[Federal Register Volume 86, Number 203 (Monday, October 25, 2021)]
[Proposed Rules]
[Pages 58822-58823]
[FR Doc No: 2021-22985]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Docket No. FAA-2021-0858; Airspace Docket No. 19-AAL-53]
RIN 2120-AA66

Proposed Establishment of United States Area Navigation (RNAV)
Route T-384; Eagle, AK

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: This action proposes to establish United States Area
Navigation (RNAV) route T-384 in the vicinity of Eagle, AK in support
of a large and comprehensive T-route modernization project for the
state of Alaska.

DATES: Comments must be received on or before December 9, 2021.

ADDRESSES: Send comments on this proposal to the U.S. Department of
Transportation, Docket Operations, 1200 New Jersey Avenue SE, West
Building Ground Floor, Room W12-140, Washington, DC 20590; telephone:
1(800) 647-5527, or<PHONE_NUMBER>. You must identify FAA Docket No.
FAA-2021-0858; Airspace Docket No. 19-AAL-53 at the beginning of your
comments. You may also submit comments through the internet at https://www.regulations.gov.
    FAA Order JO 7400.11F, Airspace Designations and Reporting Points,
and subsequent amendments can be viewed online at https://www.faa.gov/air_traffic/publications/. For further information, you can contact the
Rules and Regulations Group, Federal Aviation Administration, 800
Independence Avenue SW, Washington, DC 20591; telephone: (202) 267-
8783. FAA Order JO 7400.11F is also available for inspection at the
National Archives and Records Administration (NARA). For information on
the availability of FAA Order JO 7400.11F at NARA, email:
[email protected] or go to https://www.archives.gov/federal-register/cfr/ibr-locations.html.

FOR FURTHER INFORMATION CONTACT: Christopher McMullin, Rules and
Regulations Group, Office of Policy, Federal Aviation Administration,
800 Independence Avenue SW, Washington, DC 20591; telephone: (202) 267-
8783.

SUPPLEMENTARY INFORMATION:

Authority for This Rulemaking

    The FAA's authority to issue rules regarding aviation safety is
found in Title 49 of the United States Code. Subtitle I, Section 106
describes the authority of the FAA Administrator. Subtitle VII,
Aviation Programs, describes in more detail the scope of the agency's
authority. This rulemaking is promulgated under the authority described
in Subtitle VII, Part A, Subpart I, Section 40103. Under that section,
the FAA is charged with prescribing regulations to assign the use of
the airspace necessary to ensure the safety of aircraft and the
efficient use of airspace. This regulation is within the scope of that
authority as it would expand the availability of RNAV in Alaska and
improve the efficient flow of air traffic within the National Airspace
System (NAS) by lessening the dependency on ground based navigation.

Comments Invited

    Interested parties are invited to participate in this proposed
rulemaking by submitting such written data, views, or arguments as they
may desire. Comments that provide the factual basis supporting the
views and suggestions presented are particularly helpful in developing
reasoned regulatory decisions on the proposal. Comments are
specifically invited on the overall regulatory, aeronautical, economic,
environmental, and energy-related aspects of the proposal.
    Communications should identify both docket numbers (FAA Docket No.
FAA-2021-0858; Airspace Docket No. 19-AAL-53) and be submitted in
triplicate to the Docket Management Facility (see ADDRESSES section for
address and phone number). You may also submit comments through the
internet at https://www.regulations.gov.
    Commenters wishing the FAA to acknowledge receipt of their comments
on this action must submit with those comments a self-addressed,
stamped postcard on which the following statement is made: ``Comments
to FAA Docket No. FAA-2021-0858; Airspace Docket No. 19-AAL-53.'' The
postcard will be date/time stamped and returned to the commenter.
    All communications received on or before the specified comment
closing date will be considered before taking action on the proposed
rule. The proposal contained in this action may be changed in light of
comments received. All comments submitted will be available for
examination in the public docket both before and after the comment
closing date. A report summarizing each substantive public contact with
FAA personnel concerned with this rulemaking will be filed in the
docket.

Availability of NPRM

    An electronic copy of this document may be downloaded through the
internet at https://www.regulations.gov. Recently published rulemaking
documents can also be accessed through the FAA's web page at https://www.faa.gov/air_traffic/publications/airspace_amendments/.
    You may review the public docket containing the proposal, any
comments received and any final disposition in person in the Dockets
Office (see ADDRESSES section for address and phone number) between
9:00 a.m. and 5:00 p.m., Monday through Friday, except Federal
holidays. An informal docket may also be examined during normal
business hours at the office of the Western Service Center, Operations
Support Group, Federal Aviation Administration, 2200 South 216th St.,
Des Moines, WA 98198.

Availability and Summary of Documents for Incorporation by Reference

    This document proposes to amend FAA Order JO 7400.11F, Airspace
Designations and Reporting Points, dated August 10, 2021, and effective
September 15, 2021. FAA Order JO 7400.11F is publicly available as
listed in the ADDRESSES section of this document. FAA Order JO 7400.11F
lists Class A, B, C, D, and E airspace areas, air traffic service
routes, and reporting points.

Background

    In 2003, Congress enacted the Vision 100-Century of Aviation
Reauthorization Act (Pub. L., 108-176), which established a joint
planning and development office in the FAA to manage the work related
to the Next Generation Air Transportation System (NextGen). Today,
NextGen is an ongoing FAA-led modernization of the nation's air
transportation system to make flying safer, more efficient, and more
predictable.
    In support of NextGen, this proposal is part of a larger and
comprehensive T-route modernization project in the state of Alaska. The
project mission statement states: ``To modernize Alaska's Air Traffic
Service route structure using satellite based navigation Development

of new T-routes and optimization of existing T-routes will enhance
safety, increase efficiency and access, and will provide en route
continuity that is not subject to the restrictions associated with
ground based airway navigation.'' As part of this project, the FAA
evaluated the existing Colored Airway structure for: (a) Direct
replacement (i.e., overlay) with a T-route that offers a similar or
lower Minimum En route Altitude (MEA) or Global Navigation Satellite
System Minimum En route Altitude (GNSS MEA); (b) the replacement of the
colored airway with a T-route in an optimized but similar geographic
area, while retaining similar or lower MEA; or (c) removal with no
route structure (T-route) restored in that area because the value was
determined to be insignificant.
    The aviation industry/users have indicated a desire for the FAA to
transition the Alaskan en route navigation structure away from
dependency on Non-Directional Beacons (NDB), and move to develop and
improve the RNAV route structure. The FAA proposes to establish RNAV
route T-384 to offer routing in an area where published airways do not
exist. The proposed route GNSS MEAs will ensure terrain/obstacle
clearance with continuous two-way VHF communications while also
providing instrument approach connectivity and access to Eagle Airport
(PAEG).

The Proposal

    The FAA is proposing an amendment to 14 CFR part 71 to establish
RNAV route T-384 in the vicinity of Eagle, AK in support of a large and
comprehensive T-route modernization project for the state of Alaska.
The proposed route is described below.
    T-384: The FAA proposes to establish T-384 from the HEXAX, AK,
waypoint (WP) located south of Yukon River, AK to the BAMVE, AK, WP
located northwest of Eagle, AK.
    United States Area Navigation Routes are published in paragraph
6011 of FAA Order JO 7400.11F dated August 10, 2021 and effective
September 15, 2021, which is incorporated by reference in 14 CFR 71.1.
The RNAV listed in this document would be published subsequently in FAA
Order JO 7400.11F.
    FAA Order JO 7400.11, Airspace Designations and Reporting Points,
is published yearly and effective on September 15.

Regulatory Notices and Analyses

    The FAA has determined that this proposed regulation only involves
an established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
It, therefore: (1) Is not a ``significant regulatory action'' under
Executive Order 12866; (2) is not a ``significant rule'' under
Department of Transportation (DOT) Regulatory Policies and Procedures
(44 FR 11034; February 26, 1979); and (3) does not warrant preparation
of a regulatory evaluation as the anticipated impact is so minimal.
Since this is a routine matter that will only affect air traffic
procedures and air navigation, it is certified that this proposed rule,
when promulgated, will not have a significant economic impact on a
substantial number of small entities under the criteria of the
Regulatory Flexibility Act.

Environmental Review

    This proposal will be subject to an environmental analysis in
accordance with FAA Order 1050.1F, ``Environmental Impacts: Policies
and Procedures'' prior to any FAA final regulatory action.

List of Subjects in 14 CFR Part 71

    Airspace, Incorporation by reference, Navigation (air).

The Proposed Amendment

    In consideration of the foregoing, the Federal Aviation
Administration proposes to amend 14 CFR part 71 as follows:

PART 71--DESIGNATION OF CLASS A, B, C, D, AND E AIRSPACE AREAS; AIR
TRAFFIC SERVICE ROUTES; AND REPORTING POINTS

0
1. The authority citation for part 71 continues to read as follows:

    Authority:  49 U.S.C. 106(f), 106(g); 40103, 40113, 40120; E.O.
10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.

Sec.  71.1   [Amended]

0
2. The incorporation by reference in 14 CFR 71.1 of FAA Order JO
7400.11F, Airspace Designations and Reporting Points, dated August 10,
2021, and effective September 15, 2021, is amended as follows:

Paragraph 6011 United States Area Navigation Routes.

* * * * *

T-384 HEXAX, AK to BAMVE, AK [New]

HEXAX, AK             WP                        (Lat. 65[deg]59'40.49'' N, long. 145[deg]23'01.26'' W)
WEXIK, AK             WP                        (Lat. 65[deg]49'39.86'' N, long. 144[deg]04'50.79'' W)
HOPOP, AK             WP                        (Lat. 65[deg]33'59.95'' N, long. 143[deg]57'29.48'' W)
JNANA, AK             WP                        (Lat. 65[deg]21'48.28'' N, long. 143[deg]22'26.75'' W)
DINLE, AK             WP                        (Lat. 65[deg]20'35.12'' N, long. 142[deg]41'33.57'' W)
ZESIK, AK             WP                        (Lat. 65[deg]08'53.43'' N, long. 142[deg]29'32.06'' W)
BAMVE, AK             WP                        (Lat. 64[deg]56'02.43'' N, long. 141[deg]49'17.81'' W)

* * * * *

    Issued in Washington, DC, on October 14, 2021.
Michael R. Beckles,
Acting Manager, Rules and Regulations Group.
[FR Doc. 2021-22985 Filed 10-22-21; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register: December 21, 2009 (Volume 74, Number 243)]
[Notices]
[Page 67939-67942]
[DOCID:fr21de09-101]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-61157; File No. SR-NYSEAmex-2009-88]

Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change Amending NYSE Amex
Rule 352 and Adopting New Rule 2150--NYSE Amex Equities To Correspond
With Rule Changes Filed by the Financial Industry Regulatory Authority,
Inc.

December 11, 2009.

    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934

(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on December 10, 2009, NYSE Amex LLC (``NYSE Amex'' 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 NYSE Amex. NYSE Amex filed the proposed rule
change pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b-
4(f)(6) thereunder,\4\ which renders it effective upon filing with the
Commission. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 240.19b-4(f)(6).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend Rule 352--NYSE Amex Equities and
adopt new Rule 2150--NYSE Amex Equities to correspond with rule changes
filed by the Financial Industry Regulatory Authority, Inc. (``FINRA'')
and approved by the Commission.\5\ The text of the proposed rule change
is available at the Exchange, the Commission's Public Reference Room,
and http://www.nyse.com.
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    \5\ See Securities Exchange Act Release No. 60701 (September 21,
2009), 74 FR 49425 (September 28, 2009) (order approving FINRA 09-
14).
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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
    The purpose of the proposed rule changes is to amend Rule 352--NYSE
Amex Equities (Guarantees, Sharing in Accounts, and Loan Arrangements)
and adopt new Rule 2150--NYSE Amex Equities (Improper Use of Customers'
Securities or Funds; Prohibition Against Guarantees and Sharing in
Accounts) to correspond with rule changes filed by FINRA and approved
by the Commission.

Background

    On July 30, 2007, FINRA's predecessor, the National Association of
Securities Dealers, Inc. (``NASD''), and NYSE Regulation, Inc.
(``NYSER'') consolidated their member firm regulation operations into a
combined organization, FINRA. Pursuant to Rule 17d-2 under the Act,\6\
the New York Stock Exchange LLC (``NYSE''), NYSER and FINRA entered
into an agreement (the ``Agreement'') to reduce regulatory duplication
for their members by allocating to FINRA certain regulatory
responsibilities for certain NYSE rules and rule interpretations
(``FINRA Incorporated NYSE Rules''). The Exchange became a party to the
Agreement effective December 15, 2008.\7\
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    \6\ 15 U.S.C. 78a, et seq.
    \7\ See Securities Exchange Act Release Nos. 56148 (July 26,
2007), 72 FR 42146 (August 1, 2007) (order approving the Agreement);
56147 (July 26, 2007), 72 FR 42166 (August 1, 2007) (SR-NASD-2007-
054) (order approving the incorporation of certain NYSE Rules as
``Common Rules''); and 60409 (July 30, 2009), 74 FR 39353 (August 6,
2009) (order approving the amended and restated Agreement, adding
NYSE Amex as a party). Paragraph 2(b) of the Agreement sets forth
procedures regarding proposed changes by FINRA, NYSE or NYSE Amex to
the substance of any of the Common Rules.
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    As part of its effort to reduce regulatory duplication and relieve
firms that are members of FINRA, NYSE and NYSE Amex of conflicting or
unnecessary regulatory burdens, FINRA is now engaged in the process of
reviewing and amending the NASD and FINRA Incorporated NYSE Rules in
order to create a consolidated FINRA rulebook.\8\
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    \8\ FINRA's rulebook currently has three sets of rules: (1) NASD
Rules, (2) FINRA Incorporated NYSE Rules, and (3) consolidated FINRA
Rules. The FINRA Incorporated NYSE Rules apply only to those members
of FINRA that are also members of the NYSE, while the consolidated
FINRA Rules apply to all FINRA members. For more information about
the FINRA rulebook consolidation process, see FINRA Information
Notice, March 12, 2008.
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Proposed Conforming Amendments to NYSE Amex Equities Rules

    FINRA adopted parts of NASD Rule 2330 (Customers' Securities of
Funds) as consolidated FINRA Rule 2150 (Improper Use of Customers'
Securities or Funds; Prohibition Against Guarantees and Sharing in
Accounts). In adopting consolidated FINRA Rule 2150, FINRA also took
into account certain provisions of FINRA Incorporated NYSE Rule 352
(Guarantees, Sharing in Accounts, and Loan Arrangements).\9\
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    \9\ See Securities Exchange Act Release No. 60701 (September 21,
2009), 74 FR 49425 (September 28, 2009).
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    Because they are substantially similar to the provisions of FINRA
Rule 2150 or are otherwise incorporated into the Supplementary Material
to the Rule, FINRA deleted the corresponding provisions of FINRA
Incorporated NYSE Rule 352(a)-(d). In particular, FINRA Incorporated
NYSE Rule 352(a), which prohibits members, member organizations and
their employees from guaranteeing or representing that it will
guarantee a customer against loss in any account or on any transaction,
is substantially the same as FINRA Rule 2150(b).\10\
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    \10\ See Securities Exchange Act Release No. 60701 (September
21, 2009), 74 FR 49425 (September 28, 2009).
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    In addition, FINRA Incorporated NYSE Rule 352(b) and (c) prohibit
members, member organizations and their employees from sharing in
profits or losses in a customer's account or on any transaction except,
subject to written authorization by the member or member organization
(though not prior written customer authorization), in direct proportion
to the financial contributions made to the account. FINRA Incorporated
NYSE Rule 352(c) also permits sharing in customer losses resulting from
an erroneous transaction. FINRA Incorporated NYSE Rule 352(d) permits
sharing arrangements that comply with Rule 205 of the Investment
Advisers Act of 1940, as amended,\11\ though again, there is no
requirement for prior written customer authorization. These provisions
are all substantially similar to those of consolidated FINRA Rule
2150(c) and the Supplementary Material.\12\
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    \11\ 15 U.S.C. 80b-1, et seq.
    \12\ See Securities Exchange Act Release No. 60701 (September
21, 2009), 74 FR 49425 (September 28, 2009).
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    To harmonize the NYSE Amex Equities Rules with the approved FINRA
Rules, the Exchange correspondingly proposes to delete the provisions
of Rule 352(a)-(d)--NYSE Amex Equities and replace them with proposed
Rule 2150--NYSE Amex Equities, which is substantially similar to the
new FINRA Rule.\13\ As proposed, Rule 2150--NYSE Amex Equities adopts
the same language as FINRA Rule 2150, except for substituting for or
adding to, as needed, the term ``member organization'' for the term
``member'', and making corresponding technical changes. In addition, in
Supplementary

Material .04 to proposed Rule 2150--NYSE Amex Equities, the Exchange
substituted NYSE Amex Equities Rules 346, 407 and 407A for NASD Rules
3030, 3040 and 3050 cross-referenced in the FINRA Rule, as these rules,
which are analogous in purpose, have not yet been harmonized by FINRA.
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    \13\ NYSE has submitted a companion rule filing amending its
rules in accordance with FINRA's rule changes. See SR-NYSE-2009-123.
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    Finally, in order to ensure that both proposed Rule 2150--NYSE Amex
Equities and FINRA Rule 2150 are fully harmonized, the Exchange also
proposes to add Supplementary Material .05 to Rule 2150--NYSE Amex
Equities to provide that, for the purposes of the rule, the term
``associated person of a member or member organization'' shall have the
same meaning as the terms ``person associated with a member'' or
``associated person of a member'' as defined in Article I (rr) of the
FINRA By-Laws.
2. Statutory Basis
    The Exchange believes that the proposed rule changes are consistent
with Section 6(b) of the Act,\14\ in general, and further the
objectives of Section 6(b)(5) of the Act,\15\ in particular, in that
they are designed to prevent fraudulent and manipulative acts and
practices, to promote just and equitable principles of trade, 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 changes also support the principles
of Section 11A(a)(1) \16\ of the Act in that they seek to ensure the
economically efficient execution of securities transactions and fair
competition among brokers and dealers and among exchange markets.
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    \14\ 15 U.S.C. 78f(b).
    \15\ 15 U.S.C. 78f(b)(5).
    \16\ 15 U.S.C. 78k-1(a)(1).
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    The Exchange believes that the proposed rule changes support the
objectives of the Act by providing greater harmonization between NYSE
Amex Equities Rules and FINRA Rules of similar purpose, resulting in
less burdensome and more efficient regulatory compliance for joint
members. To the extent the Exchange has proposed changes that differ
from the FINRA version of the Rules, such changes are technical in
nature and do not change the substance of the proposed NYSE Amex
Equities Rules.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition 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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \17\ and Rule 19b-4(f)(6) thereunder.\18\
Because the foregoing proposed rule change does not: (i) Significantly
affect the protection of investors or the public interest; (ii) impose
any significant burden on competition; and (iii) become operative for
30 days from the date on which it was filed, or such shorter time as
the Commission may designate, if consistent with the protection of
investors and public interest, it has become effective pursuant to
Section 19(b)(3)(A) of the Act \19\ and Rule 19b-4(f)(6)
thereunder.\20\
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    \17\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \18\ 17 CFR 240.19b-4(f)(6).
    \19\ 15 U.S.C. 78s(b)(3)(A).
    \20\ 17 CFR 240.19b-4(f)(6).
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    A proposed rule change filed under 19b-4(f)(6) normally does not
become operative prior to 30 days after the date of filing. However,
Rule 19b-4(f)(6)(iii) \21\ 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 set forth in Rule 19b-
4(f)(6)(iii) under the Act \22\ in order for the rule to become
operative upon filing. The Commission notes that the operative date of
FINRA 2150 becomes operative on December 14, 2009.\23\ The Commission
believes that the earlier operative date is consistent with the
protection of investors and the public interest because the proposed
rule change permits the Exchange to implement the rule without further
delay and will prevent any potential regulatory gaps between the FINRA
and NYSE Amex Rules.\24\
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    \21\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires that a self-regulatory organization submit to 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 Commission notes that NYSE has satisfied the five-
day pre-filing notice requirement.
    \22\ 17 CFR 240.19b-4(f)(6)(iii).
    \23\ See FINRA Regulatory Notice 09-60 (October 15, 2009).
    \24\ For purposes only of waiving the 30-day operative delay of
this proposal, the Commission has considered the proposed rule's
impact on efficiency, competition, and capital formation. 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate such rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in furtherance of the purposes of the Act.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the 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-NYSEAmex-2009-88 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-NYSEAmex-2009-88. 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, 100 F Street,
NE., Washington, DC 20549, on official business days between the hours
of 10 a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at

the principal office of NYSE Amex. 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-NYSEAmex-2009-88 and should be submitted on or before
January 11, 2010.
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    \25\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\25\
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-30241 Filed 12-18-09; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register: August 31, 2010 (Volume 75, Number 168)]
[Notices]
[Page 53297]
[DOCID:fr31au10-57]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER10-2151-000]

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

August 20, 2010.
    This is a supplemental notice in the above-referenced proceeding,
of Windstar Energy, LLC's application for market-based rate authority,
with an accompanying rate schedule, noting that such application
includes a request for blanket authorization, under 18 CFR part 34, of
future issuances of securities and assumptions of liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street, NE.,
Washington, DC 20426, in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214). Anyone filing a motion to intervene or protest must serve a
copy of that document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability is September 9, 2010.
    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 Street, NE., Washington, DC 20426.
    The filings in the above-referenced proceeding(s) are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive 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<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2010-21651 Filed 8-30-10; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 78, Number 248 (Thursday, December 26, 2013)]
[Proposed Rules]
[Page 78321]
[FR Doc No: 2013-30669]

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DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration

49 CFR Parts 573, 577, and 579

[Docket No. NHTSA--2012-0068; Notice 3]
RIN 2127-AK72

Early Warning Reporting, Foreign Defect Reporting, and Motor
Vehicle and Equipment Recall Regulations; Meeting

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

ACTION: Meeting Notice--Technical Specification for Vehicle
Identification Number (VIN) Look-up Interface.

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SUMMARY: On August 20, 2013, NHTSA published a final rule requiring
certain vehicle manufacturers to allow the secure electronic transfer
of manufacturer recall data to NHTSA when a consumer submits VIN
information to the agency's Web site for purposes of learning recall
information about the vehicle. NHTSA will host a public meeting on the
technical specifications that vehicle manufacturers will` need in order
to support the VIN-based safety recalls look-up tool that will be
housed on the NHTSA Web site www.safercar.gov. The purpose of this
meeting is to discuss the details of the technical specifications,
answer any technical concerns or questions, and hear feedback on the
technical specifications.

DATES: The meeting will be held on January 22, 2014, from 1 p.m. to 3
p.m. EST.

ADDRESSES: The meeting will be an online web meeting available at
https://www.teleconference.att.com/servlet/AWMlogin. Attendees must
register by C.O.B. January 17, 2014. To register please send an email
to<EMAIL_ADDRESS>with the names of your participants and how
many web meeting connections you require (e.g. 5 participants logging
in between 2 computers). In order to permit sufficient access to all
those that wish to attend, we request that each manufacturer, company,
or group, as applicable, limit the number of its meeting connections to
three.
    Login instructions will be provided to registered attendees on or
about January 21, 2014.

FOR FURTHER INFORMATION CONTACT: Jennifer Timian, Chief, Recall
Management Division, National Highway Traffic Safety Administration,
telephone<PHONE_NUMBER>, email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: On August 20, 2013, NHTSA published a final
rule requiring certain vehicle manufacturers to allow the secure
electronic transfer of manufacturer recall data to NHTSA when a
consumer submits VIN information to the agency's Web site for purposes
of learning vehicle recall information. See 78 FR 51382, 51401. This
requirement applies to manufacturers who manufacture 25,000 light
vehicles annually or 5,000 motorcycles annually. Further information
about the requirement to transfer recall data to NHTSA based upon a
consumer's VIN may be found in the August 20, 2013 final rule. Id.
    Manufacturers with early warning reporting (EWR) accounts may
obtain a copy of the VIN look-up interface technical specifications
through the agency's Web site. To obtain the technical specifications,
these manufacturers should use their EWR account credentials to access
the secure Web page at http://www-odi.nhtsa.dot.gov/ewr/login.cfm.
After logging in to the EWR system, the document labeled ``NEW--
Technical Specifications for VIN Lookup Interface'' can be found on the
next page. For any manufacturer, company, or group that does not have
an EWR account, please contact Alex Ansley at<EMAIL_ADDRESS>to receive a copy of the technical specification.
    The public meeting will be hosted online at https://www.teleconference. att.com/servlet/AWMlogin. However, if there is
sufficient interest, we may also host meeting at the DOT headquarters
in Washington, DC in tandem with the online web meeting. When
registering for the meeting on January 22nd, attendees should indicate
if they plan to attend in-person.
    Meeting access instructions will be sent to registered participants
on or about January 21, 2014.
    Please note this meeting will not include discussion or review of
the web-based recalls portal manufacturers will soon utilize to manage
safety recalls. We will publish another public notice in the Federal
Register once the recalls portal is developed and we are able to offer
the requisite training.

 Frank S. Borris II,
Director, Office of Defects Investigation, NHTSA.
[FR Doc. 2013-30669 Filed 12-24-13; 8:45 am]
BILLING CODE 4910-59-P


[Federal Register: September 27, 2006 (Volume 71, Number 187)]
[Notices]
[Page 56516-56517]
[DOCID:fr27se06-83]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

September 19, 2006.
    Take notice that the Commission received the following electric
corporate filings:

    Docket Numbers: EC06-126-000.
    Applicants: Boston Edison Company; Commonwealth Electric Company;
Canal Electric Company; Cambridge Electric Light Company.
    Description: Commonwealth Electric Company, et al. submit a
response to the Commission's 8/25/06 deficiency letter.
    Filed Date: 9/14/2006.
    Accession Number: 20060914-5034.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 5, 2006.

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

    Docket Numbers: EG06-80-000.
    Applicants: Hawks Nest Hydro LLC.
    Description: Hawks Nest Hydro, LLC Submits its Notice of Self-
Certification of Exempt Wholesale Generator Status.
    Filed Date: 9/01/2006.
    Accession Number: 20060907-0165.
    Comment Date: 5 p.m. Eastern Time on Monday, October 2, 2006.

    Docket Numbers: EG06-81-000.
    Applicants: MinnDakota Wind LLC.
    Description: MinnDakota Wind LLC submits Notice of Self-
Certification of Exempt Wholesale Generator Status pursuant to 18 CFR,
Section 266.7.
    Filed Date: 9/8/2006.
    Accession Number: 20060918-0374.
    Comment Date: 5 p.m. Eastern Time on Friday, September 29, 2006.

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

    Docket Numbers: ER98-3760-014.
    Applicants: California Independent System Operator Corporation.
    Description: California Independent System Operator Corp submits a
report concerning the issue of allowing multiple Scheduling
Coordinators use of a single meter under ER98-3760.
    Filed Date: 9/7/2006.
    Accession Number: 20060919-0084.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 28, 2006.

    Docket Numbers: ER99-1757-012; EL05-67-002; ER06-1312-001.
    Applicants: Empire District Electric Company.
    Description: The Empire District Electric Co submits its Fourth
Revised Sheet 1 to FERC Electric Tariff, First Revised Volume 1,
effective 5/16/05.
    Filed Date: 9/14/2006.
    Accession Number: 20060918-0382.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 5, 2006.

    Docket Numbers: ER03-515-001.
    Applicants: Black Oak Capital, LLC.
    Description: Black Oak Capital, LLC submits its triennial updated
market analysis.
    Filed Date: 9/13/2006.
    Accession Number: 20060918-0375.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 4, 2006.

    Docket Numbers: ER06-788-003; ER06-186-002.
    Applicants: Southern California Edison Company.
    Description: Southern California Edison Co submits a filing in
compliance with FERC's 8/14/06 Order and revisions to the rate sheets
to reflect the Order and recent approval of their Offer of Settlement
under ER06-788.
    Filed Date: 9/11/2006.
    Accession Number: 20060915-0003.
    Comment Date: 5 p.m. Eastern Time on Monday, October 2, 2006.

    Docket Numbers: ER06-1083-001; ER06-1083-002.
    Applicants: PJM Interconnection, LLC.
    Description: PJM Interconnection LLC submits a service agreement,
Substitute Original Service Agreement No. 1493 and submit an amendment
to this filing on 9/14/06, Second Substitute Original Service Agreement
No. 1493.
    Filed Date: 9/13/2006; 9/14/2006.
    Accession Number: 20060918-0376.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 4, 2006.

    Docket Numbers: ER06-1367-001.
    Applicants: BG Dighton Power, LLC.
    Description: BG Dighton Power LLC submits an amendment to its
application for market-based rate authority filed 8/15/06.
    Filed Date: 9/15/2006.
    Accession Number: 20060918-0384.
    Comment Date: 5 p.m. Eastern Time on Friday, October 6, 2006.

    Docket Numbers: ER06-1421-001.
    Applicants: The Clearing Corporation.
    Description: The Clearing Corp submits its a revised application
for market based rate authorizations to modify Sections 1 and 2 of the
proposed Tariff, Original No. 1.
    Filed Date: 9/15/2006.
    Accession Number: 20060919-0085.
    Comment Date: 5 p.m. Eastern Time on Friday, October 6, 2006.

    Docket Numbers: ER06-1486-000.
    Applicants: Nevada Power Company; Sierra Pacific Resources
Operating Company.
    Description: Nevada Power Co and Sierra Pacific Gas and Electric Co
submits revisions to the Sierra Pacific Resources Operating Companies'
OAT Tariff, FERC Electric Tariff, Third Revised Volume 1.
    Filed Date: 9/13/2006.
    Accession Number: 20060915-0002.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 4, 2006.

    Docket Numbers: ER06-1487-000; ER06-1487-001.
    Applicants: Midwest Independent Transmission System Operator, Inc.
    Description: Midwest Independent Transmission System Operator Inc
submits a Small Generation Interconnection Agreement with Ewington
Energy System LLC and Great River Energy and submit an errata to this
filing on 9/15/06.
    Filed Date: 9/13/2006; 9/15/2006.
    Accession Number: 20060915-0001; 20060919-0083.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 4, 2006.

    Docket Numbers: ER06-1488-000.
    Applicants: Oklahoma Gas and Electric Company.
    Description: Oklahoma Gas and Electric Co submits revised pages to
its OAT Tariff, Third Revised Volume No. 2.
    Filed Date: 9/13/2006.
    Accession Number: 20060918-0377.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 4, 2006.

    Docket Numbers: ER06-1489-000.
    Applicants: S.A.C. Energy Investments, L.P.
    Description: SAC Energy Investments, LP submits its application for
order accepting initial rate schedule, waiving regulations and granting
blanket approvals.
    Filed Date: 9/13/2006.
    Accession Number: 20060918-0378.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 4, 2006.
    Any person desiring to intervene or to protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214) on or before 5 p.m. Eastern time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously intervened in the
same docket. Protests will be considered by the Commission in
determining the appropriate action to

be taken, but will not serve to make protestants parties to the
proceeding. Anyone filing a motion to intervene or protest must serve a
copy of that document on the Applicant. In reference to filings
initiating a new proceeding, interventions or protests submitted on or
before the comment deadline need not be served on persons other than
the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov.
 To facilitate electronic service, persons with Internet

access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St., NE., Washington, DC 20426.
    The filings in the above proceedings are accessible in the
Commission's eLibrary system by clicking on the appropriate link in the
above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive e-mail notification
when a document is added to a subscribed dockets(s). For assistance
with any FERC Online service, please e-mail<EMAIL_ADDRESS>
or call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

Magalie R. Salas,
Secretary.
[FR Doc. E6-15802 Filed 9-26-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 88, Number 48 (Monday, March 13, 2023)]
[Notices]
[Pages 15488-15492]
[FR Doc No: 2023-05036]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-97056; File No. SR-NYSECHX-2023-10]

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Amend
Section FIFTH of Its Certificate of Incorporation

March 7, 2023.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on February 23, 2023, the NYSE Chicago, Inc. (``NYSE
Chicago'' or the ``Exchange'') filed with the Securities and Exchange
Commission (the ``Commission'') the proposed rule change as described
in Items I and II below, which Items have been prepared by the
Exchange. The Commission is publishing this notice to solicit comments
on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to (a) amend Section FIFTH of its certificate
of incorporation to provide that the board of directors of its ultimate
parent or that board's compensation committee may fix the compensation
of the board of directors of the Exchange, and (b) make certain
clarifying, technical and conforming changes to the certificate of
incorporation. The proposed rule change is available on the Exchange's
website at www.nyse.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 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 the
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to (a) amend Section FIFTH of the Second
Amended and Restated Certificate of Incorporation of the Exchange
(``Certificate'') to provide that the board of directors of its
ultimate parent, Intercontinental Exchange, Inc. (``ICE,'' and its
board of directors, the ``ICE Board''), or the compensation committee
of the ICE Board (the ``ICE Compensation Committee'') may fix the
compensation of the Board of Directors of the Exchange (the ``Exchange
Board''), and (b) make certain clarifying, technical and conforming
changes to the Certificate.
    The changes described herein would become operative upon the
Certificate becoming effective pursuant to its filing with the
Secretary of State of the State of Delaware.
Proposed Amendment to Section FIFTH
    Currently, the sole stockholder of the Exchange, NYSE Chicago
Holdings, Inc.

(``NYSE Chicago Holdings''), has the authority to fix the compensation
of all directors for services to the Exchange.\4\ The Exchange is
wholly owned by NYSE Chicago Holdings, which is wholly owned by NYSE
Group, Inc. (``NYSE Group''). NYSE Group is wholly owned by NYSE
Holdings LLC, which is a wholly owned subsidiary of Intercontinental
Exchange Holdings, Inc. Intercontinental Exchange Holdings, Inc. is in
turn wholly owned by ICE, a public company listed on the New York Stock
Exchange LLC (``NYSE'').\5\
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    \4\ See Section FIFTH(c) of the Certificate.
    \5\ See Exchange Act Release No. 83635 (July 13, 2018), 83 FR
34182 (July 19, 2018) (SR-CHX-2018-004) (Notice of Filing of
Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a
Proposed Rule Change, as Modified by Amendments Nos. 1, 2, and 3
Thereto, in Connection With a Proposed Transaction Involving CHX
Holdings, Inc. and the Intercontinental Exchange, Inc.).
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    The proposed change would move the responsibility to fix Exchange
director compensation from NYSE Chicago Holdings to the ICE Board or
the ICE Compensation Committee. To do so, the Exchange proposes
amending Section FIFTH of the Certificate as follows:
     The Exchange proposes to add the following sentence to the
end of Section FIFTH(a):
    Notwithstanding anything herein to the contrary, as set forth
below, the Board of Directors of Intercontinental Exchange, Inc.
(``ICE'') or the compensation committee thereof shall have the
authority to fix the compensation of directors of the Corporation.
     The Exchange proposes to amend Section FIFTH(c) to read as
follows (proposed additions italicized, proposed deletions in
brackets):
    (c) Compensation. The Board of Directors of ICE or the compensation
committee thereof shall have the authority to fix the compensation of
directors of the Corporation. The directors of the Corporation may be
paid their expenses, if any, of attendance at each meeting of the Board
of Directors of the Corporation and may be paid a fixed sum for
attendance at each meeting of the Board of Directors of the Corporation
or a stated salary as director (which amounts may be paid in cash or
such other form as the Board of Directors of ICE or the compensation
committee thereof may from time to time authorize). No such payment
shall preclude any director from serving the Corporation in any other
capacity and receiving compensation therefor. [The stockholder shall
have authority to fix compensation of all directors for services to the
Corporation as directors, officers or otherwise.]
    As a result of the proposed change, compensation for Exchange Board
members would be fixed by a body that is required to have at least a
majority of its members be independent. Currently, the board of
directors of NYSE Chicago Holdings is not required to be
independent.\6\
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    \6\ See id. CHX Holdings, Inc. changed its name to NYSE Chicago
Holdings, Inc. See Exchange Act Release No. 84494 (October 26,
2018), 83 FR 54953 (November 1, 2018) (SR-CHX-2018-05) (Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To
Reflect Name Changes of the Exchange and its Direct Parent Company
and To Amend Certain Corporate Governance Provisions).
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    If the ICE Board fixed the compensation of the Exchange Board, the
decision would be made by a body that was required to have at least a
majority of its members be independent.\7\ The requirement is in
accordance with NYSE listing requirements, which require that listed
companies have a majority of independent directors.\8\
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    \7\ See Securities Exchange Act Release No. 70210 (August 15,
2013), 78 FR 51758 (August 21, 2013) (SR-NYSE- 2013-42; SR-NYSEMKT-
2013-50; SR- NYSEArca-2013-62) (Order Granting Approval of Proposed
Rule Change Relating to a Corporate Transaction in which NYSE
Euronext Will Become a Wholly-Owned Subsidiary of
IntercontinentalExchange Group, Inc.). IntercontinentalExchange
Group, Inc., subsequently changed its name to
IntercontinentalExchange, Inc. See Exchange Act Release No. 72158
(May 13, 2014), 79 FR 28784 (May 19, 2014) (SR-NYSE-2014-23) (Notice
of Filing and Immediate Effectiveness of Proposed Rule Change
Relating to Name Changes of Its Ultimate Parent,
IntercontinentalExchange Group, Inc., and Its Indirect Parents,
IntercontinentalExchange, Inc. and NYSE Euronext Holdings LLC). The
ICE Board is subject to the requirements of the Independence Policy
of the Board of Directors of Intercontinental Exchange, Inc.,
available at https://s2.q4cdn.com/154085107/files/doc_downloads/governance_docs/ICE-Independence-Policy.pdf. The bylaws of ICE
require that the members of the ICE Board take into consideration
the effect that ICE's actions would have on the ability of the
Exchange to carry out its responsibility under Exchange Act. See the
Ninth Amended and Restated Bylaws of Intercontinental Exchange, Inc.
(``ICE Bylaws''), Article III, Section 3.14. The ICE Bylaws are
available at https://s2.q4cdn.com/154085107/files/doc_downloads/governance_docs/2022/ICE-Ninth-Amended-and-Restated-Bylaws.pdf.
    \8\ See NYSE Listed Company Manual Sections 303A.01 (Independent
Directors) and 303A.02(a)(ii) (Independence Tests), and ICE Bylaws,
Article III, Section 3.4.
---------------------------------------------------------------------------

    If the ICE Compensation Committee fixed the Exchange Board
compensation,\9\ compensation decisions would be made by a body that is
made up of independent members. As a company listed on the NYSE, ICE is
required to have a compensation committee that is composed entirely of
independent directors that satisfy the additional independence
requirements specific to compensation committee members.\10\
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    \9\ Pursuant to its Charter, the Compensation Committee of the
ICE Board is charged with, among other things, reviewing and
approving compensation for the members of the board of directors of
any ICE subsidiary, which includes the Exchange. See Charter of the
Compensation Committee of the Board of Directors of ICE, at https://s2.q4cdn.com/154085107/files/doc_downloads/governance_docs/2022/Intercontinental-Exchange-Inc.-Compensation-Committee-Charter-March-3-2022.pdf. See also NYSE Listed Company Manual Section 303A.05(b).
    \10\ See NYSE Listed Company Manual Section 303A.05(a)
(Compensation Committee). See also NYSE Listed Company Manual
Section 303A.02(a)(ii) and ICE annual report on Form 10-K for the
fiscal year ended December 31, 2021, at 19, available at https://www.sec.gov/ix?doc=/Archives/edgar/data/1571949/000157194922000006/ice-20211231.htm.
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    The proposed rule text is more comprehensive than the provision it
would replace, since it would provide that directors may be paid their
expenses for attending board meetings and that they may receive
compensation on a per-meeting basis or as a salary, clarify the form of
compensation that may be granted, and note that the payment does not
preclude a director from serving the Exchange in another capacity.\11\
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    \11\ The provision would be consistent with Article II, Section
14 of the Second Amended and Restated Bylaws of NYSE Chicago, Inc.,
which states that ``[t]he directors may be paid their reasonable
expenses, if any, of attendance at each meeting of the Board of
Directors and at each meeting of a committee of the Board of
Directors of which they are members.'' Under the Delaware General
Corporation Law (``DGCL''), the terms of the certificate of
incorporation of a corporation supersede any inconsistent bylaw
provisions. See DGCL Section 109(b); see also Sinchareonkul v.
Fahnemann, 2015 WL 292314, at *6 (Del.Ch., 2015) (stating that
(``[w]hen evaluating corporate action for legal compliance, a court
examines whether the action contravenes the entity-specific
corporate contract. The components of that contract form a
hierarchy, comprising from top to bottom (i) the Delaware General
Corporation Law (the `DGCL'), (ii) the certificate of incorporation,
and (iii) the bylaws. Each of the lower components of the
contractual hierarchy must conform to the higher components.'').
---------------------------------------------------------------------------

    The Exchange operates as a separate self-regulatory organization
and has rules, membership rosters and listings distinct from the rules,
membership rosters and, where applicable, listings of its affiliates
the NYSE, NYSE American LLC, NYSE Arca, Inc., and NYSE National, Inc.
(collectively with the Exchange, the ``NYSE Group Exchanges''). At the
same time, however, the Exchange believes it is important for each of
the NYSE Group Exchanges to have a consistent approach to corporate
governance in certain matters, to simplify complexity and create
greater consistency among the NYSE Group Exchanges.\12\ To that end,
each of the NYSE Group Exchanges

is proposing a substantially similar change to its governing
documents.\13\
---------------------------------------------------------------------------

    \12\ See 83 FR 34182, note 5, supra.
    \13\ See SR-NYSE-2023-13; SR-NYSEAmer-2023-15, SR-NYSEArca-2023-
18, and SR-NYSENat-2023-08. Presently, three different entities fix
the compensation of the boards of directors of the NYSE Group
Exchanges: NYSE Group fixes the compensation of the directors of the
NYSE, NYSE American LLC, and NYSE National, Inc.; NYSE Chicago
Holdings, Inc. fixes the compensation of the directors of NYSE
Chicago; and the board of directors of NYSE Arca, Inc. fixes its own
compensation.
---------------------------------------------------------------------------

    The proposed amendment is based on Article III, Section 3.13
(Compensation of Directors) of the ICE Bylaws.\14\
---------------------------------------------------------------------------

    \14\ See ICE Bylaws, Article III, Section 3.13.
---------------------------------------------------------------------------

Additional Proposed Amendments
    The Exchange proposes to make the following non-substantive
technical and conforming changes to the Certificate: \15\
---------------------------------------------------------------------------

    \15\ See 83 FR 34182, note 5, supra (proposing to make technical
and conforming changes throughout the to the title, recitals, and
signature page of the CHX Certificate of Incorporation and CHX
bylaws).
---------------------------------------------------------------------------

     Throughout the Certificate, change ``Second Amended and
Restated Certificate of Incorporation'' to ``Third Amended and Restated
Certificate of Incorporation.''
     Throughout the Certificate, update ``Chicago Stock
Exchange, Inc.'' to ``NYSE Chicago, Inc.'' \16\
---------------------------------------------------------------------------

    \16\ Chicago Stock Exchange, Inc. changed its name to NYSE
Chicago, Inc. See 83 FR 54953, note 6, supra.
---------------------------------------------------------------------------

     Move the definition of ``Corporation'' from the second
paragraph to the first paragraph.
     In the third paragraph, add ``Second'' in front of
``Amended and Restated Certificate of Incorporation.''
     In Sections EIGHTH and ELEVENTH, replace ``certificate of
incorporation'' with ``Third Amended and Restated Certificate of
Incorporation'' and in Section ELEVENTH, add ``Third Amended and
Restated'' before ``Certificate of Incorporation.''
     Update the date in the signature line.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Exchange Act,\17\ in general, and furthers the
objectives of Section 6(b)(1) \18\ in particular, in that it enables
the Exchange to be so organized as to have the capacity to be able to
carry out the purposes of the Exchange Act and to comply, and to
enforce compliance by its exchange members and persons associated with
its exchange members, with the provisions of the Exchange Act, the
rules and regulations thereunder, and the rules of the Exchange. The
Exchange also believes that the proposed rule change is consistent with
Section 6(b)(5) of the Exchange Act,\19\ in that it is designed to
prevent fraudulent and manipulative acts and practices, to promote just
and equitable principles of trade, to foster cooperation and
coordination with persons engaged in facilitating transactions in
securities, 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.
---------------------------------------------------------------------------

    \17\ 15 U.S.C. 78f(b).
    \18\ 15 U.S.C. 78f(b)(1).
    \19\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that the proposed change would allow the
Exchange to be so organized as to have the capacity to carry out the
purposes of the Exchange Act and comply with the provisions of the
Exchange Act by its members and persons associated with members,
because the Exchange Board would no longer have its compensation fixed
by a body whose members are not subject to independence requirements.
The Exchange believes that it is more advisable to have compensation
determinations made by a body that is required to have at least a
majority of its members be independent, like the ICE Board or ICE
Compensation Committee. Otherwise, the compensation could be fixed by a
body that is made up of employees or persons related to the Exchange.
For the same reason, the Exchange believes that the change would
contribute to the orderly operation of the Exchange and would promote
the maintenance of a fair and orderly market, the protection of
investors and the protection of the public interest.
    Indeed, the change would be consistent with prior practice, as when
the New York Stock Exchange, Inc. combined with Archipelago Holdings,
Inc. under NYSE Group in 2006, NYSE Group was publicly traded, required
to have an independent board of directors, and subject to an
independence policy.\20\ That changed when NYSE Group combined with
Euronext N.V. After that combination, NYSE Euronext, the publicly
traded parent company, had an independent board of directors subject to
an independence policy, and the board of directors of NYSE Group, which
became a subsidiary of NYSE Euronext, did not.\21\ When ICE acquired
NYSE Euronext, the requirement to have a majority of independent
directors moved to ICE.\22\
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    \20\ See Securities Exchange Act Release No. 53382 (February 27,
2006), 71 FR 11251 (March 6, 2006) (SR-NYSE-2005-77) (Order Granting
Approval of Proposed Rule Change and Amendment Nos. 1, 3, and 5
Thereto and Notice of Filing and Order Granting Accelerated Approval
to Amendment Nos. 6 and 8 Relating to the NYSE's Business
Combination With Archipelago Holdings, Inc.). The NYSE Group was
expected to fix the compensation of the Exchange Board through a
compensation committee. Id. at 11256 (``It is expected that, upon
completion of the Merger, the NYSE Group board of directors will
have [a] . . . compensation committee'') and 11257 (``[T]he board of
directors of New York Stock Exchange LLC is not expected to have its
own committees and that any necessary functions with respect to . .
. compensation . . . will be performed by the relevant committee[ ]
of the NYSE Group board of directors''). Having ICE, a public
company, or the ICE Compensation Committee, which is required to be
made up of independent directors, fix Exchange Board compensation
would be consistent with this practice.
    \21\ Securities Exchange Act Release No. 55293 (February 14,
2007), 72 FR 8033 (February 22, 2007) (SR-NYSE-2006-120) (Order
Granting Approval of Proposed Rule Change and Notice of Filing and
Order Granting Accelerated Approval to Amendment No. 1 Regarding the
Proposed Combination Between NYSE Group, Inc. and Euronext N.V.).
See also Exhibit 5E to SR-NYSE-2006-120, Section 3.2 (deleting the
independence requirements for the NYSE Group board of directors).
    \22\ See supra note 7.
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    The Exchange believes that, because at least a majority of the
members of the ICE Board and all of the ICE Compensation Committee must
be independent, there is no substantial likelihood of a potential
conflict of interest. Indeed, the Exchange believes that the proposal
lessens the potential for conflicts of interest by eliminating the
fixing of compensation by an entity that is not subject to any
independence requirements. Further, the governing documents of ICE
require that the members of the ICE Board take into consideration the
effect that ICE's actions--including actions by the ICE Board or ICE
Compensation Committee--would have on the ability of the Exchange ``to
carry out [its] responsibilities under the Exchange Act'' and ``to
engage in conduct that fosters and does not interfere with the ability
of the Exchange[ ] . . . to remove impediments to and perfect the
mechanisms of a free and open market in securities and a U.S. national
securities market system; and . . . to protect investors and the public
interest.'' \23\ For the foregoing reasons, the Exchange believes that
the proposed change would allow the Exchange to be so organized as to
have the capacity to carry out the purposes of the Exchange Act and
comply with the provisions of the Exchange Act by its members and
persons associated with members, and

would contribute to the orderly operation of the Exchange and would
promote the maintenance of a fair and orderly market, the protection of
investors and the protection of the public interest.
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    \23\ See ICE Bylaws, Article III, Section 3.14 (a). The Exchange
has adopted a rule prohibiting the listing of affiliate securities
and setting forth additional reporting requirements. See Rule 28
(Additional Requirements for Listed Securities Issued by
Intercontinental Exchange, Inc. or its Affiliates).
---------------------------------------------------------------------------

    Moreover, the Exchange believes that the proposal would promote
greater consistency in the compensation philosophy and director
compensation structure across affiliated exchanges, thereby promoting
the maintenance of a fair and orderly markets, the protection of
investors and the public interest. As noted above, the other NYSE Group
Exchanges are filing similar proposed changes to their governing
documents. By locating the authority to fix compensation in the hands
of the ICE Board or the ICE Compensation Committee, the proposed change
would permit compensation for each board of directors of an NYSE Group
Exchange to be set centrally and with greater uniformity and
consistency across affiliated exchanges. The Exchange believes that
such conformity would streamline the NYSE Group Exchanges' corporate
processes and create more equivalent compensation processes among them,
to the benefit of both investors and the public interest. The proposal
also reflects the fact that, no matter the size or role of the relevant
NYSE Group Exchange, every NYSE Group Exchange board of directors must
manage its business while considering the government of the exchange as
an ``exchange'' within the meaning of the Exchange Act.\24\
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    \24\ See Second Amended and Restated Bylaws of NYSE Chicago,
Inc., Article II, Section 1 (Powers) and Article IX, Section 1
(Management of the Corporation); Thirteenth Amended and Restated
Operating Agreement of NYSE, Article II, Section 2.03(k); Twelfth
Amended and Restated Operating Agreement of NYSE American, Inc.,
Article II, Section 2.03(k) (Board); Bylaws of NYSE Arca, Inc.,
Article III, Section 3.01 (Powers); and Seventh Amended and Restated
By-laws of NYSE National, Inc., Article III, Section 3.1 (Powers)
and Article X, Section 10.1 (Management of the Exchange).
---------------------------------------------------------------------------

    The Exchange believes that the more comprehensive provision would
remove impediments to and perfect the mechanism of a free and open
market, as it would make the provision relating to director
compensation more comprehensive and transparent for market
participants, making it so that they can more easily navigate and
understand the governing documents. As noted, the proposed text is more
comprehensive than the provision it would replace and would set forth
additional detail regarding the compensation that directors may
receive, such as whether expenses for attending board meetings may be
paid, whether directors may receive compensation on a per-meeting basis
or as a salary, and what form of compensation may be granted, and would
clarify that payment does not preclude a director from serving the
Exchange in another capacity. The Exchange believes that the greater
additional detail would add transparency and clarity to the Exchange's
governing documents and would not be inconsistent with the public
interest and the protection of investors because investors will not be
harmed and in fact would benefit from increased transparency and
clarity, thereby reducing potential confusion.
    Finally, the proposed non-substantive technical and conforming
changes would remove impediments to and perfect the mechanism of a free
and open market by ensuring that persons subject to the Exchange's
jurisdiction, regulators, and the investing public can more easily
navigate and understand the governing documents. The proposed non-
substantive amendments also would not be inconsistent with the public
interest and the protection of investors because investors will not be
harmed and in fact would benefit from increased transparency and
clarity, thereby reducing potential confusion.

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 Exchange Act. The proposed rule
change is not intended to address competitive issues but rather is
concerned solely with the corporate governance of the Exchange.

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 foregoing proposed rule change does not: (i)
significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \25\ and Rule 19b-
4(f)(6) thereunder.\26\
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    \25\ 15 U.S.C. 78s(b)(3)(A).
    \26\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization 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.
---------------------------------------------------------------------------

    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 under
Section 19(b)(2)(B) \27\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \27\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

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 (https://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
File Number SR-NYSECHX-2023-10 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSECHX-2023-10. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (https://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the

public in accordance with the provisions of 5 U.S.C. 552, will be
available for website viewing and printing in the Commission's Public
Reference Room, 100 F Street NE, Washington, DC 20549 on official
business days between the hours of 10 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. Persons submitting comments are cautioned that we do
not redact or edit personal identifying information from comment
submissions. You should submit only information that you wish to make
available publicly. All submissions should refer to File Number SR-
NYSECHX-2023-10, and should be submitted on or before April 3, 2023.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\28\
---------------------------------------------------------------------------

    \28\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-05036 Filed 3-10-23; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: June 13, 2008 (Volume 73, Number 115)]
[Notices]
[Page 33818-33819]
[DOCID:fr13jn08-55]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPP-2008-0099; FRL-8365-7]

Pesticide Product Registration Approval

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: This notice announces Agency approval of two applications to
register the pesticide products QRD 406 and QRD 400 containing an
active ingredient not included in any previously registered products
pursuant to the provisions of section 3(c)(5) of the Federal
Insecticide, Fungicide, and Rodenticide Act (FIFRA), as amended.

FOR FURTHER INFORMATION CONTACT: Chris Pfeifer, Biopesticides and
Pollution Prevention Division (7511P), Office of Pesticide Programs,
Environmental Protection Agency, 1200 Pennsylvania Ave., NW.,
Washington, DC 20460-0001; telephone number:<PHONE_NUMBER>; e-mail
address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this Action Apply to Me?

    You may be potentially affected by this action if you are an
agricultural producer, food manufacturer, or pesticide manufacturer.
Potentially affected entities may include, but are not limited to:
     Crop production (NAICS code 111).
     Animal production (NAICS code 112).
     Food manufacturing (NAICS code 311).
     Pesticide manufacturing (NAICS code 32532).
    This listing is not intended to be exhaustive, but rather provides
a guide for readers regarding entities likely to be affected by this
action. Other types of entities not listed in this unit could also be
affected. The North American Industrial Classification System (NAICS)
codes have been provided to assist you and others in determining
whether this action might apply to certain entities. If you have any
questions regarding the applicability of this action to a particular
entity, consult the person listed under FOR FURTHER INFORMATION
CONTACT.

B. How Can I Get Copies of this Document and Other Related Information?

    1. Docket. EPA has established a docket for this action under
docket identification (ID) number EPA-HQ-OPP-2008-0099. Publicly
available docket materials are available either in the electronic
docket at http://www.regulations.gov, or, if only available in hard
copy, at the Office of Pesticide Programs (OPP) Regulatory Public
Docket in Rm. S-4400, One Potomac Yard (South Bldg.), 2777 S. Crystal
Dr., Arlington, VA. The hours of operation of this Docket Facility are
from 8:30 a.m. to 4 p.m., Monday through Friday, excluding legal
holidays. The Docket Facility telephone number is<PHONE_NUMBER>.
    In accordance with section 3(c)(2) of FIFRA, a copy of the approved
label, the list of data references, the data and other scientific
information used to support registration, except for material
specifically protected by section 10 of FIFRA, are also available for
public inspection. Requests for data must be made in accordance with
the provisions of the Freedom of Information Act and must be addressed
to the Freedom of Information Office (A-101), 1200 Pennsylvania Ave.,
NW., Washington, DC 20460-0001. Such requests should: Identify the
product name and registration number and specify the data or
information desired.
    A paper copy of the fact sheet, which provides more detail on this
registration, may be obtained from the National Technical Information
Service (NTIS), 5285 Port Royal Rd., Springfield, VA 22161.
    2. Electronic access. You may access this Federal Register document
electronically through the EPA Internet under the ``Federal Register''
listings at http://www.epa.gov/fedrgstr.

II. Did EPA Approve the Applications?

    The Agency approved the applications after considering all required
data on risks associated with the proposed use of Extract of
Chenopodium ambrosioides near ambrosioides, and information on social,
economic, and environmental benefits to be derived from use.
Specifically, the Agency has considered the nature of the chemical and
its pattern of use, application methods and rates, and level and extent
of potential exposure. Based on these reviews, the Agency was able to
make basic health and safety determinations which show that use of
Extract of Chenopodium ambrosioides near ambrosioides when used in
accordance with widespread and commonly recognized practice, will not
generally cause unreasonable adverse effects to the environment.

III. Approved Applications

    EPA issued a notice, published in the Federal Register of May 18,
2005 (70 FR 28524) (FRL-7706-5), which announced that Codena, Inc., c/o
of Landis International Inc., P.O. 5126, Valdosta, GA 31603-5126, had
submitted three applications to register the pesticide products, FACIN
TECHNICAL, FACIN 25 EC, and FACIN 50 ME for use as biochemical
insecticides and acaricides (EPA File Symbols 81978-R, 81978-E, and
81978-G respectively), containing Extract of Chenopodium ambrosioides
var. amcrosiosdes.
    Subsequent to the Federal Register notice of May 18, 2005, the
applications were transferred to Agraquest, Inc., 1540 Drew Avenue,
Davis, CA 95618. FACIN 50 ME was withdrawn and the remaining product
names were changed.

The manufacturing use product, QRD 406 (EPA Registration Number 69592-
21), and the end use product, QRD 400 (EPA Registration Number 69592-
22), were approved on April 16, 2008. The end use product QRD 400,
containing the new active ingredient Extract of Chenopodium
ambrosioides var. ambrosioides, is for use as an insecticide and
acaricide to be applied to field and container-grown non-food
ornamental plants in commercial nurseries, greenhouses, and lath- and
shade houses.

List of Subjects

    Environmental protection, Chemicals, Pests and pesticides.

    Dated: May 27, 2008.
Janet L. Andersen,
Director, Biopesticides and Pollution Prevention Division, Office of
Pesticide Programs.
[FR Doc. E8-13373 Filed 6-12-08; 8:45 am]

BILLING CODE 6560-50-S