occurs first.

    Dated: February 11, 2020.
Lowell J. Schiller,
Principal Associate Commissioner for Policy.
[FR Doc. 2020-03025 Filed 2-13-20; 8:45 am]
 BILLING CODE 4164-01-P


	                 UNITED STATES OF AMERICA

        DEPARTMENT OF TRANSPORTATION

               OFFICE OF THE SECRETARY

                        WASHINGTON, D.C.

							Served:  August 4, 2003

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

In the Matter of

Application for Approval of Agreement by the

International Air Transport Association

Docket OST-2003-14480

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

NOTICE

On February 7, 2003, the International Air Transport Association (IATA)
filed an agreement in the above-captioned docket for approval.  On
February 26, 2003, in response to a request from the High-Tech Air
Freight Shippers Coalition (the Coalition) for a 90-day extension of the
normal 21-day comment period, we extended the comment period to May 29,
2003.  Numerous comments were received on the record by May 29.

On June 9, 2003, IATA submitted a request for approximately 30 days in
which to respond to the comments.1/ On June 24, we granted IATA’s
request, and it filed responsive comments on July 9.

On July 15, the Coalition filed a request for a 30-day period to reply
to IATA’s responsive comments.  In support of its request, the
Coalition states that IATA presented new information and a variety of
additional argumentation in its July 9 filing, and that parties should
have an opportunity to respond.

On July 21, IATA stated that it will not object to the Coalition’s
request.  However, IATA also wished to make it clear that IATA’s
member carriers support the application filed in February and want the
Department to act favorably on the application as soon as possible after
the ad hoc procedures that apply to this matter are completed.

We believe that the same reasons that warranted a 90-day extension of
the initial comment period, and a 30-day period for IATA to file
responsive comments, apply equally to the Coalition’s request.
Permitting the Coalition and other parties to file replies to IATA’s
responsive comments by August 15 will assist in developing an adequate
record for decision, and will not appreciably delay our review process.

_______________________

1/ Since Subpart E of Part 303, which establishes procedures for the
review of inter-carrier agreements, does not specifically provide for
responses to comments, we have treated these requests for successive
rounds of comments as motions to file otherwise unauthorized documents
under Part 302.6.

Therefore, acting under authority assigned to the Director, Office of
International Aviation, 14

CFR 385, we establish a date of August 15, 2003, for the filing of
replies to IATA’s response to comments previously received on the
agreement in the above-captioned docket.

We will serve this notice on all interested parties who have filed
pleadings in the docket and served  IATA .

By:

PAUL L. GRETCH

Director

Office of International Aviation

(SEAL)

Dated:  July 30, 2003

An electronic version of this notice is available on the World Wide Web
at

http://dms.dot.gov//reports/reports_aviation.asp

Posted: July 30, 2003

4:00 pm


[Federal Register: August 8, 2008 (Volume 73, Number 154)]
[Notices]
[Page 46257-46258]
[DOCID:fr08au08-44]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER08-1293-000]

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

August 1, 2008.
    This is a supplemental notice in the above-referenced proceeding of
Crystal Lake Wind LLC's application for market-based rate authority,
with an accompanying rate schedule, noting that such application
includes a request for blanket authorization, under 18 CFR part 34, of
future issuances of securities and assumptions of liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street, NE.,
Washington, DC 20426, in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214). Anyone filing a motion to intervene or protest must serve a
copy of that document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is August 21, 2008.
    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-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 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 dockets(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>.

Kimberly D. Bose,
Secretary.
[FR Doc. E8-18260 Filed 8-7-08; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 88, Number 76 (Thursday, April 20, 2023)]
[Notices]
[Pages 24398-24399]
[FR Doc No: 2023-08355]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 2056-055]

Northern States Power Company; Notice of Application Accepted for
Filing and Soliciting Comments, Motions To Intervene, and Protests

    Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection:
    a. Application Type: Adequacy of Aesthetic Flows Over St. Anthony
Falls Report.
    b. Project No: 2056-055.
    c. Date Filed: March 1, 2023.
    d. Applicant: Northern States Power Company.
    e. Name of Project: St. Anthony Falls Hydroelectric Project.
    f. Location: The project is located on Hennepin Island along the
east bank of the Mississippi River at St. Anthony Falls in the City of
Minneapolis, Minnesota.
    g. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791a-825r.
    h. Applicant Contact: Matthew Miller, Xcelenergy, 1414 W Hamilton
Ave., P.O. Box 8, Eau Claire, WI 54702; telephone<PHONE_NUMBER>; or
email [email protected].
    i. FERC Contact: Mark Ivy,<PHONE_NUMBER>, [email protected].
    j. Deadline for filing comments, motions to intervene, and
protests: May 15, 2023.
    The Commission strongly encourages electronic filing. Please file
comments, motions to intervene, and protests using the Commission's
eFiling system at http://www.ferc.gov/docs-filing/efiling.asp.
Commenters can submit brief comments up to 6,000 characters, without
prior registration, using the eComment system at http://www.ferc.gov/docs-filing/ecomment.asp. You must include your name and contact
information at the end of your comments. For assistance, please contact
FERC Online Support at [email protected],<PHONE_NUMBER> (toll
free), or<PHONE_NUMBER> (TTY). In lieu of electronic filing, you may
submit a paper copy. Submissions

sent via the U.S. Postal Service must be addressed to: Kimberly D.
Bose, Secretary, Federal Energy Regulatory Commission, 888 First Street
NE, Room 1A, Washington, DC 20426. Submissions sent via any other
carrier must be addressed to: Kimberly D. Bose, Secretary, Federal
Energy Regulatory Commission, 12225 Wilkins Avenue, Rockville, Maryland
20852. The first page of any filing should include the docket number P-
2056-055. Comments emailed to Commission staff are not considered part
of the Commission record.
    The Commission's Rules of Practice and Procedure require all
intervenors filing documents with the Commission to serve a copy of
that document on each person whose name appears on the official service
list for the project. Further, if an intervenor files comments or
documents with the Commission relating to the merits of an issue that
may affect the responsibilities of a particular resource agency, they
must also serve a copy of the document on that resource agency.
    k. Description of Request: The licensee filed a report regarding
the adequacy of aesthetic flows over St. Anthony Falls using the
results of the Public Perception of Aesthetic Flows Survey and
recommends continuing to provide a release of 300 cfs. The report
includes a description of the survey methods, a copy of the final
questionnaire, and detailed results for each survey question.
    l. This filing may be viewed on the Commission's website at http://www.ferc.gov using the ``eLibrary'' link. Enter the docket number
excluding the last three digits in the docket number field to access
the document. You may also register online at http://www.ferc.gov/docs-filing/esubscription.asp to be notified via email of new filings and
issuances related to this or other pending projects. For assistance,
call 1-866-208-3676 or email [email protected], for TTY, call
(202) 502-8659. Agencies may obtain copies of the application directly
from the applicant.
    m. Individuals desiring to be included on the Commission's mailing
list should so indicate by writing to the Secretary of the Commission.
    n. Comments, Protests, or Motions to Intervene: Anyone may submit
comments, a protest, or a motion to intervene in accordance with the
requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211,
.214, respectively. In determining the appropriate action to take, the
Commission will consider all protests or other comments filed, but only
those who file a motion to intervene in accordance with the
Commission's Rules may become a party to the proceeding. Any comments,
protests, or motions to intervene must be received on or before the
specified comment date for the particular application.
    o. Filing and Service of Documents: Any filing must (1) bear in all
capital letters the title ``COMMENTS'', ``PROTEST'', or ``MOTION TO
INTERVENE'' as applicable; (2) set forth in the heading the name of the
applicant and the project number of the application to which the filing
responds; (3) furnish the name, address, and telephone number of the
person commenting, protesting or intervening; and (4) otherwise comply
with the requirements of 18 CFR 385.2001 through 385.2005. All
comments, motions to intervene, or protests must set forth their
evidentiary basis. Any filing made by an intervenor must be accompanied
by proof of service on all persons listed in the service list prepared
by the Commission in this proceeding, in accordance with 18 CFR
385.2010.

    Dated: April 14, 2023.
Kimberly D. Bose,
Secretary.
[FR Doc. 2023-08355 Filed 4-19-23; 8:45 am]
BILLING CODE 6717-01-P