[Federal Register Volume 76, Number 93 (Friday, May 13, 2011)]
[Rules and Regulations]
[Pages 27895-27897]
[FR Doc No: 2011-11807]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2011-0325]
RIN 1625-A008

Safety Zone; 2011 Memorial Day Tribute Fireworks, Lake
Charlevoix, Boyne City, MI

AGENCY: Coast Guard, DHS.

ACTION: Temporary final rule.

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SUMMARY: The Coast Guard is establishing a temporary safety zone on
Lake Charlevoix near Boyne City, Michigan. This zone is intended to
restrict vessels from a portion of Lake Charlevoix due to a fireworks
display. This temporary safety zone is necessary to protect the
surrounding public and vessels from the hazards associated with a
fireworks display.

DATES: This rule is effective from 10 p.m. until 10:45 p.m. on May 28,
2011.

ADDRESSES: Documents indicated in this preamble as being available in
the docket are part of docket USCG-2011-0325 and are available online
by going to http://www.regulations.gov, inserting USCG-2011-0325 in the
``Keyword'' box, and then clicking ``Search.'' They are also available
for inspection or copying at the Docket Management Facility (M-30),
U.S. Department of Transportation, West Building Ground Floor, Room
W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590, between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: If you have questions on this
temporary rule, call or e-mail MST1 Aaron Woof, U.S. Coast Guard,
Sector Sault Sainte Marie, telephone<PHONE_NUMBER>, e-mail at
<EMAIL_ADDRESS>If you have questions on viewing the docket,
call Renee V. Wright, Program Manager, Docket Operations, telephone
202-366-9826.

SUPPLEMENTARY INFORMATION:

Regulatory Information

    The Coast Guard is issuing this temporary final rule without prior
notice and opportunity to comment pursuant to authority under section
4(a) of the Administrative Procedure Act (APA) (5 U.S.C. 553(b)). This
provision authorizes an agency to issue a rule without prior notice and
opportunity to comment when the agency for good cause finds that those
procedures are ``impracticable, unnecessary, or contrary to the public
interest.'' Under 5 U.S.C. 553(b)(B), the Coast Guard finds that good
cause exists for not publishing a notice of proposed rulemaking (NPRM)
with respect to this rule because doing so would be impracticable and
contrary to the public interest. Delaying this rule to wait for a
notice and comment period to run would be impracticable and contrary to
the public interest because it would inhibit the Coast Guard's ability
to protect the public from the hazards associated with maritime
fireworks displays.
    Under 5 U.S.C. 553(d)(3), the Coast Guard finds that good cause
exists for making this rule effective less than 30 days after
publication in the Federal Register. For the same reasons discussed in
the preceding paragraph, a 30 day notice period would be impracticable
and contrary to the public interest.

Background and Purpose

    On May 28, 2011 fireworks will be launched from a point on Lake
Charlevoix to commemorate Memorial Day. The Captain of the Port, Sector
Sault Sainte Marie, has determined that the Memorial Day Tribute
Fireworks Display will pose significant risks to the public. The likely
congested waterways in the vicinity of a fireworks display could easily
result in serious injuries or fatalities.

Discussion of Rule

    To mitigate the risks associated with the Memorial Day Tribute
Fireworks Display, the Captain of the Port, Sector Sault Sainte Marie
will enforce a temporary safety zone in the vicinity of the launch
site. This safety zone will encompass all waters of Lake Charlevoix, in
the vicinity of Sommerset Pointe, within the arc of a circle with an
800ft radius from the fireworks launch site located on a barge
positioned 45[deg]13'04'' N, 085[deg]03'41'' W [DATUM: NAD 83].
    Entry into, transiting, or anchoring within the safety zone is
prohibited unless authorized by the Captain of the Port, Sector Sault
Sainte Marie, or his or her on-scene representative. The Captain of the
Port, Sector Sault Sainte Marie, or his or her on-scene representative
may be contacted via VHF channel 16.

Regulatory Analyses

    We developed this rule after considering numerous statutes and
executive orders related to rulemaking. Below we summarize our analyses
based on 13 of these statutes or executive orders.

Regulatory Planning and Review

    This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866, Regulatory Planning and Review, and does not
require an assessment of potential costs and benefits under section
6(a)(3) of that Order. The Office of Management and Budget has not
reviewed it under that Order. We conclude that this rule is not a
significant regulatory action because we anticipate that it will have
minimal impact on the economy, will not interfere with other agencies,
will not adversely alter the budget of any grant or loan recipients,
and will not raise any novel legal or policy issues. The safety zone
will be relatively small and will exist for only a minimal time. Under
certain conditions, moreover, vessels may still transit through the
safety zone when permitted by proper authority.

Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this rule would have a significant economic impact
on a substantial number of small entities. The term ``small entities''
comprises small businesses, not-for-profit organizations that are
independently owned and operated and are not dominant in their fields,
and governmental jurisdictions with populations of less than 50,000.
The Coast Guard certifies under 5 U.S.C. 605(b) that this rule will not
have a significant economic impact on a substantial number of small
entities.
    This rule will affect the following entities, some of which might
be small

entities: The owners or operators of vessels intending to transit or
anchor in a portion of Lake Charlevoix between 10 p.m. and 10:45 p.m.
on May 28, 2010.
    This safety zone will not have significant economic impact on a
substantial number of small entities for the following reasons: this
rule will only be enforced for a short period of time. Vessels may
safely pass outside the safety zone during the event. In the event that
this temporary safety zone affects shipping, commercial vessels may
request permission from the Captain of the Port, Sector Sault Sainte
Marie, to transit through the safety zone. The Coast Guard will give
notice to the public via a Broadcast to Mariners that the regulation is
in effect.

Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we offer to assist small
entities in understanding the rule so that they can better evaluate its
effects on them and participate in the rulemaking process.
    Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247). The Coast Guard will not retaliate against small
entities that question or complain about this rule or any policy or
action of the Coast Guard.

Collection of Information

    This rule calls for no new collection of information under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

Federalism

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on State or local
governments and would either preempt State law or impose a substantial
direct cost of compliance on them. We have analyzed this rule under
that Order and have determined that it does not have implications for
federalism.

Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this rule will not result in
such an expenditure, we do discuss the effects of this rule elsewhere
in this preamble.

Taking of Private Property

    This rule will not cause a taking of private property or otherwise
have taking implications under Executive Order 12630, Governmental
Actions and Interference with Constitutionally Protected Property
Rights.

Civil Justice Reform

    This rule meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988, Civil Justice Reform, to minimize litigation,
eliminate ambiguity, and reduce burden.

Protection of Children

    We have analyzed this rule under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. This rule
is not an economically significant rule and does not create an
environmental risk to health or risk to safety that may
disproportionately affect children.

Indian Tribal Governments

    This rule does not have tribal implications under Executive Order
13175, Consultation and Coordination with Indian Tribal Governments,
because it does not have a substantial direct effect on one or more
Indian tribes, on the relationship between the Federal Government and
Indian Tribes, or on the distribution of power and responsibilities
between the Federal Government and Indian tribes.

Energy Effects

    We have analyzed this rule under Executive Order 13211, Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that order because it is not a ``significant
regulatory action'' under Executive Order 12866 and is not likely to
have a significant adverse effect on the supply, distribution, or use
of energy. The Administrator of the Office of Information and
Regulatory Affairs has not designated it as a significant energy
action. Therefore, it does not require a Statement of Energy Effects
under Executive Order 13211.

Technical Standards

    The National Technology Transfer and Advancement Act (NTTAA) (15
U.S.C. 272 note) directs agencies to use voluntary consensus standards
in their regulatory activities unless the agency provides Congress,
through the Office of Management and Budget, with an explanation of why
using these standards would be inconsistent with applicable law or
otherwise impractical. Voluntary consensus standards are technical
standards (e.g., specifications of materials, performance, design, or
operation; test methods; sampling procedures; and related management
systems practices) that are developed or adopted by voluntary consensus
standards bodies.
    This rule does not use technical standards. Therefore, we did not
consider the use of voluntary consensus standards.

Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have concluded
this action is one of a category of actions that do not individually or
cumulatively have a significant effect on the human environment. This
rule is categorically excluded, under figure 2-1, paragraph (34)(g), of
the Instruction because it involves the establishment of a safety zone.
    A final environmental analysis checklist and a categorical
exclusion determination are available in the docket where indicated
under ADDRESSES.

List of Subjects in 33 CFR Part 165

    Harbors, Marine safety, Navigation (water), Reporting and
recordkeeping requirements, Security measures, Waterways.

    For the reasons discussed in the preamble, the Coast Guard amends
33 CFR part 165 as follows:

PART 165--REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS

0
1. The authority citation for part 165 continues to read as follows:

    Authority:  33 U.S.C. 1231; 46 U.S.C. Chapter 701, 3306, 3703;
50 U.S.C. 191; 33 CFR 1.05-1, 6.04-1, 6.04-6, and 160.5; Pub. L 107-
295, 116 Stat. 2064; Department of Homeland Security Delegation No.
0170.1.

0
2. Add Sec.  165.T09-0325 to read as follows:

Sec.  165.T09-0325  Safety Zone; 2011 Memorial Day Tribute Fireworks,
Lake Charlevoix, Boyne City, Michigan.

    (a) Location. The safety zone will encompass all U.S. navigable
waters of Lake Charlevoix, in the vicinity of Sommerset Pointe, within
the arc of a circle with a 800-foot radius from a fireworks launch site
located on a barge at position 45[deg]13'04'' N, 085[deg]03'41'' W
[DATUM: NAD 83].
    (b) Effective and enforcement period. This rule is effective and
will be enforced from 10:00 p.m. until 10:45 p.m. on May 28, 2011.
    (c) Regulations.
    (1) In accordance with the general regulations in Sec.  165.23 of
this part, entry into, transiting, or anchoring within this safety zone
is prohibited unless authorized by the Captain of the Port, Sector
Sault Sainte Marie, or his or her on-scene representative.
    (2) This safety zone is closed to all vessel traffic, except as may
be permitted by the Captain of the Port, Sector Sault Sainte Marie, or
his or her on-scene representative.
    (3) The ``on-scene representative'' of the Captain of the Port,
Sector Sault Sainte Marie, is any Coast Guard commissioned, warrant or
petty officer who has been designated by the Captain of the Port,
Sector Sault Sainte Marie, to act on his or her behalf. The on-scene
representative of the Captain of the Port, Sector Sault Sainte Marie,
will be aboard either a Coast Guard or Coast Guard Auxiliary vessel.
    (4) Vessel operators desiring to enter the or operate within the
safety zone shall contact the Captain of the Port, Sector Sault Sainte
Marie, or his or her on-scene representative to obtain permission to do
so. The Captain of the Port, Sector Sault Sainte Marie, or his or her
on-scene representative may be contacted via VHF Channel 16. Vessel
operators given permission to enter or operate in the safety zone must
comply with all directions given to them by the Captain of the Port,
Sector Sault Sainte Marie, or his or her on-scene representative.

    Dated: May 2, 2011.
J.C. Mcguiness.
Captain, U.S. Coast Guard Captain of the Port Sault Sainte Marie.
[FR Doc. 2011-11807 Filed 5-12-11; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 77, Number 189 (Friday, September 28, 2012)]
[Notices]
[Pages 59608-59609]
[FR Doc No: 2012-23938]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 14427-000]

Go Green Go Hydro LLC; Notice of Preliminary Permit Application
Accepted for Filing and Soliciting Comments, Motions To Intervene, and
Competing Applications

    On June 20, 2012, Go Green Go Hydro LLC (Go Green or applicant)
filed an application for a preliminary permit, pursuant to section 4(f)
of the Federal Power Act (FPA), proposing to study the feasibility of
the Black Lassic and Shanty Creeks Hydroelectric Water Power Project
(Black Lassic Project or project) to be located on Black Lassic, South
Shanty, and Shanty Creeks within the Six Rivers National Forest, near
the city of Dinsmore, Trinity County, California. The sole purpose of a
preliminary permit, if issued, is to grant the permit holder priority
to file a license application during the permit term. A preliminary
permit does not authorize the permit holder to perform any land-
disturbing activities or otherwise enter upon lands or waters owned by
others without the owners' express permission.
    The proposed project would consist of the following: (1) Three 5-
foot-high, 25-30-foot-long diversion structures with gravity
uncontrolled spillways; (2) a 9,000-foot-long penstock; (3) a 30-by-30-
foot powerhouse containing a two-nozzle Pelton wheel coupled to a
synchronous generator with a capacity of 2,800 kilowatts; (4) a 6-foot-
wide by 120-foot-long tailrace; and (5) a 24,440-foot-long, 12-kilovolt
transmission line. The proposed project would have an average annual
generation of 5,000 megawatt-hours.
    Applicant Contact: Mr. David G. DeMera, Go Green Go Hydro LLC,
18300 Morgan Valley Road, Lower Lake, CA 95457,<PHONE_NUMBER>.
    FERC Contact: Shana Murray<EMAIL_ADDRESS>(202) 502-8333.
    Deadline for filing comments, motions to intervene, competing
applications (without notices of intent), or notices of intent to file
competing applications: 60 days from the issuance of this notice.
Competing applications and notices of intent must meet the requirements
of 18 CFR 4.36. Comments, motions to intervene, notices of intent, and
competing applications may be filed electronically via the Internet.
See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's
Web site 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_ADDRESS>or toll free at 1-866-208-3676,
or for TTY,<PHONE_NUMBER>. Although the Commission strongly encourages
electronic filing, documents may also be paper-filed. To paper-file,
mail an original and seven copies to: Kimberly D. Bose, Secretary,
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426.
    More information about this project, including a copy of the
application, can be viewed or printed on the ``eLibrary'' link of
Commission's Web site at http://www.ferc.gov/docs-filing/elibrary.asp.
Enter the docket number (P-14427 in the docket number field to access
the document. For assistance, contact FERC Online Support.

    Dated: September 24, 2012.
 Kimberly D. Bose,
 Secretary.
[FR Doc. 2012-23938 Filed 9-27-12; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 11 (Friday, January 16, 2015)]
[Rules and Regulations]
[Pages 2286-2291]
[FR Doc No: 2015-00590]

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 736, 740, 746 and 748

[Docket No. 150102002-5002-01]
RIN 0694-AG42

Cuba: Providing Support for the Cuban People

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final rule.

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SUMMARY: This rule amends the Export Administration Regulations to
create License Exception Support for the Cuban People (SCP) to
authorize the export and reexport of certain items to Cuba that are
intended to improve the living conditions of the Cuban people; support
independent economic activity and strengthen civil society in Cuba; and
improve the free flow of information to, from, and among the Cuban
people. It also amends existing License Exception Consumer
Communications Devices (CCD) by eliminating the donation requirement,
thereby authorizing sales of certain communications items to eligible
end users in Cuba. Additionally, it amends License Exception Gift
Parcels and Humanitarian Donations (GFT) to authorize exports of
multiple gift parcels in a single shipment. Lastly, this rule
establishes a general policy of approval for exports and reexports to
Cuba of items for the environmental protection of U.S. and
international air quality, and waters, and coastlines. These actions
are among those announced by the President on December 17, 2014, aimed
at supporting the ability of the Cuban people to gain greater control
over their own lives and determine their country's future.

DATES: This rule is effective January 16, 2015.

FOR FURTHER INFORMATION CONTACT: Foreign Policy Division, Office of
Nonproliferation and Treaty Compliance, Bureau of Industry and
Security, Phone:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Background

    The United States maintains a comprehensive embargo on trade with
Cuba. Pursuant to that embargo, all items that are subject to the
Export Administration Regulations (EAR) require a license for export or
reexport to Cuba unless authorized by a license exception. The Bureau
of Industry and Security (BIS) administers export and reexport
restrictions on Cuba consistent with the goals of that embargo and with
relevant law. Accordingly, BIS may issue specific or general
authorizations for specific types of transactions that support the
goals of United States policy while the embargo remains in effect.
    On December 17, 2014, the President announced that the United
States is taking historic steps to chart a new course in bilateral
relations with Cuba and to further engage and empower the Cuban people.
The President explained that these steps build upon actions taken since
2009 that have been aimed at supporting the ability of the Cuban people
to gain greater control over their own lives and determine their
country's future. Today, the Commerce and Treasury Departments are
taking coordinated actions to implement this policy.
    The President's announcement necessitates changes to the EAR
related to exports and reexports to promote more effectively positive
change in Cuba, consistent with U.S. support for the Cuban people and
in line with U.S. national security interests. This rule implements
those changes by adding license exceptions and revising licensing
policy as appropriate.
    This rule enables the export and reexport to Cuba of items intended
to empower the nascent Cuban private sector by supporting private
economic activity. Items include building materials for use by the
private sector to construct or renovate privately-owned buildings
including privately-owned residences, businesses, places of worship and
buildings for private sector social or recreational use; goods for use
by private sector entrepreneurs such as auto mechanics, barbers and
hairstylists and restaurateurs; and tools and equipment for private
sector agricultural activity. It is intended to facilitate Cuban
citizens' lower-priced access to certain goods to improve their living
standards and gain greater economic independence from the state. It
also enables the export and reexport to Cuba of items to further
support civil society in Cuba.
    Additionally, this rule enables the export to Cuba of certain items
intended to contribute to the ability of the Cuban people to
communicate with one another and with people in the United States and
the rest of the world. Those exports include commercial sales of items
for the establishment and upgrade of communications-related systems as
well as certain consumer communications devices, related software,
applications, and hardware. Such exports are consistent with Department
of Commerce authorities including with Section 1705(e) of the Cuban
Democracy Act (22 U.S.C. 6004(e)), which authorizes export of
``[t]elecommunications facilities . . . in such quantity and of such
quality as may be necessary to provide efficient and adequate
telecommunications services between the United States and Cuba.''
    This rule also enables more donations to the Cuban people by
simplifying the process to export and reexport gift parcels to Cuba.
Lastly, this rule establishes licensing policy relating to
environmental protection and makes technical and conforming changes to
the EAR.
    The Department of the Treasury's Office of Foreign Assets Control
(OFAC) is also making changes to its regulations to implement the
President's December 17, 2014, policy announcement.

Specific Changes Made by This Rule

Creation of License Exception Support for the Cuban People (SCP)

    This rule creates a new Sec.  740.21 of the EAR--License Exception
Support for the Cuban People (SCP). Prior to publication of this rule,
the export or reexport to Cuba of items now eligible under this new
license exception generally required a license from BIS.
    To support improved living conditions and support independent
economic activity in Cuba, License Exception SCP authorizes the export
and reexport of commercially sold or donated:
     Building materials, equipment, and tools for use by the
private sector to construct or renovate privately-owned

buildings, including privately-owned residences, businesses, places of
worship and buildings for private sector social or recreational use;
     Tools and equipment for private sector agricultural
activity; and
     Tools, equipment, supplies, and instruments for use by
private sector entrepreneurs. Note that this provision will, for
example, allow the export of such items to private sector
entrepreneurs, such as auto mechanics, barbers and hairstylists and
restaurateurs.
    Items eligible for export and reexport to Cuba pursuant to this
portion of License Exception SCP are limited to those designated as
EAR99 (i.e., items subject to the EAR but not specified in any Export
Control Classification Number (ECCN)) or controlled on the Commerce
Control List (CCL) only for anti-terrorism reasons.
    To strengthen civil society in Cuba, License Exception SCP
authorizes the export and reexport to Cuba of certain donated items for
use in scientific, archaeological, cultural, ecological, educational,
historic preservation, or sporting activities. The activities may not
relate to the development, production, use, operation, installation,
maintenance, repair, overhaul or refurbishing of any item enumerated or
otherwise described on the United States Munitions List (22 CFR part
121) or on the Commerce Control List (Supplement No. 1 to part 774 of
the EAR) unless the only reason for control that applies to that item
as set forth in the ECCN that controls that item is anti-terrorism.
    Additionally, License Exception SCP authorizes the temporary export
of certain items by persons departing the United States for their use
in scientific, archeological, cultural, ecological, educational,
historic preservation, or sporting activities or for their use in their
professional research. The activities or research may not relate to the
development, production, use, operation, installation, maintenance,
repair, overhaul or refurbishing of any item enumerated or otherwise
described on the United States Munitions List (22 CFR part 121) or on
the Commerce Control List (Supplement No. 1 to part 774 of the EAR)
unless the only reason for control that applies to that item as set
forth in the ECCN that controls that item is anti-terrorism. The
research must be directly related to the traveler's profession,
professional background or area of expertise, including area of
graduate-level full-time study. Items authorized for temporary export
must be returned to the United States within two years unless consumed
in Cuba, or the exporter has applied for and obtained, prior to the
expiration of the two year period, a license from BIS authorizing the
items to remain in Cuba longer than two years.
    License Exception SCP also authorizes the export and reexport to
Cuba of certain items to human rights organizations, individuals, or
non-governmental organizations that promote independent activity
intended to strengthen civil society. Items eligible for the civil
society portion of License Exception SCP are limited to those
designated as EAR99 or items on the CCL for which the only reason for
control is anti-terrorism.
    To improve the free flow of information to, from, and among the
Cuban people, License Exception SCP authorizes the export and reexport
to Cuba of certain items for telecommunications, including access to
the Internet, use of Internet services, infrastructure creation and
upgrades. Lastly, License Exception SCP authorizes the export and
reexport to Cuba of certain items for use by news media personnel and
U.S. news bureaus engaged in the gathering and dissemination of news to
the general public. Items eligible for export and reexport to Cuba
pursuant to this portion of the license exception SCP are limited to
those designated as EAR99 or controlled on the CCL only for anti-
terrorism reasons.

Expansion of License Exception Consumer Communications Devices (CCD)

    This rule revises License Exception Consumer Communications Devices
(CCD) in Sec.  740.19 of the EAR to remove the donation requirement and
update the list of eligible items. License Exception CCD was created in
2009 at the direction of the President to help enhance the free flow of
information to and from Cuba (74 FR 45985, September 8, 2009). This
license exception authorizes export and reexport of consumer
communications devices (commodities such as computers, communications
equipment and related items, including personal computers, mobile
phones, televisions, radios and digital cameras) that are widely
available for retail purchase and that are commonly used to exchange
information and facilitate interpersonal communications, as well as
certain telecommunications and information security-related software.
Prior to publication of this rule, License Exception CCD authorized the
export or reexport only of donated items, which limited the incentive
to send these items to Cuba. This rule removes the donation requirement
in License Exception CCD, thereby allowing export or reexport of
eligible items for commercial sale or donation to eligible recipients
in Cuba.
    This rule makes several minor technical revisions to some of those
paragraphs in order to track more precisely current technical
specifications for certain items and to state explicitly that some
items must be consumer items to be eligible for this license exception.
    This rule revises the references to ECCN 5A992 in CCD paragraphs
(b)(5)--monitors, (b)(6)--printers, (b)(7)--modems, (b)(10)--mobile
phones and related items, (b)(11)--memory devices, and (b)(12)--
information security, to read ECCN 5A992.c. Paragraph .c refers to
``commodities'' regarding which ``BIS has received an encryption
registration or that have been classified as mass market encryption
commodities in accordance with Sec.  742.15(b) of the EAR.'' The
inclusion of this paragraph more precisely describes the devices listed
in those CCD paragraphs that are eligible for this license exception.
    This rule adds a reference to ECCN 5A992.c to paragraph (b)(1)
because most modern personal computers generally would be classified
under that ECCN due to their encryption capability. This rule also
removes the reference to 0.02 weighted teraflops from paragraph (b)(1)
because virtually all personal computers manufactured currently have a
higher adjusted peak performance level than 0.02 weighted teraflops.
    This rule adds a reference to ECCN 5A991.b.4 to paragraph (b)(7)
because certain modems that are widely used in consumer communications
(e.g., DSL and ADSL modems) would be classified under ECCN 5A991.b.4.
    This rule revises the reference to ECCN 5D992 to read 5D992.c in
CCD paragraphs (b)(12)--information security and (b)(17)--software for
items in paragraphs (b)(1) through (b)(16). The inclusion of paragraph
.c, which covers ```[s]oftware''' for which ``BIS has received an
encryption registration or that have been classified as mass market
encryption software in accordance with Sec.  742.15(b) of the EAR,''
more precisely describes the mass market devices listed in those CCD
paragraphs that are eligible for this license exception.
    The other provisions of the license exception remain unchanged.

Expansion of License Exception Gift Parcels and Humanitarian Donations
(GFT)

    This rule revises License Exception Gift Parcels and Humanitarian
Donations (GFT) in Sec.  740.12 of the EAR

to remove the note that excludes from eligibility consolidated
shipments of multiple parcels for delivery to individuals residing in a
foreign country. Due to this note, parties exporting multiple gift
parcels in a single shipment have been required to obtain individual
validated licenses. Although the requirement is not limited to Cuba, in
recent years BIS has received gift parcel consolidation license
applications only for Cuba, which are routinely approved. Individuals
who wish to send gift parcels to Cuba have had to search for parties
that have received consolidation licenses, resulting in an unintended
disincentive to donate eligible items to the Cuban people. Removing the
note allows export and reexport of multiple gift parcels in a single
shipment pursuant to License Exception GFT. All the other terms and
conditions of the license exception remain unchanged.

New Licensing Policy for Environmental Protection

    This rule amends the licensing policy for Cuba in Sec.  746.2 of
the EAR to add a general policy of approval for exports and reexports
of items necessary for the environmental protection of U.S. and
international air quality, waters, and coastlines (including items
related to renewable energy or energy efficiency). Because
environmental threats are not limited by national borders,
circumstances may warrant the export and reexport of certain items to
Cuba to protect U.S. national interests or international interests.
Although the existing Cuba licensing policy in the EAR includes the
flexibility to authorize environmental protection-related transactions,
this revision notifies the public of the U.S. policy interest in
considering applications for such authorizations.

Technical and Conforming Changes

    This rule removes from the EAR General Order No. 4 in Supplement
No. 1 to Part 736, Sec.  748.8(d), and paragraph (d) of Supplement No.
2 to Part 748. Those three provisions addressed aspects of licenses or
license applications for consolidated shipments of gift parcels that
individually were eligible for License Exception GFT. Because this rule
makes the consolidated shipments eligible for the same license
exception that applies to the individual gift parcels, the consolidated
shipment licenses and the information in General Order No. 4, Sec.
748.8(d) and Supplement No. 2 to Part 748 paragraph (d) are no longer
needed.
    Section 746.2(b) addresses licensing policy for Cuba. This rule
revises text in Sec.  746.2(b)(2) and (b)(4) to account for
transactions that are now eligible for new License Exception SCP.
    This rule adds new License Exception SCP to the list of available
License Exceptions for Cuba in Sec.  746.2 of the EAR.

Export Administration Act

    Although the Export Administration Act expired on August 20, 2001,
the President, through Executive Order 13222 of August 17, 2001, 3 CFR,
2001 Comp., p. 783 (2002), as amended by Executive Order 13637 of March
8, 2013, 78 FR 16129 (March 13, 2013), and as extended by the Notice of
August 7, 2014, 79 FR 46959 (August 11, 2014), has continued the Export
Administration Regulations in effect under the International Emergency
Economic Powers Act. BIS continues to carry out the provisions of the
Export Administration Act, as appropriate and to the extent permitted
by law, pursuant to Executive Order 13222 as amended by Executive Order
13637.

Rulemaking Requirements

    1. Executive Orders 13563 and 12866 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). Executive
Order 13563 emphasizes the importance of quantifying both costs and
benefits, of reducing costs, of harmonizing rules, and of promoting
flexibility. This rule has been designated a ``significant regulatory
action,'' although not economically significant, under section 3(f) of
Executive Order 12866. Accordingly, the rule has been reviewed by the
Office of Management and Budget (OMB).
    2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.) (PRA), unless that collection of information displays a currently
valid Office of Management and Budget (OMB) control number. This rule
involves a collection of information approved under OMB control number
0694-0088--Simplified Network Application Processing+ System (SNAP+)
and the Multipurpose Export License Application, which carries an
annual estimated burden of 31,833 hours. BIS believes that this rule
will have no material impact on that burden. To the extent that it has
any impact, this rule could impact the burden in two ways. First, this
rule might reduce the burden because it makes some transactions that
would otherwise require a license eligible for a license exception.
Second, although this rule does not impose any new license
requirements, it creates less restrictive licensing policies (i.e., the
policies under which the decision to approve or deny a license
application is made) for exports and reexports for environmental
protection. These less restrictive policies might increase the number
of license applications submitted to BIS because applicants might be
more optimistic about obtaining approval. BIS believes that reduction
in the number of license applications resulting from increased license
exception availability is likely to more than offset any increase in
the number of license applications resulting from less restrictive
licensing policy because the former involves a large number of small
transactions whereas the less restrictive license policy impacts a
smaller number of larger value transactions. Moreover, the benefit to
license applicants in the form of greater likelihood of approval
justifies any additional burden.
    Send comments regarding this burden estimate or any other aspect of
this collection of information, including suggestions for reducing the
burden, to Jasmeet K. Seehra, Office of Management and Budget, by email
at<EMAIL_ADDRESS>or by fax to<PHONE_NUMBER> and to William Arvin
at<EMAIL_ADDRESS>    3. This rule does not contain policies with Federalism implications
as that term is defined under Executive Order 13132.
    4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military or foreign affairs function
of the United States (See 5 U.S.C. 553(a)(1)). This rule is a part of a
foreign policy initiative to change the nature of the relationship
between Cuba and the United States announced by the President on
December 17, 2014. Delay in implementing of this rule to obtain public
comment would undermine the foreign policy objectives that the rule is
intended to implement. Further, no other law requires that a notice of
proposed rulemaking and an opportunity for public comment be given for
this rule. Because a notice of proposed rulemaking and an opportunity
for public comment are not

required to be given for this rule under 5 U.S.C. 553, or by any other
law, the requirements of the Regulatory Flexibility Act (5 U.S.C. 601
et seq.) are not applicable.

List of Subjects

15 CFR Part 736

    Exports.

15 CFR Parts 740 and 748

    Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.

15 CFR Part 746

    Exports, Reporting and recordkeeping requirements.

    For the reasons set forth in the preamble, 15 CFR Chapter VII,
Subchapter C is amended as follows:

PART 736--[AMENDED]

0
1. The authority citation for 15 CFR part 736 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 2151 note; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p.
950; E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp., p. 219; E.O. 13026,
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3
CFR, 2001 Comp., p. 783; E.O. 13338, 69 FR 26751, 3 CFR, 2004 Comp.,
p. 168; Notice of May 7, 2014, 79 FR 26589 (May 9, 2014); Notice of
August 7, 2014, 79 FR 46959 (August 11, 2014); Notice of November 7,
2014, 79 FR 67035 (November 12, 2014).

Supplement No. 1 to Part 736--[Amended]

0
2. In Supplement No. 1 to Part 736, paragraph (d) General Order No. 4
is removed and reserved.

PART 740--[AMENDED]

0
3. The authority citation for 15 CFR part 740 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 7201 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp.,
p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice
of August 7, 2014, 79 FR 46959 (August 11, 2014).

Sec.  740.12--[Amended]

0
4. Section 740.12 is amended by removing the note to paragraph (a).

0
5. Section 740.19 is amended by:
0
a. Revising paragraph (a);
0
b. Revising paragraph (b);
0
c. Removing paragraph (c); and
0
d. Redesignating paragraph (d) as paragraph (c).
    The revisions read as follows:

Sec.  740.19  Consumer Communications Devices (CCD).

    (a) Authorization. This License Exception authorizes the export or
reexport of commodities and software, either sold or donated, as
described in paragraph (b) to Cuba subject to the conditions in
paragraph (c) of this section. This section does not authorize U.S.-
owned or -controlled entities in third countries to engage in reexports
of foreign-produced commodities to Cuba for which no license would be
issued by the Treasury Department pursuant to 31 CFR 515.559. Cuba is
the only eligible destination under this License Exception.
    (b) Eligible Commodities and Software. Commodities and software
eligible for export or reexport under this section are:
    (1) Consumer computers designated EAR99 or classified under Export
Control Classification Numbers (ECCN) 5A992.c or 4A994.b;
    (2) Consumer disk drives and solid state storage equipment
classified under ECCN 5A992 or designated EAR99;
    (3) Input/output control units (other than industrial controllers
designed for chemical processing) designated EAR99;
    (4) Graphics accelerators and graphics coprocessors designated
EAR99;
    (5) Monitors classified under ECCN 5A992.c or designated EAR99;
    (6) Printers classified under ECCN 5A992.c or designated EAR99;
    (7) Modems classified under ECCNs 5A991.b.2, 5A991.b.4., or 5A992.c
or designated EAR99;
    (8) Network access controllers and communications channel
controllers classified under ECCN 5A991.b.4 or designated EAR99;
    (9) Keyboards, mice and similar devices designated EAR99;
    (10) Mobile phones, including cellular and satellite telephones,
personal digital assistants, and subscriber information module (SIM)
cards and similar devices classified under ECCNs 5A992.c or 5A991 or
designated EAR99;
    (11) Memory devices classified under ECCN 5A992.c or designated
EAR99;
    (12) Consumer ``information security'' equipment, ``software''
(except ``encryption source code'') and peripherals classified under
ECCNs 5A992.c or 5D992.c or designated EAR99;
    (13) Digital cameras and memory cards classified under ECCN 5A992
or designated EAR99;
    (14) Television and radio receivers classified under ECCN 5A992 or
designated EAR99;
    (15) Recording devices classified under ECCN 5A992 or designated
EAR99;
    (16) Batteries, chargers, carrying cases and accessories for the
equipment described in this paragraph that are designated EAR99; and
    (17) Consumer ``software'' (except ``encryption source code'')
classified under ECCNs 4D994, 5D991 or 5D992.c or designated EAR99 to
be used for equipment described in paragraphs (b)(1) through (b)(16) of
this section.
* * * * *

0
6. Section 740.21 is added to read as follows:

Sec.  740.21  Support for the Cuban People (SCP).

    (a) Introduction. This License Exception authorizes certain exports
and reexports to Cuba that are intended to support the Cuban people by
improving their living conditions and supporting independent economic
activity; strengthening civil society in Cuba; and improving the free
flow of information to, from, and among the Cuban people.
    (b) Improving living conditions and supporting independent economic
activity. This paragraph authorizes the export or reexport to Cuba of
items designated as EAR99, or controlled on the Commerce Control List
(CCL) (Supplement No. 1 to Part 774 of the EAR) only for anti-terrorism
reasons (i.e., anti-terrorism must be the only reason for control that
applies to the item as set forth in the Export Control Classification
Number (ECCN) that controls the item). If any other reason for control
applies to the item, it is not authorized for export or reexport by
this paragraph. The item may be either for commercial sale or donated.
The item must be within one or more of the following categories:
    (1) Building materials, equipment, and tools for use by the private
sector to construct or renovate privately-owned buildings, including
privately-owned residences, businesses, places of worship and buildings
for private sector social or recreational use;
    (2) Tools and equipment for private sector agricultural activity;
or
    (3) Tools, equipment, supplies, and instruments for use by private
sector entrepreneurs.
    (c) Strengthening civil society. This paragraph authorizes the
export or reexport to Cuba of certain items for use in specified
activities that can strengthen civil society. The items authorized
pursuant this paragraph are limited to those designated as EAR99 or
controlled only for anti-terrorism reasons on the CCL (i.e., anti-
terrorism must be the only reason for control that applies to the item
as set forth in the ECCN that controls the item). If any

other reason for control applies to the item, it is not authorized for
export or reexport by this paragraph. The export or reexport must be
within one or more of the following categories:
    (1) The export or reexport to Cuba of donated items for use in
scientific, archaeological, cultural, ecological, educational, historic
preservation, or sporting activities. The activities may not relate to
the ``development,'' ``production,'' ``use,'' operation, installation,
maintenance, repair, overhaul or refurbishing of any item enumerated or
otherwise described on the United States Munitions List (22 CFR part
121) or of any item enumerated or otherwise described on the Commerce
Control List (Supplement No. 1 to Part 774 of the EAR) unless the only
reason for control that applies to that item as set forth in the ECCN
that controls that item is anti-terrorism.
    (2) The temporary export to Cuba of items by persons departing the
United States for their use in scientific, archeological, cultural,
ecological, educational, historic preservation, or sporting activities,
or for their use in the traveler's professional research. The following
limitations shall apply:
    (i) The research must be directly related to traveler's profession,
professional background or area of expertise, including area of
graduate-level full-time study.
    (ii) The activities or research may not relate to the
``development,'' ``production,'' ``use,'' operation, installation,
maintenance, repair, overhaul or refurbishing of any item enumerated or
otherwise described on the United States Munitions List (22 CFR part
121) or of any item enumerated or otherwise described on the Commerce
Control List (Supplement No. 1 to Part 774 of the EAR) unless the only
reason for control that applies to that item as set forth in the ECCN
that controls that item is anti-terrorism.
    (iii) Items authorized for temporary export by this paragraph must
be returned to the United States within two years of the date of export
from the United States unless:
    (A) The items are consumed in Cuba; or
    (B) The exporter applies for and receives a license from BIS, prior
to the expiration of the two year period, authorizing the items to
remain in Cuba for longer than two years.
    (iv) Paragraph (c)(2) of this section does not authorize exports
if, at the time of the export, the exporter has ``knowledge'' that the
item exported will remain in Cuba for more than two years.
    (3) The export or reexport to Cuba of items to human rights
organizations, individuals or non-governmental organizations that
promote independent activity intended to strengthen civil society.
    (d) Improving communications. This paragraph authorizes the export
or reexport to Cuba of certain items intended to improve the free flow
of information to, from, and among the Cuban people. The items
authorized pursuant to this paragraph are limited to those designated
as EAR99 or controlled only for anti-terrorism reasons on the CCL
(i.e., anti-terrorism must be the only reason for control that applies
to the item as set forth in the ECCN that controls the item). If any
other reason for control applies to the item, it is not authorized for
export or reexport by this paragraph. The export or reexport must be
within one or more of the following categories:
    (1) The export or reexport to Cuba of items, either sold or
donated, for telecommunications, including access to the Internet, use
of Internet services, infrastructure creation and upgrades.
    (2) The export or reexport to Cuba of items for use by news media
personnel engaged in the gathering and dissemination of news to the
general public and who are:
    (i) Regularly employed as journalists by a news reporting
organization;
    (ii) Regularly employed as supporting broadcast or technical
personnel;
    (iii) Freelance journalists with a record of previous journalistic
experience working on a freelance journalistic project; or
    (iv) Broadcast or technical personnel with a record of previous
broadcast or technical experience who are supporting a freelance
journalist working on a freelance journalistic project.
    (3) The export or reexport to Cuba of items for use by U.S. news
bureaus engaged in the gathering and dissemination of news to the
general public.

PART 746--[AMENDED]

0
7. The authority citation for 15 CFR part 746 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 287c; Sec 1503, Pub. L. 108-11, 117 Stat. 559; 22 U.S.C.
6004; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 12854, 58 FR
36587, 3 CFR, 1993 Comp., p. 614; E.O. 12918, 59 FR 28205, 3 CFR,
1994 Comp., p. 899; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p.
783; E.O. 13338, 69 FR 26751, 3 CFR, 2004 Comp., p 168; Presidential
Determination 2003-23 of May 7, 2003, 68 FR 26459, May 16, 2003;
Presidential Determination 2007-7 of December 7, 2006, 72 FR 1899
(January 16, 2007); Notice of May 7, 2014, 79 FR 26589 (May 9,
2014); Notice of August 7, 2014, 79 FR 46959 (August 11, 2014).

0
8. Section 746.2 is amended by:
0
a. Adding a paragraph (a)(1)(xiv);
0
b. Revising paragraph (b)(2);
0
c. Revising paragraph (b)(4)(i);
0
d. Revising paragraph (b)(4)(ii); and
0
e. Adding a paragraph (b)(6) to read as follows:

Sec.  746.2  Cuba.

    (a) * * *
    (1) * * *
    (xiv) License Exception Support for the Cuban People (SCP) (see
Sec.  740.21 of the EAR).
* * * * *
    (b) * * *
    (2) Telecommunications items may be authorized for export or
reexport to Cuba on a case-by-case basis.
* * * * *
    (4) * * *
    (i) Applications for licenses for exports of certain commodities
and software may be approved to human rights organizations, or to
individuals and non-governmental organizations that promote independent
activity intended to strengthen civil society in Cuba when such exports
do not give rise to U.S. national security or counter-terrorism
concerns. Applicants may donate or sell the commodities or software to
be exported. Reexport to other end-users or end-uses is not authorized.
    (ii) Commodities and software may be approved for export to U.S.
news bureaus in Cuba whose primary purpose is the gathering and
dissemination of news to the general public.
* * * * *
    (6) Applications for exports or reexports of items necessary for
the environmental protection of U.S. and international air quality,
waters, or coastlines (including items related to renewable energy or
energy efficiency) will generally be approved.
* * * * *

PART 748--[AMENDED]

0
7. The authority citation for 15 CFR part 748 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66
FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 7, 2014, 79 FR
46959 (August 11, 2014).

Sec.  748.8--[Amended]

0
8. In Sec.  748.8, remove and reserve paragraph (d).

Supplement No. 2 to Part 748--[Amended]

0
9. In Supplement No. 2 to part 748, remove and reserve paragraph (d).

    Dated: January 12, 2015.
Penny Pritzker,
Secretary of Commerce.
[FR Doc. 2015-00590 Filed 1-15-15; 8:45 am]
BILLING CODE 3510-33-P


[Federal Register Volume 81, Number 69 (Monday, April 11, 2016)]
[Notices]
[Pages 21430-21433]
[FR Doc No: 2016-08178]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-77516; File No. SR-NYSEArca-2016-15]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule
6.67(c) by Revising the Clearing Member Requirements for Entering an
Order Into the Electronic Order Capture System (``EOC'')

April 5, 2016.
    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 March 22, 2016, NYSE Arca, Inc. (the ``Exchange'' or
``NYSE Arca'') 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 self-regulatory
organization. On March 30, 2016, the Exchange filed Amendment No. 1 to
the proposed rule change. The Commission is publishing this notice to
solicit comments on the proposed rule change, as modified by Amendment
No. 1, from interested persons.
---------------------------------------------------------------------------

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

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

    The Exchange proposes to amend Rule 6.67(c) by revising the
requirements for entering an order into the Electronic Order Capture
System (``EOC''). The proposed rule change is available on the
Exchange's Web site 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
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to amend Exchange Rule 6.67(c) by revising
the requirements for entering an order into the EOC. Specifically, the
Exchange proposes to eliminate the pre-trade EOC requirement that OTP
Holders or OTP Firms (each an ``OTP''; collectively, ``OTPs'') give up
the name of the Clearing Member \4\ responsible for clearing each trade
before representing a trade in open outcry.\5\
---------------------------------------------------------------------------

    \4\ Rule 6.1(3) defines ``Clearing Member'' as an Exchange OTP
which has been admitted to membership in the Options Clearing
Corporation pursuant to the provisions of the Rules of the Options
Clearing Corporation.
    \5\ In Amendment No. 1, the Exchange clarified that it is
proposing to amend the timing in which Clearing Member information
will be entered into the EOC. More specifically, the Exchange noted
that Rule 6.67(c) requires the other items included in Rule 6.68(a),
including the ``CMTA Information and the name of the clearing OTP
Holder or Firm,'' to be included in the EOC ``as the events occur
and/or during trade reporting procedures which may occur after the
representation and execution of the order.''
---------------------------------------------------------------------------

    The EOC is the Exchange's floor-based electronic audit trail and
order tracking system that provides an accurate time-sequenced record
of all orders and transactions entered and executed on the floor of the
Exchange.\6\ This process, commonly referred to as the
``systemization'' of an order, is composed of the contractual terms of
an order that are required to be disclosed in order to effect a trade.
The EOC was developed to comply with an order of the Commission, which
required that the Exchange, in coordination with other exchanges,
``design and implement a consolidated options audit trail system
(`COATS'),'' that would ``enable the options exchanges to reconstruct
markets promptly, effectively surveil them and enforce order handling,
firm quote, trade reporting and other rules.'' \7\ In particular, the
Exchange was required incorporate into the audit trail all non-
electronic orders ``such that the audit trail provides an accurate,
time-sequenced record of electronic and other orders, quotations and
transactions on such respondent exchange, beginning with the receipt of
an order by such respondent exchange and further documenting the life
of the order through the process of execution, partial execution, or
cancellation of that order, which audit trail shall be readily
retrievable in the common computer format.'' \8\
---------------------------------------------------------------------------

    \6\ This system includes the electronic communications interface
between booth terminals and the Floor Broker work stations.
    \7\ See Section IV.B.e.(v) of the Commission's Order Instituting
Public Administrative Proceedings Pursuant to Sections 19(h)(1) of
the Securities Exchange Act of 1934, Making Findings and Imposing
Remedial Sanctions (the ``Order''). See Securities Exchange Act
Release No. 43268 (September 11, 2000) and Administrative Proceeding
File No. 3-10282.
    \8\ See id.
---------------------------------------------------------------------------

    Current Rule 6.67(c) sets forth the EOC entry requirements and
mandates that every OTP that receives an order for execution on the
Exchange ``must immediately, prior to representation in the trading
crowd, record the details of the order (including any modification of
the terms of the order or cancellation of the order) into the EOC,
unless such order has been entered into the Exchange's other electronic
order processing facilities (e.g., orders sent electronically through
the Exchange's Member Firm Interface).'' \9\ Among other pre-trade EOC
requirements under current Rule 6.67(c)(1), every OTP must provide
``the name of the clearing OTP Holder or OTP Firm'' (the ``Give Up
Requirement'').\10\ Rule 6.67(c)(1) also provides that ``[t]he
remaining elements prescribed in Rule 6.68(a) and any additional
information with respect to the order shall be recorded as the events
occur and/or during trade reporting procedures which may occur after
the representation and execution of the order.'' \11\
---------------------------------------------------------------------------

    \9\ See Rule 6.67(c).
    \10\ See Rule 6.67(c)(1)(vii). Rule 6.67(c)(1) also requires the
following data points to be entered upon receipt of an order: (i)
The option symbol; (ii) the expiration date of the option; (iii) the
exercise price; (iv) buy or sell with applicable limit or stop price
or special instructions; (v) call or put; (vi) the quantity of
contracts; as well as such other information as may be required by
the Exchange from time to time. Rule 6.67(c)(1) also provides that
the Exchange may also require additional information if needed and
provides that the remaining data elements prescribed in Rule 6.68
[see infra n. 10] are to be recorded as the events occur and/or
during trade reporting procedures. The Exchange proposes to add the
words ``in the EOC'' to Rule 6.67(c)(1) to make clear where the
additional information would be recorded. See proposed Rule
6.67(c)(1).
    \11\ See Rule 6.67(c)(1). The Exchange notes that one such
element prescribed in Rule 6.68(a) to be recorded by each OTP is
``CMTA Information and the name of the clearing OTP Holder or
Firm,'' and therefore, per Rule 6.67(c)(1), this information would
still be disclosed ``as the events occur and/or during trade
reporting procedures which may occur after the representation and
execution of the order.'' Id. See also Rule 6.68(a) (Record of
Orders) (requiring that OTP Holders and OTP Firms maintain a record
of each order that includes that the following data elements: (1)
CMTA Information and the name of the clearing OTP Holder or Firm;
(2) options symbol, expiration month, exercise price and type of
options; (3) side of the market and order type; (4) quantity of
options; (5) limit or stop price or special conditions; (6) opening
or closing transaction; (7) time in force; (8) account origin code;
and (9) whether the order was solicited or unsolicited.) See also
Rule 6.69 (Reporting Duties), infra n. 12.
---------------------------------------------------------------------------

    Pursuant to the proposed rule change, OTPs would no longer be
subject to the pre-trade Give Up Requirement. Floor Brokers have told
the Exchange that the identity of the firm through which each trade
will clear is not always initially provided when an order is presented
and that waiting to receive this information and enter it into EOC can
delay the representation and execution of an order. In today's trading
environment of rapidly moving markets and the need to execute an order
and hedge a trade in real or near real time, even a slight delay can
prove to be detrimental to the handling of an order. The proposed
change to eliminate the Give Up Requirement prior to execution of each
trade would not impair the Exchange's ability to comply with the Order.
Specifically, the EOC would still provide an accurate, time-sequenced
record beginning with the receipt of an order and document the life of
the order through the process of execution, partial execution, or
cancellation. Entry of information pursuant to the Give Up Requirement
would occur after the order had been represented and executed in the
Trading Crowd.\12\ Thus, only the timing of the disclosure of such
information would be affected by this proposal.
---------------------------------------------------------------------------

    \12\ See id.; see also Commentary .01 to Rule 6.69 (providing
that for each transaction executed on the Options Floor, the
responsible OTP Holder or OTP Firm will immediately report, among
other information, both its assigned broker initial code and the
name of the contra clearing member).
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    The Exchange notes that, similar to a filing it submitted in
2013,\13\ the proposed rule change relates only to the system entry
requirements for floor-based orders and would not change rules
governing the record of orders (Rule 6.68). Floor Brokers would

continue to be required to maintain proper order records, as part of
each trade record, including the identity of the clearing OTP Holder or
Firm.\14\ In that regard, Floor Brokers would continue to be required
to give up the responsible Clearing Member on each trade as part of
each trade record.\15\
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    \13\ See Securities and Exchange Act Release 69080 (March 8,
2013), 78 FR 16329, 16330 (March 14, 2013) (SR-NYSEArca-2013-21)
(noting that ``[b]ecause the CMTA information, the opening/closing
designation, the account origin code, the time if force and whether
an order was solicited or unsolicited are not contractual terms of a
trade itself nor are they required data elements pursuant to the
Exchange's order format requirements, the Exchange does not believe
this information needs to be entered into the EOC prior to an order
being represented in the Trading Crowd, but may be entered
contemporaneously upon the receipt of such information, even if that
occurs after the order had been represented and executed in the
Trading Crowd'').
    \14\ The Exchange notes that another exchange has made
modifications to its rules related to the Order. See Securities
Exchange Act Release No. 63071 (October 8, 2010), 75 FR 63876,
63877-78 (October 18, 2010) (SR-Phlx-2010-139) (immediately
effective filing to amend language related to the timing of the
entry of clearing information, noting in relevant part that ``[t]he
clearing information, which is the contra-side clearing information,
is not required to be entered pursuant to COATS. Rather, this
information facilitates the identification of the trade for
clearing.''). The Exchange notes that the Philadelphia Stock
Exchange proposed these changes to its rules without solicitation of
the exchanges that were subject to the Order, including the
Exchange. Accordingly, the Exchange believes that exchanges' changes
to their rules put in place to comply with the Order are
appropriately effected pursuant to the provisions of Section
19(b)(1) of the Act and Rule 19b-4 thereunder. See 15 U.S.C.
78s(b)(1); 17 CFR 240.19b-4.
    \15\ See supra nn. 11, 12. In addition, the Exchange notes that
this proposal would not change rules governing trade reporting
requirements (Rule 6.69) (i.e., that ``[t]ransactions not reported
to [the Options Pricing Reporting Authority] within 90 seconds after
the execution will be designated as `late,' '' per Rule 6.69(a)).
The Exchange also notes that last year it revised and detailed the
process in which an OTP ``gives up'' or selects a Clearing Member
responsible for the clearance of an Exchange transaction (the ``Give
Up Process''). See Securities and Exchange Act Release 75641 (August
7, 2015), 80 FR 48577 (August 13, 2015) (SR-NYSEArca-2015-65)
(revising the Exchange's Give Up Process through modifications to
Rules 6.15, 6.66 and 6.79).
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2. Statutory Basis
    The Exchange believes that the proposed change is consistent with
Section 6(b) of the Act,\16\ in general, and furthers the objectives of
Section 6(b)(5),\17\ 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 facilitation transactions
in securities, to remove impediments to, and perfect the mechanism of a
free and open market and, in general, to protect investors and the
public interest. Additionally, the Exchange believes the proposed rule
change is consistent with the Section 6(b)(5) \18\ requirement that the
rules of an exchange not be designed to permit unfair discrimination
between customers, issuers, brokers, or dealers.
---------------------------------------------------------------------------

    \16\ 15 U.S.C. 78f(b).
    \17\ 15 U.S.C. 78f(b)(5).
    \18\ Id.
---------------------------------------------------------------------------

    Specifically, the proposed change to order entry requirements for
the EOC (i.e., eliminating the pre-trade Give Up) is designed to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in facilitating transactions in
securities by ensuring that the terms of an order continue to be
properly systematized prior to the order being represented in the
Trading Crowd. The proposed change to eliminate the Give Up Requirement
prior to execution of each trade would not impair the Exchange's
ability to comply with the Order. Specifically, the EOC would still
provide an accurate, time-sequenced record of electronic and other
orders, quotations and transactions, beginning with the receipt of the
order and documenting the life of the order through the process of
execution, partial execution, or cancellation.\19\
---------------------------------------------------------------------------

    \19\ See supra n. 7.
---------------------------------------------------------------------------

    The proposal is also designed to prevent fraudulent and
manipulative acts and practices, by ensuring that the Exchange is
continues to meet its obligation to create and maintain a time-
sequenced record of orders, quotations and transactions on the
Exchange. This proposal does not alter--or, as stated above, impair,
the Exchange's obligation to incorporate into its audit trail all non-
electronic orders to provide an accurate, time-sequenced record of
electronic and other orders, quotations and transactions that documents
the life of the order from receipt through the execution, partial
execution, or cancellation.\20\ Moreover, the proposed change merely
removes the Give Up Requirement from pre-trade systemization, it does
not alter that give ups must be disclosed as part of the Give Up
Process and as part of trade reporting on the Exchange.\21\
Accordingly, nothing in this proposal would alter the Exchange's
obligations pursuant to, or ability to comply with, the Order. The
Exchange notes that it has previously modified the non-contractual data
elements required pursuant to Rule 6.67(c) (i.e., not mandated by the
Order).\22\
---------------------------------------------------------------------------

    \20\ Id.
    \21\ See supra nn. 11, 12, 15.
    \22\ See supra n. 13.
---------------------------------------------------------------------------

    Finally, the Exchange believes that the proposed change would
reduce the burden on Floor Brokers to enter order information prior to
representation which would, in turn, promote just and equitable
principles of trade and remove impediments to and perfect the mechanism
of a free and open market by reducing the delay in representation and
execution of an order on the Exchange.

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

    The Exchange does not believe that this proposed rule change would
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. The proposed rule change would
reduce the burden on Floor Brokers that have reported that the identity
of the firm through which each trade will clear is not always initially
provided when an order is presented and that waiting to receive this
information and enter it into EOC can delay the representation and
execution of an order. By reducing Floor Brokers' burden on order entry
compliance, the Exchange believes the proposal will improve the
competitiveness of Exchange Floor Brokers, by enabling more timely
executions of open outcry trades and promoting competition for order
flow among market participants and the options exchanges.

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

    Within 45 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the Exchange consents, the Commission shall: (a) By order approve
or disapprove such proposed rule change, or (b) institute proceedings
to determine whether the proposed rule change should be 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 No. SR-NYSEArca-2016-15 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 No. SR-NYSEArca-2016-15. 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 No. SR-NYSEArca-2016-15, and should be
submitted on or before May 2, 2016.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\23\
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    \23\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-08178 Filed 4-8-16; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 84, Number 42 (Monday, March 4, 2019)]
[Notices]
[Pages 7352-7353]
[FR Doc No: 2019-03738]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #2

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

    Docket Numbers: ER19-716-001.
    Applicants: PacifiCorp.

    Description: Tariff Amendment: ESM Construction Agreement--Milford
(update) to be effective 12/20/2018.
    Filed Date: 2/25/19.
    Accession Number: 20190225-5090.
    Comments Due: 5 p.m. ET 3/18/19.

    Docket Numbers: ER19-749-001.
    Applicants: PacifiCorp.
    Description: Tariff Amendment: ESM Construction Agreement--Sigurd
(update) to be effective 12/20/2018.
    Filed Date: 2/25/19.
    Accession Number: 20190225-5088.
    Comments Due: 5 p.m. ET 3/18/19.

    Docket Numbers: ER19-1115-000.
    Applicants: AEP Texas Inc.
    Description: Sec.  205(d) Rate Filing: AEPTX-Maverick County WC&ID
No.1 Interconnection Agreement 1st Amd & Restated to be effective 2/1/
2019.
    Filed Date: 2/25/19.
    Accession Number: 20190225-5065.
    Comments Due: 5 p.m. ET 3/18/19.

    Docket Numbers: ER19-1116-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Original WMPA, SA No. 5284;
Queue No. AD2-027 to be effective 1/26/2019.
    Filed Date: 2/25/19.
    Accession Number: 20190225-5071.
    Comments Due: 5 p.m. ET 3/18/19.

    Docket Numbers: ER19-1117-000.
    Applicants: Mirabito Power & Gas, LLC.
    Description: Baseline eTariff Filing: MPG_MBR initial_tariff to be
effective 3/1/2019.
    Filed Date: 2/25/19.
    Accession Number: 20190225-5073.
    Comments Due: 5 p.m. ET 3/18/19.

    Docket Numbers: ER19-1118-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: 2019-02-25_SA 3246
Certificate of Concurrence Entergy-Southern TIA to be effective 1/1/
2019.
    Filed Date: 2/25/19.
    Accession Number: 20190225-5085.
    Comments Due: 5 p.m. ET 3/18/19.

    Docket Numbers: ER19-1119-000.
    Applicants: Wheelabrator Ridge Energy Inc.
    Description: Tariff Cancellation: Notice of Cancellation to be
effective 2/26/2019.
    Filed Date: 2/25/19.
    Accession Number: 20190225-5091.
    Comments Due: 5 p.m. ET 3/18/19.

    Docket Numbers: ER19-1120-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Second Revised ISA No. 3064,
Queue No. W4-009/X4-005/AD1-113 to be effective 1/26/2019.
    Filed Date: 2/25/19.
    Accession Number: 20190225-5102.
    Comments Due: 5 p.m. ET 3/18/19.

    Docket Numbers: ER19-1121-000.
    Applicants: Wabash Valley Power Association, Inc., Midcontinent
Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: 2019-02-25_Rate Schedule
52_AMMO-ATXI-WVPA JPZ Revenue Allocation Agreement to be effective 6/1/
2019.
    Filed Date: 2/25/19.
    Accession Number: 20190225-5104.
    Comments Due: 5 p.m. ET 3/18/19.

    Docket Numbers: ER19-1122-000.
    Applicants: Midcontinent Independent System Operator, Inc., Wabash
Valley Power Association, Inc.
    Description: Sec.  205(d) Rate Filing: 2019-02-25_Revisions to Schs
7, 8, and 9 to add ATXI and WVPA to Zone 3B to be effective 6/1/2019.
    Filed Date: 2/25/19.
    Accession Number: 20190225-5105.
    Comments Due: 5 p.m. ET 3/18/19.

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

    Dated: February 25, 2019.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2019-03738 Filed 3-1-19; 8:45 am]
BILLING CODE 6717-01-P