[Federal Register Volume 77, Number 76 (Thursday, April 19, 2012)]
[Notices]
[Pages 23524-23527]
[FR Doc No: 2012-9405]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-66804; File No. SR-FINRA-2012-021]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to
Post-Trade Transparency for Agency Pass-Through Mortgage-Backed
Securities Traded in Specified Pool Transactions and SBA-Backed Asset-
Backed Securities Transactions

April 13, 2012.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that, on April 2, 2012, the Financial Industry Regulatory Authority,
Inc. (``FINRA'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as described in
Items I, II, and III below, which Items have been prepared by FINRA.
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.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA is proposing to amend the FINRA Rule 6700 Series and Trade
Reporting and Compliance Engine (``TRACE'') dissemination protocols
regarding the reporting and dissemination of transactions in TRACE-
Eligible Securities that are: (1) Agency Pass-Through Mortgage-Backed
Securities traded in Specified Pool Transactions (``MBS Specified Pool
transactions'') and (2) Asset-Backed Securities backed by loans
guaranteed as to principal and interest by the Small Business
Administration (``SBA-Backed ABS'') and traded either in Specified Pool
Transactions or to be announced (``TBA'') (collectively, ``SBA-Backed
ABS transactions'').\3\
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    \3\ The terms TRACE-Eligible Security, Agency Pass-Through
Mortgage-Backed Security, Specified Pool Transaction, Asset-Backed
Security and To Be Announced (``TBA'') are defined in, respectively,
Rule 6710(a), Rule 6710(v), Rule 6710(x), Rule 6710(m) and Rule
6710(u). The definition of SBA-Backed ABS is proposed in Rule
6710(bb).
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    The text of the proposed rule change is available on FINRA's Web
site at http://www.finra.org, at the principal office of FINRA and at
the Commission's Public Reference Room.\4\
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    \4\ The proposed rule text assumes the SEC approval of File No.
SR-FINRA-2012-020, which proposed amendments to the FINRA Rule 6700
Series to provide for the dissemination of transactions in TRACE-
Eligible Securities that are Agency Pass-Through Mortgage-Backed
Securities that are traded TBA (``MBS TBA transactions''), subject
to dissemination caps, and to reduce the reporting periods for such
transactions. See Securities Exchange Act Release No. 66577 (March
12, 2012), 77 FR 15827 (March 16, 2012) (Notice of Filing of File
No. SR-FINRA-2012-020) (``TBA proposal'').
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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, FINRA included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. FINRA has prepared summaries, set forth in sections A,
B, and C below, of the most significant aspects of such statements.

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

1. Purpose
    On March 1, 2012, FINRA filed the TBA proposal to provide for the
dissemination of MBS TBA transactions, subject to dissemination caps,
and concomitant reductions in the reporting periods for such
transactions.\5\ FINRA is proposing to further expand transparency in
the market for Asset-Backed Securities in this proposed rule change,
which provides for the dissemination of MBS Specified Pool and SBA-
Backed ABS transactions, subject to dissemination caps, and concomitant
reductions in the reporting periods for such transactions.
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    \5\ See supra note 4. The TBA proposal distinguished between MBS
TBA transactions for good delivery (``MBS TBA transactions GD'') and
not for good delivery (``MBS TBA transactions NGD''). In response to
comments, FINRA proposed a longer period to timely report, and lower
dissemination caps for, MBS TBA transactions NGD than the
requirements proposed for MBS TBA transactions GD.
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    FINRA proposes to amend Rule 6730 to reduce, in two stages, the
time frames to report MBS Specified Pool and SBA-Backed ABS
transactions. FINRA also proposes minor clarifying amendments to Rule
6730(a)(3)(D) and (E) to specify that the reporting requirements set
forth therein apply solely to MBS TBA transactions. In connection with
such changes, FINRA proposes amendments to the definitions of ``To Be
Announced (`TBA'),'' ``Specified Pool Transaction,'' and ``Agency Pass-
Through Mortgage-Backed Security'' and a new defined term, ``SBA-Backed
ABS.'' Finally, FINRA proposes to amend Rule 6750 to provide for the
dissemination of MBS Specified Pool and SBA-Backed ABS transactions,
and proposes to establish, as part of TRACE dissemination protocols, a
$10 million dissemination cap for such transactions.

MBS Specified Pool Transactions

    Generally, Agency Pass-Through Mortgage-Backed Securities are
traded either TBA or in Specified Pool Transactions as defined in Rule
6710(v) and (x), respectively. In MBS Specified Pool transactions, on
the date of trade (trade date), the seller agrees to deliver to the
buyer a specific security identifiable by a unique identification
number, which is backed by a specific pool (or pools) of mortgage
loans, or other Agency Pass-Through Mortgage-Backed Securities, or a
combination of such assets. MBS Specified Pool transactions differ from
MBS TBA transactions in that, on trade date, in an MBS TBA transaction,
the security to be delivered is described (e.g., program, interest
rate, type of residential mortgage, maturity) but is not specifically
identified (i.e., does not have a specific unique identification
number), and will not be identified until shortly before settlement.
While the majority of Agency Pass-Through Mortgage-Backed Securities
are traded TBA, the daily volume of MBS Specified Pool transactions
represents significant economic activity in mortgage-related
securities, and FINRA believes that additional transparency in such
securities is appropriate. The reported transaction data shows that MBS
Specified Pool transaction pricing is strongly correlated to the
pricing of the substantially larger market in MBS TBA transactions.
Moreover, the two market sectors exhibit similar trading
characteristics. For example, approximately 98 percent of the total
volume in MBS Specified Pool transactions occurs in securities backed
by single-family mortgage loans.

 Similarly, for MBS TBA transactions, approximately 95 percent of the
total volume occurs in securities backed by single-family mortgage
loans.\6\ Accordingly, the data sets are complimentary and the
dissemination of the additional pricing information for MBS Specified
Pool transactions will further improve transparency in the Agency Pass-
Through Mortgage-Backed Securities market.
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    \6\ Certain programs also dominate both market segments. For
example, over half of all transactions in MBS Specified Pool
transactions occur in Fannie Mae program securities, and
approximately 77 percent of all transactions in MBS TBA transactions
occur in Fannie Mae program securities. The data is based on FINRA
staff review of all Asset-Backed Securities traded during a six-
month period from May 16, 2011 through October 31, 2011.
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SBA-Backed ABS Transactions

    SBA-Backed ABSs are Asset-Backed Securities created from pooling
loans made to small business by banks and other financial institutions
in conformity with the program requirements of the Small Business
Administration (``SBA''). Loans that meet the SBA's requirements are
guaranteed by SBA as to the timely payment of principal and interest,
and pools are then created to issue SBA-Backed Asset-Backed Securities.
    SBA-Backed ABS also are traded TBA and in Specified Pool
Transactions.\7\ Like Agency Pass-Through Mortgage-Backed Securities
discussed above, such TBA trading may occur because market participants
may anticipate with some certainty the creation of loan pools and are
aware of the pool characteristics, and the extent to which such loan
pools are fungible with previously-settled SBA-Backed ABS. FINRA
proposes that both types of SBA-Backed ABS transactions be subject to
dissemination.
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    \7\ SBA-Backed ABS transactions traded in Specified Pool
Transactions account for 0.41 percent of the combined total volume
of all Specified Pool Transactions (which includes Agency Pass-
Through Mortgage Backed-Securities and SBA-Backed ABS traded in
Specified Pool Transactions).
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Amendments to Defined Terms

    FINRA proposes to define ``SBA-Backed ABS'' in proposed Rule
6710(bb) as an Asset-Backed Security issued in conformity with a
program of the Small Business Administration (SBA), for which the
timely payment of principal and interest is guaranteed by the SBA,
representing ownership interest in a pool (or pools) of loans and
structured to ``pass through'' the principal and interest payments made
by the borrowers in such loans to the holders of the security on a pro
rata basis.
    In connection with the proposed addition of the definition of SBA-
Backed ABS, FINRA also proposes amendments to the definitions of ``To
Be Announced (`TBA')'' and ``Specified Pool Transaction'' in Rule
6710(u) and Rule 6710(x), respectively. Both definitions currently
apply only to Agency Pass-Through Mortgage-Backed Securities. As
amended, both terms would include transactions in SBA-Backed ABS.\8\ In
addition, FINRA proposes amendments to the definition of ``Agency Pass-
Through Mortgage-Backed Security'' in Rule 6710(v) to incorporate
minor, technical changes to the defined term.\9\
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    \8\ As revised, Rule 6710(u) would provide:
    ``To Be Announced'' (``TBA'') means a transaction in an Agency
Pass-Through Mortgage-Backed Security as defined in paragraph (v) or
an SBA-Backed ABS as defined in paragraph (bb) where the parties
agree that the seller will deliver to the buyer a security(ies) of a
specified face amount and meeting certain other criteria but the
specific security(ies) to be delivered at settlement is not
specified at the Time of Execution, and includes TBA transactions
``for good delivery'' (``GD'') and TBA transactions ``not for good
delivery'' (``NGD'').
    As revised, Rule 6710(x) would provide:
    ``Specified Pool Transaction'' means a transaction in an Agency
Pass-Through Mortgage-Backed Security as defined in paragraph (v) or
an SBA-Backed ABS as defined in paragraph (bb) requiring the
delivery at settlement of a pool(s) that is identified by a unique
pool identification number at the Time of Execution.
    \9\ As revised, Rule 6710(v) would provide:
    ``Agency Pass-Through Mortgage-Backed Security'' means a type of
Asset-Backed Security issued in conformity with a program of an
Agency or a Government-Sponsored Enterprise (``GSE''), for which the
timely payment of principal and interest is guaranteed by the Agency
or GSE, representing ownership interest in a pool (or pools) of
mortgage loans, other Agency Pass-Through Mortgage-Backed
Securities, or a combination of such assets, and structured to
``pass through'' the principal and interest payments to the holders
of the security on a pro rata basis.
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Reduction of Reporting Period

    Currently, Asset-Backed Securities transactions (except certain
pre-issuance transactions in collateralized mortgage obligations
(``CMOs'') and real estate mortgage investment conduits (``REMICs''))
that are executed on a business day through 5:00 p.m. Eastern Time must
be reported to TRACE on the Trade Date during TRACE System Hours, as
provided in Rule 6730(a)(3)(A)(i), subject to the exceptions for
transactions executed after 5:00 p.m. and during times when the TRACE
System is not open in Rule 6730(a)(3)(A)(ii) and (iii). In contrast,
secondary market transactions in all other TRACE-Eligible Securities
must be reported within 15 minutes of the Time of Execution.\10\ With
certain exceptions, transaction information on such TRACE-Eligible
Securities is disseminated as soon as the transaction is reported, and
the 15-minute reporting requirement results in meaningful price
transparency for market participants trading such securities.\11\
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    \10\ The term Time of Execution is defined in Rule 6710(d).
    \11\ See Rule 6750(b) for exceptions to dissemination. See also
supra note 4 regarding the TBA proposal and proposed dissemination
of MBS TBA transactions.
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    As noted above, FINRA recently filed the TBA proposal, which is
pending before the SEC. In the TBA proposal, FINRA proposes that MBS
TBA transactions be disseminated, and, in connection with their
dissemination, also proposes to reduce the time frames for timely
reporting such transactions to provide market participants meaningful
and timely price information about MBS TBA transactions.\12\
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    \12\ See supra note 4. The TBA proposal, which was filed on
March 1, 2012, proposes that MBS TBA transactions GD be reported
generally within 45 minutes of the Time of Execution during a six-
month pilot program (reduced to 15 minutes after the pilot program
expires), and MBS TBA transactions NGD be reported within 120
minutes during a six-month pilot program (reduced to 60 minutes
after the pilot program expires). Both proposed reporting
requirements are subject to exceptions for transactions executed
close to the end of the business day or when the TRACE system is not
open.
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    In connection with proposing that MBS Specified Pool and SBA-Backed
ABS transactions be disseminated, FINRA proposes to reduce the
reporting time frames for such transactions for the same reasons. FINRA
also proposes that the reduction of the reporting time frames occur in
two stages to permit industry participants time to adjust policies and
procedures and to make required technological changes, as FINRA also
proposed in the TBA proposal.
    Proposed Rule 6730(a)(3)(F) and proposed Rule 6730(a)(3)(G),
respectively, set forth the requirements to report MBS Specified Pool
and SBA-Backed ABS transactions. First, FINRA proposes to reduce the
reporting period for MBS Specified Pool and SBA-Backed ABS transactions
from no later than the close of the TRACE system on Trade Date to no
later than two hours (i.e., 120 minutes) from the Time of Execution for
the duration of the proposed MBS Specified Pool Pilot Program and the
proposed SBA-Backed ABS Pilot Program in, respectively, proposed Rule
6730(a)(3)(F)(i) and proposed Rule 6730(a)(3)(G)(i).\13\ Like

the reporting requirements currently in effect for other TRACE-Eligible
Securities, FINRA also proposes exceptions to the 120-minute time frame
for transactions executed near the end of the business day or when the
TRACE system is not open.\14\ Second, after the pilot programs expire,
the reporting periods for MBS Specified Pool and SBA-Backed ABS
transactions would be reduced from no later than two hours (120
minutes) from the Time of Execution to no later than one hour (60
minutes) from the Time of Execution, as set forth in, respectively,
proposed Rule 6730(a)(3)(F)(ii) and proposed Rule
6730(a)(3)(G)(ii).\15\ Currently, 84 percent of MBS Specified Pool and
SBA-Backed ABS transactions are reported within two hours of execution,
and 75 percent are reported within one hour of execution.
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    \13\ Proposed Rule 6730(a)(3)(F)(i) and proposed Rule
6730(a)(3)(G)(i) each incorporate by reference Rule
6730(a)(3)(E)(i)a. through d., which provides for a 120-minute
reporting time frame in Rule 6730(a)(3)(E)(i)b.
    Each of the pilot programs would expire after approximately 180
days. To accommodate member requests that, if possible, rule changes
requiring technology changes occur on a Friday, proposed Rule
6730(a)(3)(F)(i) and proposed Rule 6730(a)(3)(G)(i) provide that the
MBS Specified Pool Pilot Program and the SBA-Backed ABS Pilot
Program each would expire on a Friday (i.e., on the 180th day, if a
Friday, or, if the 180th day is not a Friday, on the Friday next
occurring that the TRACE system is open).
    \14\ See proposed Rule 6730(a)(3)(F)(i) and proposed Rule
6730(a)(3)(G)(i), which incorporate by reference Rule
6730(a)(3)(E)(i)a., c. and d, which apply to transactions executed
near the end of the business day or when the TRACE system is not
open. Under Rule 6730(a)(3)(E)(i)a., transactions executed on a
business day at or after 12:00 a.m. Eastern Time through 7:59:59
a.m. Eastern Time must be reported the same day no later than 120
minutes after the TRACE system opens. Under Rule 6730(a)(3)(E)(i)c.,
transactions executed on a business day less than 120 minutes before
6:30 p.m. Eastern Time (the time the TRACE system closes) must be
reported no later than 120 minutes after the TRACE system opens the
next business day (T + 1), and if reported on T + 1, designated
``as/of'' and include the date of execution. Under Rule
6730(a)(3)(E)(i)d., transactions executed on a business day at or
after 6:30 p.m. Eastern Time through 11:59:59 p.m. Eastern Time or
on a Saturday, a Sunday, a federal or religious holiday or other day
on which the TRACE system is not open at any time during that day
(determined using Eastern Time) must be reported the next business
day (T + 1), no later than 120 minutes after the TRACE system opens,
designated ``as/of'' and include the date of execution.
    \15\ Proposed Rule 6730(a)(3)(F)(ii) and proposed Rule
6730(a)(3)(G)(ii)--the ``post-pilot program'' reporting provisions--
incorporate by reference the reporting requirements set forth in
Rule 6730(a)(3)(E)(ii)a. through d., including the exceptions to the
requirement to report within 60 minutes that apply to transactions
executed near the end of the business day or when the TRACE system
is not open in Rule 6730(a)(3)(E)(ii)a., c. and d.
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    After the 60-minute reporting requirement is implemented, FINRA
will continue to review the reporting of MBS Specified Pool and SBA-
Backed ABS transactions and may recommend further reductions in the
reporting period.
    FINRA also proposes minor clarifying amendments to Rule
6730(a)(3)(D) and (E) to specify that the reporting requirements set
forth therein apply solely to MBS TBA transactions.

Dissemination

Amendment to Rule 6750

    Although members began reporting transactions in Asset-Backed
Securities to TRACE on May 16, 2011, FINRA currently does not
disseminate publicly any of the Asset-Backed Securities transaction
data reported to TRACE as provided in Rule 6750(b)(4). However, as
noted above, FINRA has filed the TBA proposal, in which FINRA proposes
to disseminate MBS TBA transactions, which represent approximately 87
percent of the average daily volume traded in all Asset-Backed
Securities.\16\ Following the submission of the TBA proposal, FINRA
continued to examine transactions in Asset-Backed Securities to
determine if FINRA should propose to disseminate additional Asset-
Backed Securities, and will continue its review and research. The SEC
has been supportive of such efforts.\17\
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    \16\ See supra note 4. Beginning on the later of August 1, 2012,
or 180 days following publication by FINRA of the Regulatory Notice
announcing SEC approval of the TBA proposal, FINRA will disseminate
such MBS TBA transaction data.
    \17\ See Securities Exchange Act Release No. 61566 (February 22,
2010), 75 FR 9262, 9265 (March 1, 2010) (Order Approving File No.
SR-FINRA-2009-065).
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    Among other things, FINRA has reviewed the data reported for Asset-
Backed Securities, including MBS Specified Pool and SBA-Backed ABS
transactions, and studied the total volume of MBS Specified Pool and
SBA-Backed ABS transactions, the concentration of trading in such
securities, and the pricing disparity among various types of MBS
Specified Pool and SBA-Backed ABS transactions to understand their
liquidity and fungibility. The market activity reported and reviewed
reveals that for MBS Specified Pool transactions, the market is
generally active and liquid, and with liquidity comparable to that of
corporate bonds.\18\ Based on the review, FINRA believes that it is
appropriate to provide for the dissemination of MBS Specified Pool and
SBA-Backed ABS transactions, and such dissemination will benefit market
participants by improving transparency in both market segments.
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    \18\ Liquidity as measured by par value traded is comparable to
corporate bonds. Although MBS TBA transactions account for
approximately 93 percent of all trading in Agency Pass-Through
Mortgage-Backed Securities, the average daily volume of MBS
Specified Pool transactions is significant--approximately $17.5
billion is traded daily on average, in approximately 3,000 trades
per day. The information is based upon FINRA's review of Asset-
Backed Securities transactions reported to TRACE from May 16, 2011
through October 31, 2011.
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    FINRA proposes to amend Rule 6750 to provide for the dissemination
of MBS Specified Pool and SBA-Backed ABS transactions, with
dissemination occurring immediately upon receipt of a transaction
report. Specifically, Rule 6750(b)(4) would be amended to provide that
FINRA will not disseminate information on a transaction in a TRACE-
Eligible Security that is an Asset-Backed Security, except: (A) an
Agency Pass-Through Mortgage-Backed Security; and (B) an SBA-Backed
ABS.\19\ Thus, information would be disseminated on MBS Specified Pool
and SBA-Backed ABS transactions within 120 minutes, or, after the
expiration of the applicable pilot program, within 60 minutes of the
Time of Execution.\20\
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    \19\ See supra note 4.
    \20\ FINRA continues to review Asset-Backed Security transaction
information in other sectors of the Asset-Backed Securities market
and, at a later date, may propose that transactions in other Asset-
Backed Securities be disseminated.
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Dissemination Caps

    FINRA has TRACE dissemination protocols in place, referred to as
dissemination caps, under which the actual size of a transaction over a
certain par value is not displayed in disseminated TRACE transaction
data. For TRACE-Eligible Securities that are rated Investment Grade,
the dissemination cap is $5 million (``$5MM''), and the size of
transactions in excess of $5MM is displayed as ``$5MM+.'' For TRACE-
Eligible Securities that are rated Non-Investment Grade, the
dissemination cap is $1 million (``$1MM''), and the size of a
transaction in excess of $1MM is displayed as ``$1MM+.'' \21\ Upon the
approval and effectiveness of the TBA proposal: (1) The dissemination
cap will be $25 million (``$25MM'') for MBS TBA transactions GD, and
the size of transactions in excess of $25MM will be displayed as
``$25MM+,'' and (2) the

dissemination cap will be $10 million (``$10MM'') for MBS TBA
transactions NGD, and the size of transactions in excess of $10MM will
be displayed as ``$10MM+.'' \22\
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    \21\ The dissemination caps for Investment Grade corporate bonds
limit the display of actual size for approximately 1.6 percent of
trades representing approximately 48 percent of total par value
traded, and, for Agency Debt Securities, approximately 6 percent of
trades representing approximately 74 percent of total par value
traded. The dissemination cap for Non-Investment Grade corporate
bonds limits the display of actual size for approximately 15 percent
of trades representing approximately 84 percent of total par value
traded. The information is based on a review of all transactions in
Investment Grade corporate bonds, Agency Debt Securities and Non-
Investment Grade corporate bonds reported to TRACE from May 16, 2011
through January 4, 2012.
    The terms Investment Grade, Non-Investment Grade and Agency Debt
Security are defined in, respectively, Rule 6710(h), Rule 6710(i)
and Rule 6710(l).
    \22\ See supra note 4.
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    FINRA has analyzed the distribution of MBS Specified Pool and SBA-
Backed ABS transactions to determine an appropriate dissemination cap
for these transactions, and proposes to set a dissemination cap for
each of MBS Specified Pool and SBA-Backed ABS transactions initially at
$10 million (``$10MM''). Accordingly, the size of MBS Specified Pool
and SBA-Backed ABS transactions greater than $10 million would be
displayed in disseminated data as ``$10MM+.'' At this level
approximately nine percent of transactions and approximately 80 percent
of par value traded would be disseminated subject to the $10MM cap.\23\
FINRA believes that these caps will allow the marketplace time to
adjust to the new levels of transparency. In setting these
dissemination caps, FINRA took into account the liquidity and trading
activity in these segments.
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    \23\ See supra note 4. The proposed dissemination caps for MBS
TBA transactions GD would limit display of actual size for
approximately 20 percent of trades representing approximately 84
percent of par value traded and for MBS TBA transactions NGD would
limit the display of actual size for approximately 42 percent of
trades representing approximately 85 percent of par value traded.
The information is based on a review of all MBS TBA, MBS Specified
Pool and SBA-Backed ABS transactions reported to TRACE from May 16,
2011 through January 4, 2012.
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    As dissemination of MBS Specified Pool and SBA-Backed ABS
transactions is implemented, FINRA will continue to review the volume
of and liquidity in these securities, and may recommend that the
dissemination caps be set at higher levels to provide additional
transparency to market participants.
    FINRA will announce the effective date of the proposed rule change
in a Regulatory Notice to be published no later than 60 days following
Commission approval. The effective date will be no earlier than August
1, 2012, and no later than 180 days following publication of the
Regulatory Notice announcing Commission approval.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\24\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. FINRA believes that the proposed rule change to
increase fixed income market transparency is designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, and, generally to protect investors and
the public because transparency in MBS Specified Pool and SBA-Backed
ABS transactions will enhance the ability of investors and other market
participants to identify and negotiate fair and competitive prices for
these securities, and because the dissemination of price and other
information publicly will promote just and equitable principles of
trade among participants in the more transparent market, and will aid
in the prevention of fraudulent and manipulative acts and practices in
the Asset-Backed Securities market.
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    \24\ 15 U.S.C. 78o-3(b)(6).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    FINRA does not believe that the proposed rule change will result in
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

    Written comments were neither solicited nor received.

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 self-regulatory organization consents, the Commission will:
    (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 Number SR-FINRA-2012-021 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-FINRA-2012-021. 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
a.m. and 3 p.m. Copies of the filing also will be available for
inspection and copying at the principal office of FINRA. 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-FINRA-2012-021 and should be
submitted on or before May 10, 2012.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\25\
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    \25\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-9405 Filed 4-18-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 83, Number 247 (Thursday, December 27, 2018)]
[Notices]
[Pages 66701-66703]
[FR Doc No: 2018-28043]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

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

    Docket Numbers: EC19-26-000.
    Applicants: Buckleberry Solar, LLC.
    Description: Amendment to November 9, 2018 Application for
Authorization Under Section 203 of the Federal Power Act, et al. of
Buckleberry Solar, LLC.
    Filed Date: 12/17/18.
    Accession Number: 20181217-5404.
    Comments Due: 5 p.m. ET 12/26/19.

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

    Docket Numbers: ER10-1107-006.
    Applicants: Pacific Gas and Electric Company.
    Description: Updated Market Power Analysis for the CAISO BAA Market
of Pacific Gas and Electric Company.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5133.
    Comments Due: 5 p.m. ET 2/20/19.

    Docket Numbers: ER10-2835-009.
    Applicants: Google Energy LLC.
    Description: Triennial Market Power Analysis for the SPP Region of
Google Energy LLC.
    Filed Date: 12/18/18.
    Accession Number: 20181218-5466.
    Comments Due: 5 p.m. ET 2/19/19.

    Docket Numbers: ER16-1258-002; ER13-1266-019; ER15-2211-016; ER16-
438-004.
    Applicants: Grande Prairie Wind, LLC, Marshall Wind Energy LLC,
CalEnergy, LLC, MidAmerican Energy Services, LLC.
    Description: Triennial Market Power Update for the Southwest Power
Pool Region of the BHE Renewables Companies.
    Filed Date: 12/18/18.
    Accession Number: 20181218-5465.
    Comments Due: 5 p.m. ET 2/19/19.

    Docket Numbers: ER17-1376-006.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Compliance filing: 2018-12-18_Stored Energy Resource--
Type II

Compliance Filing to be effective 12/1/2017.
    Filed Date: 12/18/18.
    Accession Number: 20181218-5376.
    Comments Due: 5 p.m. ET 1/8/19.

    Docket Numbers: ER17-2386-004.
    Applicants: Great Bay Solar I, LLC.
    Description: Compliance filing: Compliance Filing to be effective
11/1/2017.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5052.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER18-554-003.
    Applicants: Carville Energy LLC.
    Description: Compliance filing: Reactive Service Rate Schedule
Compliance Filing to be effective 3/1/2018.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5084.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-178-001.
    Applicants: PACE RENEWABLE ENERGY 1 LLC.
    Description: Tariff Amendment: Supplemental--Ownership Info to be
effective 12/20/2018.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5029.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-302-001.
    Applicants: NTE Southeast Electric Company, LLC.
    Description: Second Supplement to December 12, 2018 NTE Southeast
Electric Company, LLC tariff filing [Asset Appendices].
    Filed Date: 12/17/18.
    Accession Number: 20181217-5387.
    Comments Due: 5 p.m. ET 1/7/19.

    Docket Numbers: ER19-464-000.
    Applicants: Vermillion Power, L.L.C.
    Description: Amendment to December 3, 2018 Vermillion Power, L.L.C.
tariff filing.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5131.
    Comments Due: 5 p.m. ET 1/2/19.

    Docket Numbers: ER19-592-000.
    Applicants: Valentine Solar, LLC.
    Description: Baseline eTariff Filing: Valentine Solar Initial
Market-Based Rate Application Filing to be effective 2/17/2019.
    Filed Date: 12/18/18.
    Accession Number: 20181218-5381.
    Comments Due: 5 p.m. ET 1/8/19.

    Docket Numbers: ER19-593-000.
    Applicants: El Paso Electric Company.
    Description: Sec.  205(d) Rate Filing: Non-Substantive
Consolidation of Market-Based Rate Tariff Records to be effective 12/
19/2018.
    Filed Date: 12/18/18.
    Accession Number: 20181218-5390.
    Comments Due: 5 p.m. ET 1/8/19.

    Docket Numbers: ER19-594-000.
    Applicants: Southern California Edison Company.
    Description: Sec.  205(d) Rate Filing: LGIA Daggett Solar 2 LLC SA
No. 224 to be effective 2/17/2019.
    Filed Date: 12/18/18.
    Accession Number: 20181218-5413.
    Comments Due: 5 p.m. ET 1/8/19.

    Docket Numbers: ER19-595-000.
    Applicants: Southern California Edison Company.
    Description: Sec.  205(d) Rate Filing: LGIA Daggett Solar 3 LLC SA
No. 225 to be effective 2/17/2019.
    Filed Date: 12/18/18.
    Accession Number: 20181218-5414.
    Comments Due: 5 p.m. ET 1/8/19.

    Docket Numbers: ER19-596-000.
    Applicants: CPV Keenan II Renewable Energy Company, LLC.
    Description: Sec.  205(d) Rate Filing: Revised Market-Based Rate
Tariff to be effective 2/18/2019.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5027.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-597-000.
    Applicants: Southern California Edison Company.
    Description: Tariff Cancellation: Cancel GIA & DSA LA County Flood
Control District San Gabriel Dam Hydroelectric to be effective 10/31/
2018.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5032.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-598-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: 2018-12-19_SA 3222 OTP-OTP
GIA (J510) to be effective 12/5/2018.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5081.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-599-000.
    Applicants: American Transmission Systems, Incorporation, PJM
Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: ATSI submits Revised
Interconnection Agreement SA No. 3994 to be effective 2/18/2019.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5103.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-600-000.
    Applicants: American Transmission Systems, Incorporation, PJM
Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: ATSI submits a ECSA, Service
Agreement No. 5137 re: GM Cleveland RTU Replacement to be effective 2/
18/2019.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5114.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-601-000.
    Applicants: AEP Energy Partners, Inc.
    Description: Sec.  205(d) Rate Filing: MBR Tariff, FERC Electric
Tariff for Market Bases Sales to be effective 3/1/2019.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5115.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-602-000.
    Applicants: Southwest Power Pool, Inc., American Electric Power
Service Corporation.
    Description: Sec.  205(d) Rate Filing: Cost Recovery Filing on
Behalf of American Electric Power Service Corp. to be effective 3/1/
2019.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5116.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-603-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Original ISA and ICSA SA
Nos. 5245 and 5250; Queue No. AB2-067/AC1-044 to be effective 12/31/
9998.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5117.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-604-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Revisions to Sch.12 of the
OA to reflect termination of GreenHat Energy, LLC to be effective 2/19/
2019.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5118.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-605-000.
    Applicants: Republic Transmission, LLC.
    Description: Baseline eTariff Filing: Baseline Rate Transmission
Filing for Republic Transmission to be effective 12/19/2018.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5119.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-606-000.
    Applicants: AEP Generation Resources Inc.
    Description: Sec.  205(d) Rate Filing: MBR Tariff, FERC Electric
Tariff For Market-Based Sales to be effective 3/1/2014.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5120.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-607-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Revisions to Sch. 12 of OA
to reflect termination of Amerigreen Energy, LLC to be effective 2/19/
2019.

    Filed Date: 12/19/18.
    Accession Number: 20181219-5122.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-608-000.
    Applicants: Commonwealth Edison Company, PJM Interconnection,
L.L.C.
    Description: Sec.  205(d) Rate Filing: ComEd submits revisions to
Att. H-13 re: Marengo Battery Wholesale Dist. Charges to be effective
12/20/2018.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5138.
    Comments Due: 5 p.m. ET 1/9/19.

    Docket Numbers: ER19-609-000.
    Applicants: Pacific Gas and Electric Company.
    Description: Request for One-time Tariff Waiver of Pacific Gas and
Electric Company.
    Filed Date: 12/19/18.
    Accession Number: 20181219-5140.
    Comments Due: 5 p.m. ET 1/9/19.

    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: December 19, 2018.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2018-28043 Filed 12-26-18; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 81, Number 233 (Monday, December 5, 2016)]
[Notices]
[Pages 87563-87565]
[FR Doc No: 2016-29125]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2009-D-0095]

Clinical Pharmacology Section of Labeling for Human Prescription
Drug and Biological Products--Content and Format; Guidance for
Industry; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA or Agency) is announcing
the availability of a guidance for industry entitled ``Clinical
Pharmacology Section of Labeling for Human Prescription Drug and
Biological Products--Content and Format.'' This guidance is one of a
series of guidance documents intended to assist applicants in complying
with FDA regulations on the content and form at of labeling for human
prescription drug and biological products. The guidance describes the
recommended information to include in the CLINICAL PHARMACOLOGY section
of labeling that pertains to the safe and effective use of human
prescription drug and biological products. This guidance finalizes the
2014 revised draft guidance entitled ``Clinical Pharmacology Labeling
for Human Prescription Drug and Biological Products--Considerations,
Content, and Format.''

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

ADDRESSES: You may submit comments as follows:

Electronic Submissions

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

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper
submissions): Division of Dockets Management (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Division of
Dockets Management, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2009-D-0095 for ``Clinical Pharmacology Section of Labeling for
Human Prescription Drug and Biological Products--Content and Format;
Guidance for Industry; Availability.'' Received comments will be placed
in the docket and, except for those submitted as ``Confidential
Submissions,'' publicly viewable at https://www.regulations.gov or at
the Division of Dockets Management between 9 a.m. and 4 p.m., Monday
through Friday.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on https://www.regulations.gov.
Submit both copies to the Division of Dockets Management. If you do not
wish your name and contact information to be made publicly available,
you can provide this information on the cover sheet and not in the body
of your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: http://www.fda.gov/regulatoryinformation/dockets/default.htm.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Division of Dockets Management, 5630 Fishers
Lane, Rm. 1061, Rockville, MD 20852.
    Submit written requests for single copies of this guidance to the
Division of Drug Information, Center for Drug Evaluation and Research,
Food and Drug Administration, 10001 New Hampshire Ave., Hillandale
Building, 4th Floor, Silver Spring, MD 20993-0002; or to the Office of
Communication, Outreach and Development, Center for Biologics
Evaluation and Research (CBER), Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 71, Rm. 3128, Silver Spring, MD 20993-0002. Send
one self-addressed adhesive label to assist that office in processing
your requests. See the SUPPLEMENTARY INFORMATION section for electronic
access to the guidance document.

FOR FURTHER INFORMATION CONTACT: Joseph Grillo, Center for Drug
Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 51, Rm. 3177, Silver Spring, MD 20993-0002, 301-
796-5008; or Stephen Ripley, Center for Biologics Evaluation and
Research, Food and Drug Administration, 10903 New Hampshire Ave., Bldg.
71, Rm. 7301, Silver Spring, MD 20993-0002,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    In the Federal Register of January 24, 2006 (71 FR 3922), FDA
published a final rule entitled ``Requirements on Content and Format of
Labeling for Human Prescription Drug and Biological Products'' to
revise the Agency's previous regulations on labeling (effective June
30, 2006). The final rule, commonly referred to as the Physician
Labeling Rule (PLR), is designed to make information in prescription
drug labeling easier for health care practitioners to access, read, and
use, thereby increasing the extent to which health care providers rely
on labeling for prescribing decisions.
    In the Federal Registerof March 3, 2009 (74 FR 9250), FDA announced
the availability of a draft guidance on the format and content of the
CLINICAL PHARMACOLOGY section of labeling. After considering received
comments on the 2009 draft guidance, the Agency announced the
availability of a revised draft guidance entitled ``Clinical
Pharmacology Labeling for Human Prescription Drug and Biological
Products--Considerations, Content, and Format'' in the Federal Register
of August 14, 2014 (79 FR 47650). After carefully reviewing received
comments on the 2014 revised draft guidance and in light of the
Agency's increased regulatory experience implementing the PLR and FDA's
labeling and communication initiatives to ensure consistency and
clarity, FDA has finalized the guidance.

II. Guidance

    FDA is announcing the availability of a guidance for industry
entitled ``Clinical Pharmacology Section of Labeling for Human
Prescription Drug and Biological Products--Content and Format'' as one
of a series of guidance documents intended to assist applicants in
complying with FDA regulations on the content and format of labeling
for human prescription drug and biological products. This guidance
provides clarity on the information that should be included in section
12 CLINICAL PHARMACOLOGY of the prescription

drug labeling under the PLR (21 CFR 201.57(c)(13)) and provides
guidance on the inclusion of clinical recommendations based on clinical
pharmacology findings in other sections of the labeling. The guidance
is also intended to ensure consistency, as appropriate, in labeling of
the CLINICAL PHARMACOLOGY section for all prescription drug products
approved by FDA.
    This guidance provides a general framework and set of
recommendations that should be adapted to specific drugs and their
conditions of use. Not all of the information identified in this
guidance for inclusion in the CLINICAL PHARMACOLOGY section of product
labeling will be applicable for every drug. For the purposes of this
notice, all references to drugs include both human drugs and biological
products unless otherwise specified.
    The guidance outlines the use of subsections, headings, and
subheadings to provide organization for the CLINCAL PHARMACOLOGY
section in labeling. The guidance also emphasizes the importance of
providing variability measures related to pharmacokinetic measures and
parameters, pharmacodynamic measures, and other clinical pharmacology
study results.
    In addition to clarifications and edits throughout the guidance on
various subsections of section 12, some notable changes from the
revised draft guidance include:
     Addressing whether applicants are expected to revise
current approved labeling if reserved sections 12.4 and 12.5 have
already been used for other topics, and
     Providing revised recommendations on the inclusion of
pregnancy and lactation information to be consistent with
recommendations in FDA's ``Pregnancy and Lactation Labeling Rule''
(https://www.federalregister.gov/documents/2014/12/04/2014-28241/content-and-format-of-labeling-for-human-prescription-drug-and-biological-products-requirements-for) (December 2014) and draft
guidance for industry entitled ``Pregnancy, Lactation, and Reproductive
Potential: Labeling for Human Prescription Drug and Biological
Products--Content and Format'' (http://www.fda.gov/downloads/drugs/guidancecomplianceregulatoryinformation/guidances/ucm425398.pdf)
(December 2014).
    This guidance is being issued consistent with FDA's good guidance
practices regulation (21 CFR 10.115). The guidance represents the
current thinking of FDA on inclusion of clinical pharmacology
information in section 12 CLINICAL PHARMACOLOGY of product labeling. It
does not establish any rights for any person and is not binding on FDA
or the public. You can use an alternative approach if it satisfies the
requirement of the applicable statutes and regulations.

III. The Paperwork Reduction Act of 1995

    This guidance refers to previously approved collections of
information that are subject to review by the Office of Management and
Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520). The collections of information in 21 CFR 201.56 and 201.57 have
been approved under OMB control number 0910-0572; the collections of
information related to pharmacogenomic data have been approved under
OMB control number 0910-0557.

IV. Electronic Access

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

    Dated: November 29, 2016.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2016-29125 Filed 12-2-16; 8:45 am]
 BILLING CODE 4164-01-P


[Federal Register Volume 78, Number 189 (Monday, September 30, 2013)]
[Notices]
[Page 59923]
[FR Doc No: 2013-23723]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER13-2414-000]

Mammoth Three LLC; Supplemental Notice That Initial Market-Based
Rate Filing Includes Request for Blanket Section 204 Authorization

    This is a supplemental notice in the above-referenced proceeding,
of Mammoth Three 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 October 15, 2013.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
5 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street NE., Washington, DC 20426.
    The filings in the above-referenced proceeding(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 email notification
when a document is added to a subscribed docket(s). For assistance with
any FERC Online service, please email<EMAIL_ADDRESS>or
call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

    Dated: September 24, 2013.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2013-23723 Filed 9-27-13; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: August 26, 2010 (Volume 75, Number 165)]
[Notices]
[Page 52591-52592]
[DOCID:fr26au10-116]

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DEPARTMENT OF TRANSPORTATION

Pipeline and Hazardous Materials Safety Administration

[Docket No. PHMSA-98-3599 (PD-19(R))]

New York State Department of Environmental Conservation
Requirements on Gasoline Transport Vehicles

AGENCY: Pipeline and Hazardous Materials Safety Administration (PHMSA),
DOT.

ACTION: Notice reopening period for comments on petition for
reconsideration of administrative determination of preemption.

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

    Petitioner: New York State Department of Environmental Conservation
(NYSDEC).

SUMMARY: PHMSA is reopening the period for comments on NYSDEC's
petition for reconsideration of PHMSA's January 23, 2009 administrative
determination with respect to the findings that Federal hazardous
material transportation law preempts the requirements in 6 NYCRR
230.6(b) and (c) for maintaining a copy of the most recent pressure-
vacuum test results with the gasoline transport vehicle and retaining
pressure-vacuum test and repair results for two years, respectively.

DATES: Comments received on or before October 12, 2010, will be
considered before a decision on NYSDEC's petition for reconsideration
is issued by PHMSA's Chief Counsel.

ADDRESSES: All documents in this proceeding, including PHMSA's January
23, 2009 preemption determination (PD-19(R)), NYSDEC's petition for
reconsideration, and the comments submitted on the petition for
reconsideration may be reviewed in the Docket Operations Facility (M-
30), U.S. Department of Transportation, West Building Ground Floor,
Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590. All
documents in this proceeding are also available on the U.S. Government
Regulations.gov Web site: http://www.regulations.gov.
    Comments must refer to Docket No. PHMSA-98-3599 \1\ and may be
submitted to the docket in writing or electronically. Mail or hand
deliver three copies of each written comment to the above address. If
you wish to receive confirmation of receipt of your

comments, include a self-addressed, stamped postcard. To submit
comments electronically, log onto the U.S. Government Regulations.gov
Web site: http://www.regulations.gov. Use the Search Documents section
of the home page and follow the instructions for submitting comments.
---------------------------------------------------------------------------

    \1\ As published in the Federal Register, PHMSA's January 23,
2009 determination in PD-19(R) indicated an incorrect docket number
(99-3559, instead of 98-3559). However, all comments submitted on
NYSDEC's petition for reconsideration have been placed in the proper
docket.
---------------------------------------------------------------------------

    Anyone is able to search the electronic form of all comments
received into any of our dockets by the name of the individual
submitting the comment (or signing the comment, if submitted on behalf
of an association, business, labor union, etc.). You may review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (70 FR 19477-78), or you may visit http://www.dot.gov.

FOR FURTHER INFORMATION CONTACT: Frazer C. Hilder, Office of Chief
Counsel, Pipeline and Hazardous Materials Safety Administration, U.S.
Department of Transportation, 1200 New Jersey Avenue, SE., Washington,
DC 20590-0001 (Tel. No.<PHONE_NUMBER>).

SUPPLEMENTARY INFORMATION:

I. Background

    In PD-19(R), published in the Federal Register on January 23, 2009
(74 FR 4291), PHMSA considered NYSDEC's requirements for marking a
gasoline transport vehicle, near the DOT specification plate, to
indicate that it has been successfully tested for vapor tightness in
accordance with the U.S. Environmental Protection Agency's ``Method
27--Determination of Vapor Tightness of Gasoline Delivery Tank Using
Pressure-Vacuum Test'' as set forth in Appendix A to 40 CFR part 60,
and related requirements for maintaining records of pressure-vacuum
test results.
    PHMSA found that Federal hazardous material transportation law
preempts the requirements (1) that the marking must be a minimum two
inches and contain ``NYS DEC'' (6 NYCRR 230.4(a)(3)); (2) for
maintaining a copy of the most recent pressure-vacuum test results with
the gasoline transport vehicle (6 NYCRR 230.6(b)); and (3) to retain
pressure-vacuum test and repair results for two years (6 NYCRR
230.6(c)), because these requirements are not substantively the same as
requirements in the HMR on the marking, maintaining, repairing, or
testing of a package or container that is represented, marked,
certified, or sold as qualified for transporting hazardous material.
    Within the 20-day time period provided in 49 CFR 107.211(a), NYSDEC
submitted a petition for reconsideration of PHMSA's decision in PD-
19(R). The American Trucking Associations, Inc. (ATA) and its
affiliated National Tank Truck Carriers, Inc. (NTTC) submitted comments
in response to NYSDEC's petition for reconsideration. Subsequently,
NYSDEC purported to ``object'' to the ATA and NTTC comments and,
thereafter, called attention to the President's May 20, 2009 Memorandum
on ``Preemption'' (74 FR 24693 (May 22, 2009)), to which ATA submitted
a further response.
    Recently, PHMSA received e-mails from counsel for NTTC asking about
the status of PHMSA's decision on NYSDEC's petition for reconsideration
and indicating that NYSDEC was seeking to settle a citation issued to a
motor carrier in 2006.

II. EPA Requirements

    When PHMSA issued its determinations in PD-19(R), we were unaware
of a final rule published by EPA on January 10, 2008, that added to 40
CFR part 63 a new subpart CCCCCC on ``National Emission Standards for
Hazardous Air Pollutants for Source Category: Gasoline Dispensing
Facilities.'' 73 FR 1916. In Table 2 of this subpart, EPA adopted the
requirement, effective on the date of publication in the Federal
Register, that: ``The filling of storage tanks at GDF [gasoline
dispensing facilities] shall be limited to unloading by vapor-tight
gasoline cargo tanks. Documentation that the cargo tank has met the
specifications of EPA Method 27 shall be carried on the cargo tank.''
73 FR at 1949 (emphasis supplied). In addition, EPA has advised PHMSA
that the following recordkeeping requirement in 40 CFR 63.10(b)(1) is
applicable to records of the Method 27 pressure-vacuum test:

    The owner or operator of an affected source subject to the
provisions of this part shall maintain files of all information
(including all reports and notification) required by this part
recorded in a form suitable and readily available for expeditious
inspection and review. The files shall be retained for at least 5
years following the date of each occurrence, measurement,
maintenance, corrective action, report, or record. At a minimum, the
most recent 2 years of data shall be retained on site. The remaining
3 years of data may be retained off-site. Such files may be
maintained on microfilm, on a computer, on computer floppy disks, on
magnetic tape disks, or on microfiche.

(emphasis supplied)
    In response to petitions for reconsideration of its January 10,
2008 final rule, EPA has published a notice proposing to make
amendments and clarifications to its requirements in 40 CFR part 63. 74
FR 66470 (Dec. 15, 2009). Among the proposals in the EPA notice is a
proposal to revise the retention requirement in Table 2 to subpart
CCCCCC of part 63 to provide that ``Documentation that the cargo tank
has met the specifications of EPA Method 27 shall be carried with the
cargo tank, as specified in Sec.  63.11125(c).'' 74 FR at 66494
(proposed new language in italics). Proposed new paragraph (c) of
section Sec.  63.11125 would provide:

    (c) Each owner or operator of a gasoline cargo tank subject to
the management practices in Table 2 to this subpart must keep
records documenting vapor tightness testing for a period of 5 years.
Documentation must include each of the items specified in Sec.
63.11094(B)(1) through (viii). Records of vapor tightness must be
retained as specified in either paragraph (c)(1) or paragraph (c)(2)
of this section.
    (1) The owner or operator must keep all vapor tightness testing
records with the cargo tank.
    (2) As an alternative to keeping all records with the cargo
tank, the owner or operator may comply with the requirements of
paragraphs (c)(2)(i) and (ii) of this section.
    (i) The owner or operator may keep records of only the most
recent vapor tightness test with the cargo tank and keep records for
the previous 4 years at their office or another central location.
    (ii) Vapor tightness testing records that are kept at a location
other than with the cargo tank must be instantly available (e.g., e-
mail or facsimile) to the Administrator's designated representative
during the course of a site visit or within a mutually agreeable
time frame. Such records must be an exact duplicate image of the
original paper copy record with certifying signatures.

74 FR at 66492-93.

III. Public Comments

    Interested parties are invited to comment on the effect on the
pending petition for reconsideration of PD-19(R) of the existing
Federal requirements promulgated at 40 CFR part 63, subpart CCCCCC, and
the proposed changes to subpart CCCCCC of 40 CFR part 63. Comments
should specifically address, with respect to each aspect of the NYSDEC
recordkeeping requirements in 6 NYCRR 230.6(b) and (c), whether those
requirements are ``authorized by another law of the United States,''
under the preemption criteria set forth in 49 U.S.C. 5125(a) and
(b)(1).

    Issued in Washington, DC on August 23, 2010.
Bizunesh Scott,
Chief Counsel.
[FR Doc. 2010-21315 Filed 8-25-10; 8:45 am]
BILLING CODE 4910-60-P


[Federal Register Volume 78, Number 129 (Friday, July 5, 2013)]
[Notices]
[Pages 40474-40475]
[FR Doc No: 2013-16217]

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

[ER-FRL-9009-9]

Environmental Impact Statements; Notice of Availability

    Responsible Agency: Office of Federal Activities, General
Information<PHONE_NUMBER> or http://www.epa.gov/compliance/nepa/.

Weekly receipt of Environmental Impact Statements Filed 06/24/2013
Through 06/28/2013 Pursuant to 40 CFR 1506.9.

Notice

    Section 309(a) of the Clean Air Act requires that EPA make public
its comments on EISs issued by other Federal agencies. EPA's comment
letters on EISs are available at: http://www.epa.gov/compliance/nepa/eisdata.html.

EIS No. 20130186, Final EIS, WAPA, CO, Granby Pumping Plant
Switchyard--Windy Gap Substation Transmission Line Rebuild, Review
Period Ends: 07/29/2013, Contact: Jim Hartman<PHONE_NUMBER>. The above
project was inadvertently omitted from EPA's FR Notice Published 06/28/
2013
EIS No. 20130187, Final EIS, BR, CA, San Luis Reservoir State
Recreation Area Resource Management Plan/General Plan, Review Period
Ends: 08/05/2013, Contact: Dave Wooley<PHONE_NUMBER>
EIS No. 20130188, Final EIS, BLM, 00, ADOPTION--Ruby Pipeline Project,
Proposed Natural Gas Pipeline Facilities, Contact: Mark Mackiewicz 435-
636-3616

    The U.S. Department of the Interior's Bureau of Land Management
(BLM) has adopted the Federal Energy Regulatory Commission's FEIS
 20100001, filed 01/07/2010 and appeared in the FR 01/15/2010.
The BLM was a cooperating agency for the above project. Recirculation
of the FEIS is not necessary under Section 1506.3(c) of the CEQ
Regulations.

EIS No. 20130189, Final EIS, GSA, NY, Public Sale of Plum Island,
Review Period Ends: 08/05/2013, Contact: John Dugan<PHONE_NUMBER>
EIS No. 20130190, Final EIS, BLM, NV, Hollister Underground Mine
Project, Review Period Ends: 08/05/2013, Contact: Janice Stadelman 775-
753-0346
EIS No. 20130191, Final EIS, BLM, CA, Casa Diablo IV Geothermal
Development Project, Review Period Ends: 08/05/2013, Contact: Collin
Reinhardt<PHONE_NUMBER>
EIS No. 20130192, Final EIS, NOAA, WA, Final Duwamish River NRDA PEIS
and Restoration Plan, Review Period Ends: 08/05/2013, Contact: Rebecca
Hoff<PHONE_NUMBER>
EIS No. 20130193, Draft EIS, CALTRANS, CA, State Route 58 (SR-58)
Kramer Junction Expressway Project, Comment Period Ends: 08/19/2013,
Contact: Kurt Heidelberg<PHONE_NUMBER>
EIS No. 20130194, Draft EIS, USFS, OR, Fox Canyon Cluster Allotment
Management Plans, Comment Period Ends: 08/19/2013, Contact: Jeff
Marszal<PHONE_NUMBER>
EIS No. 20130195, Draft EIS, USCG, FL, Proposed New Bridge across the
Manatee River, Comment Period Ends: 08/19/2013, Contact: Randall
Overton<PHONE_NUMBER>
EIS No. 20130196, Draft EIS, BR, CA, Shasta Lake Water Resources
Investigation, Comment Period Ends: 09/30/2013, Contact: Katrina Chow
916-978-5067

EIS No. 20130197, Final EIS, USACE, FL, Everglades Agricultural Area A-
1 Shallow Flow Equalization Basin, Review Period Ends: 08/05/2013,
Contact: Alisa Zarbo<PHONE_NUMBER>
EIS No. 20130198, Draft Supplement, BLM, 00, Ruby Pipeline Project,
Comment Period Ends: 08/19/2013, Contact: Mark Mackiewicz<PHONE_NUMBER>

Amended Notices

EIS No. 20130091, Draft EIS, USFWS, 00, Niobrara Confluence and Ponca
Bluffs Conservation Areas Land Protection Plan, Comment Period Ends:
09/30/2013, Contact: Nick Kaczor<PHONE_NUMBER> Revision to FR Notice
Published 04/08/2013; Extending Comment Period from 06/03/2013 to 09/
30/2013
EIS No. 20130129, Draft EIS, USA, TX, Implementation of Energy, Water,
and Solid Waste Sustainability Initiatives at Fort Bliss, Texas & New
Mexico, Comment Period Ends: 07/31/2013, Contact: Pamela M. Klinger
210-466-1595 Revision to FR Notice Published 05/17/2013; Extending
Comment Period from 07/01/2013 to 07/31/2013
EIS No. 20130159, Final Supplement, USACE, IN, Indianapolis North Flood
Damage Reduction Project, Review Period Ends: 09/06/2013, Contact:
Keith Keeney<PHONE_NUMBER> Revision to FR Notice Published 06/14/2013;
Extending Review Period from 07/08/2013 to 09/06/2013

    Dated: July 1, 2013.
Cliff Rader,
Director, NEPA Compliance Division, Office of Federal Activities.
[FR Doc. 2013-16217 Filed 7-3-13; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 84, Number 215 (Wednesday, November 6, 2019)]
[Notices]
[Pages 59803-59804]
[FR Doc No: 2019-24170]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

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

    Docket Numbers: EG20-18-000.
    Applicants: Impact Solar 1, LLC.
    Description: Impact Solar 1, LLC Notice of Self-Certification of
Exempt Wholesale Generator Status.
    Filed Date: 10/29/19.
    Accession Number: 20191029-5035.
    Comments Due: 5 p.m. ET 11/19/19.

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

    Docket Numbers: ER04-835-010.
    Applicants: California Independent System Operator Corporation.
    Description: Informational Compliance Filing of the California
Independent System Operator Corporation.
    Filed Date: 10/28/19.
    Accession Number: 20191028-5201.
    Comments Due: 5 p.m. ET 11/18/19.

    Docket Numbers: ER15-356-012; ER19-2231-002; ER15-357-012; ER19-
2232-002; ER10-1595-013; ER10-1598-013; ER10-1616-013; ER10-1618-013;
ER18-1821-005.
    Applicants: Chief Conemaugh Power, LLC, Chief Conemaugh Power II,
LLC, Chief Keystone Power, LLC, Chief Keystone Power II, LLC, Crete
Energy Venture, LLC, Lincoln Generating Facility, LLC, New Covert
Generating Company, LLC, Rolling Hills Generating, L.L.C., Walleye
Power, LLC.
    Description: Notice of Non-Material Change in Status of Chief
Conemaugh Power, LLC, et al.
    Filed Date: 10/28/19.
    Accession Number: 20191028-5214.
    Comments Due: 5 p.m. ET 11/18/19.

    Docket Numbers: ER16-2363-004; ER10-2192-034; ER10-2178-034; ER13-
1536-018; ER11-2010-026; ER12-1829-017; ER12-1223-022.
    Applicants: Bluestem Wind Energy, LLC, Constellation Energy
Commodities Group Maine, LLC, Constellation NewEnergy, Inc., Exelon
Generation Company, LLC, Exelon Wind 4, LLC, Shooting Star Wind
Project, LLC, Wildcat Wind, LLC.
    Description: Supplement to December 28, 2019 Updated Market Power
Analysis for the Southwest Power Pool Region of the Exelon SPP
Entities, et al.
    Filed Date: 10/23/19.
    Accession Number: 20191023-5092.
    Comments Due: 5 p.m. ET 11/13/19.

    Docket Numbers: ER18-2397-004.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Compliance filing: 2019-10-28_Order 844 Compliance
supplement filing to be effective 1/1/2019.
    Filed Date: 10/28/19.
    Accession Number: 20191028-5160.
    Comments Due: 5 p.m. ET 11/18/19.

    Docket Numbers: ER19-1641-002.
    Applicants: California Independent System Operator Corporation.
    Description: Compliance filing: 2019-10-28 RMR CPM Enhancements
Compliance to be effective 9/27/2019.
    Filed Date: 10/28/19.
    Accession Number: 20191028-5180.
    Comments Due: 5 p.m. ET 11/18/19.

    Docket Numbers: ER19-2756-001.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Tariff Amendment: 2019-10-29_SA 3083 Lake Benton-NSP
Substitute 1st Rev GIA (J790) to be effective 8/22/2019.
    Filed Date: 10/29/19.
    Accession Number: 20191029-5089.
    Comments Due: 5 p.m. ET 11/19/19.

    Docket Numbers: ER20-210-000.
    Applicants: Citizens Sycamore-Penasquitos Transmission LLC.
    Description: Sec.  205(d) Rate Filing: Annual Operating Cost True-
Up Adjustment Filing to be effective 1/1/2020.

    Filed Date: 10/28/19.
    Accession Number: 20191028-5179.
    Comments Due: 5 p.m. ET 11/18/19.

    Docket Numbers: ER20-211-000.
    Applicants: Basin Electric Power Cooperative, Inc.
    Description: Request for Extensions and Waivers of Certain NAESB
Standards of Basin Electric Power Cooperative.
    Filed Date: 10/28/19.
    Accession Number: 20191028-5213.
    Comments Due: 5 p.m. ET 11/18/19.

    Docket Numbers: ER20-212-000.
    Applicants: Duke Energy Carolinas, LLC.
    Description: Tariff Cancellation: DEC-Prosperity (RS No. 336)
Cancellation to be effective 1/1/2020.
    Filed Date: 10/29/19.
    Accession Number: 20191029-5065.
    Comments Due: 5 p.m. ET 11/19/19.

    Docket Numbers: ER20-213-000.
    Applicants: Duke Energy Carolinas, LLC.
    Description: Sec.  205(d) Rate Filing: DEC-Central (RS No. 336)
Amendment to be effective 1/1/2020.
    Filed Date: 10/29/19.
    Accession Number: 20191029-5068.
    Comments Due: 5 p.m. ET 11/19/19.

    Docket Numbers: ER20-214-000.
    Applicants: New England Power Company.
    Description: Sec.  205(d) Rate Filing: Related Facilities Agreement
with Deerfield Wind, LLC to be effective 10/1/2019.
    Filed Date: 10/29/19.
    Accession Number: 20191029-5092.
    Comments Due: 5 p.m. ET 11/19/19.

    Docket Numbers: ER20-215-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: 2019-10-29_SA 3267_Astoria
Substation 1st Rev MPFCA (J493 J510) OTP to be effective 10/15/2019.
    Filed Date: 10/29/19.
    Accession Number: 20191029-5098.
    Comments Due: 5 p.m. ET 11/19/19.

    Docket Numbers: ER20-216-000.
    Applicants: Louisville Gas and Electric Company.
    Description: Sec.  205(d) Rate Filing: KyMEA NITSA Service
Agreement No. 23 to be effective 9/30/2019.
    Filed Date: 10/29/19.
    Accession Number: 20191029-5105.
    Comments Due: 5 p.m. ET 11/19/19.

    Docket Numbers: ER20-217-000.
    Applicants: GridLiance West LLC.
    Description: Sec.  205(d) Rate Filing: TRBAA 2020 Annual Update to
be effective 1/1/2020.
    Filed Date: 10/29/19.
    Accession Number: 20191029-5124.
    Comments Due: 5 p.m. ET 11/19/19.

    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: October 29, 2019.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2019-24170 Filed 11-5-19; 8:45 am]
 BILLING CODE 6717-01-P