[Federal Register Volume 82, Number 53 (Tuesday, March 21, 2017)]
[Notices]
[Pages 14579-14580]
[FR Doc No: 2017-05539]

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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE., Washington, DC
20549-0213

ACTION: Notice.

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    [SEC File No. TM-S7-11-10, OMB Control No. 3235-0671]

    Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget (``OMB'') a request for approval of an amendment to a
collection of information in connection with an National Market System
(NMS) Plan filed with the Commission under Rule 613 (17 CFR 242.613),
under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).
    Rule 613 of Regulation NMS (17 CFR part 242) required national
securities exchanges and national securities associations
(``Participants'') to jointly submit to the Commission a national
market system (``NMS'') plan to govern the creation, implementation,
and maintenance of a consolidated audit trail (``CAT'') and Central
Repository for the collection of information for NMS securities. On
February 27, 2015, the Participants submitted the CAT NMS Plan to the
Commission.\1\
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    \1\ See Letter from Participants to Brent J. Fields, Secretary,
Commission, dated February 27, 2015. The Participants filed the CAT
NMS Plan on September 30, 2014. See Letter from the Participants, to
Brent J. Fields, Secretary, Commission, dated September 30, 2014.
The CAT NMS Plan filed on February 27, 2015, was an amendment to and
replacement of the Initial CAT NMS Plan (the ``Amended and Restated
CAT NMS Plan''). On December 24, 2015, the Participants submitted an
Amendment to the Amended and Restated CAT NMS Plan. See Letter from
Participants to Brent J. Fields, Secretary, Commission, dated
December 23, 2015 (the ``Amendment''). On February 9, 2016, the
Participants filed with the Commission an identical, but unmarked,
version of the Amended and Restated CAT NMS Plan, dated February 27,
2015, as modified by the Amendment, as well as a copy of the request
for proposal issued by the Participants to solicit Bids from parties
interested in serving as the Plan Processor for the consolidated
audit trail. Unless the context otherwise requires, the ``CAT NMS
Plan'' shall refer to the Amended and Restated CAT NMS Plan, as
modified by the Amendment.

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    On April 27, 2016, the Commission published a notice soliciting
comments from the public (``CAT NMS Plan Notice'').\2\ On November 15,
2016, the Commission approved the CAT NMS Plan (``CAT NMS Plan
Order''), including the information collections proposed in the CAT NMS
Plan Notice and certain additional information collections that are the
subject of this Notice.\3\ This Notice addresses only the new
information collections noticed in the CAT NMS Plan Order, which are:
(1) A one-time independent audit of the fees, costs, and expenses
incurred by the Participants on behalf of CAT NMS, LLC prior to the
Effective Date \4\ of the Plan; \5\ (2) a one-time assessment of the
clock synchronization standards in the Plan before reporting begins for
Industry Members, which assessment shall take into account the
diversity of CAT Reporters and systems; \6\ (3) a one-time report that
discusses the Participants' assessment of implementing coordinated
surveillance; \7\ (4) a one-time report discussing the feasibility and
advisability of allowing Industry Members to bulk download the Raw Data
that it has submitted to the Central Repository; \8\ (5) a one-time
assessment of the nature and extent of errors in the Customer
information submitted to the Central Repository and whether the
correction of certain data fields over others should be prioritized;
\9\ (6) a one-time report on the impact of tiered fees on market
liquidity, including an analysis of the impact of the tiered-fee
structure on Industry Members provision of liquidity; \10\ (7) an
assessment of the projected impact of any Material Systems Change on
the Maximum Error Rate, prior to the implementation of such Material
Systems Change; \11\ and (8) an annual requirement that that the CAT
LLC financials be (i) in compliance with GAAP, (ii) be audited by an
independent public accounting firm, and (iii) be made publicly
available.\12\
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    \2\ See Securities Exchange Act Release No. 77724 (April 27,
2016), 81 FR 30613 (May 17, 2016). The burdens associated with the
CAT NMS Plan Notice were submitted under OMB number 3235-0671 which
relates to the NMS Plan required to be filed under Rule 613.
    \3\ See Securities Exchange Act Release No. 79318 (November 15,
2016), 81 FR 84696 (November 23, 2016), available at https://www.sec.gov/rules/sro/nms/2016/34-79318.pdf.
    \4\ The ``Effective Date'' is the date the Commission approved
the CAT NMS Plan, which was November 15, 2016. See id.
    \5\ See CAT NMS Plan Order, supra note at 84940.
    \6\ Id.
    \7\ Id. at 84940-84941.
    \8\ Id. at 84941.
    \9\ Id.
    \10\ Id. at 84941-84942.
    \11\ Id. at 84942. The Commission believes that four assessments
would be filed annually.
    \12\ Id.
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    The Commission believes that these audits, reports, and assessments
of various aspects of the CAT NMS Plan are necessary to achieving the
CAT NMS Plan's objective of improving the quality of the data available
to regulators in four areas that affect the ultimate effectiveness of
core regulatory efforts--completeness, accuracy, accessibility and
timeliness.\13\
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    \13\ See Securities Exchange Act Release No. 67457 (July 18,
2012), 77 FR 45722 (August 1, 2012) (``Rule 613 Adopting Release''),
at 45727 (discussing four ``qualities'' of trade and order data that
impact the effectiveness of core Participant and Commission
regulatory efforts: accuracy, completeness, accessibility, and
timeliness).
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    The new information collections further require that each
Participant conduct background checks for its employees and contractors
that will use the CAT System.\14\ The Commission believes that these
background checks are necessary to ensure that only authorized and
qualified persons are using the CAT System.
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    \14\ See CAT NMS Plan Order, supra note at 84942.
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    There are 21 respondents that require an aggregate total of
8,269,747.99 hours to comply with the collection of information, as
amended. The Commission further estimates that the aggregate cost to
comply with the collection of information, as amended, is
$534,465,565.81.
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information under the PRA unless it
displays a currently valid OMB control number.
    The public may view background documentation for this amendment at
the following Web site: www.reginfo.gov. Comments should be directed
to: (i) Desk Officer for the Securities and Exchange Commission, Office
of Information and Regulatory Affairs, Office of Management and Budget,
Room 10102, New Executive Office Building, Washington, DC 20503, or by
sending an email to<EMAIL_ADDRESS>and (ii) Pamela Dyson,
Director/Chief Information Officer, Securities and Exchange Commission,
c/o Remi Pavlik-Simon, 100 F Street NE., Washington, DC 20549, or by
sending an email to<EMAIL_ADDRESS>Comments must be submitted to
OMB within 30 days of this notice.

    Dated: March 16, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-05539 Filed 3-20-17; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 79, Number 158 (Friday, August 15, 2014)]
[Notices]
[Page 48137]
[FR Doc No: 2014-19382]

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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
rate filings:

    Docket Numbers: ER10-2895-008; ER11-2292-007; ER11-3942-006; ER11-
2293-007; ER10-2917-008; ER11-2294-007; ER13-1613-001; ER10-2918-009;
ER10-2920-008; ER11-3941-006; ER10-2921-008; ER10-2922-008; ER10-2966-
008.
    Applicants: Bear Swamp Power Company LLC, Brookfield Energy
Marketing Inc., Brookfield Energy Marketing LP, Brookfield Energy
Marketing US LLC, Brookfield Power Piney & Deep Creek LLC, Brookfield
Renewable Energy Marketing US, Brookfield White Pine Hydro LLC, Carr
Street Generating Station, L.P., Erie Boulevard Hydropower, L.P.,
Granite Reliable Power, LLC, Great Lakes Hydro America, LLC, Hawks Nest
Hydro LLC, Rumford Falls Hydro LLC.
    Description: Supplement to December 30, 2013 Updated Market Power
Analysis for the Northeast Region of the Brookfield Companies.
    Filed Date: 7/31/14.
    Accession Number: 20140731-5214.
    Comments Due: 5 p.m. ET 8/21/14.

    Docket Numbers: ER14-2608-000.
    Applicants: California Independent System Operator Corporation.
    Description: 2014-08-06--BPA--DynamicTransferAgreement to be
effective 10/1/2014.
    Filed Date: 8/6/14.
    Accession Number: 20140806-5130.
    Comments Due: 5 p.m. ET 8/27/14.

    Docket Numbers: ER14-2609-000.
    Applicants: 3 Phases Energy Services, LLC.
    Description: The California Independent System Operator submits
Tariff 3 Phases Energy Services, LLC submits Request for Waiver of
Section 37.11.1.
    Filed Date: 8/6/14.
    Accession Number: 20140806-5165.
    Comments Due: 5 p.m. ET 8/27/14.

    Docket Numbers: ER14-2610-000.
    Applicants: Southwestern Public Service Company.
    Description: 2014-8-7--SPS-GSEC-BCEC-South-CA-672-0.0.0-filing to
be effective 8/8/2014.
    Filed Date: 8/7/14.
    Accession Number: 20140807-5010.
    Comments Due: 5 p.m. ET 8/28/14.

    Take notice that the Commission received the following land
acquisition reports:

    Docket Numbers: LA13-4-000.
    Applicants: Macho Springs Power I, LLC.
    Description: Quarterly Land Acquisition Report and Request for
Waiver of Macho Springs Power I, LLC.
    Filed Date: 8/6/14.
    Accession Number: 20140806-5158.
    Comments Due: 5 p.m. ET 8/27/14.

    Take notice that the Commission received the following qualifying
facility filings:

    Docket Numbers: QF14-586-000.
    Applicants: HSC Fuel Cell 1, LLC.
    Description: Form 556 of HSC Fuel Cell 1, LLC.
    Filed Date: 6/17/14.
    Accession Number: 20140617-5181.
    Comments Due: None Applicable.

    Docket Numbers: QF14-641-000.
    Applicants: REI 2, LLC.
    Description: Form 556 of REI 2, LLC.
    Filed Date: 7/7/14.
    Accession Number: 20140707-5083.
    Comments Due: None Applicable.

    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: August 7, 2014.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2014-19382 Filed 8-14-14; 8:45 am]
BILLING CODE 6717-01-P