[Federal Register Volume 86, Number 56 (Thursday, March 25, 2021)]
[Notices]
[Pages 15996-16003]
[FR Doc No: 2021-06125]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-91370; File No. SR-BX-2021-006]

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Amend the
Exchange's Books and Records Rules and Update Obsolete NASD References
in Its Rulebook

March 19, 2021.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on March 8, 2021, Nasdaq BX, Inc. (``BX'' or ``Exchange'') filed with
the Securities and Exchange Commission (``Commission'') the proposed
rule change as described in Items I and II below, which Items have been
prepared by the Exchange. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
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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

    The Exchange proposes to update the Exchange's books and records
provisions; update obsolete references to NASD rules in the Exchange's
rulebook (``Rulebook''); and make other related and cleanup changes.
    The text of the proposed rule change is available on the Exchange's
website at https://listingcenter.nasdaq.com/rulebook/bx/rules, at the
principal office of the Exchange, and at the Commission's Public
Reference Room.

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

    In its filing with the Commission, the Exchange included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. The Exchange 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
    In 2008, the Financial Industry Regulatory Authority (FINRA) began
a process to harmonize and streamline its rules by retiring,
consolidating, and relocating NASD rules into the FINRA rulebook.\3\
Consistent with those changes, the Exchange is proposing to update the
Exchange's books and records provisions; replace outdated NASD
references in its Rulebook; delete unnecessary or duplicative rule
text; and consolidate certain Exchange rules. Additionally, the
Exchange proposes to make some necessary cleanup changes to improve the
readability of its Rulebook.
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    \3\ See Information Notice, March 28, 2008 (Rulebook
Consolidation Process) at https://www.finra.org/sites/default/files/NoticeDocument/p038121.pdf.
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    Generally, where appropriate, the Exchange will replace the term
``Association'' and the ``NASD'' acronym with the acronym ``FINRA.''
Specifically, the Exchange will provide cites to the updated FINRA
rules and current internal references as provided in the relocated
FINRA rules.
    Additionally, the Exchange proposes to delete throughout its
Rulebook the paragraphs that refer to the consolidation of NASD rules
into the FINRA rulebook, since FINRA has completed the relocation of
the NASD rules. Finally, the Exchange proposes to update internal
cross-references as necessary.\4\
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    \4\ The Exchange will request an exemption from the rule filing
requirements of Section 19(b) of the Exchange Act for those FINRA
rules that it proposes to incorporate by reference. The proposed
rule changes that are the subject of this filing will be operative
upon the approval of the Exchange's request for an exemption under
Section 36 of the Exchange Act from filing proposed rule changes.
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A. Books and Records Rules
    The FINRA Books and Records Filing,\5\ amended prior NASD Rule 3110
(Books and Records) and adopted the FINRA Rule 4510 Series (Books and
Records Requirements). This new Rule 4510 Series included FINRA Rules
4511 (General Requirements), 4512 (Customer Account Information), 4513
(Records of Written Customer Complaints), 4514 (Authorization Records
for Negotiable Instruments Drawn From a Customer's Account), and 4515
(Approval and Documentation of Changes in Account Name or Designation).
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    \5\ See Securities Exchange Act Release No. 63784 (January 27,
2011), 76 FR 5850 (February 2, 2011) (SR-FINRA-2010-052) (``FINRA
Books and Records Filing'').
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Nasdaq Books and Records Amendments
    In 2012, The Nasdaq Stock Market's (``Nasdaq'') filed a proposal to
mirror the FINRA Books and Records filing.\6\ Nasdaq's filing
renumbered its then Rule 3110 as Rule 3110A (which was later relocated
under Nasdaq General 9, Section 30 \7\) and adopted the Nasdaq Rule
4510A Series to parallel the provisions in the FINRA rulebook, as shown
in the chart below:
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    \6\ See Securities Exchange Act Release No. 68123 (October 31,
2012), 77 FR 66658 (November 6, 2012) (SR-NASDAQ-2012-123).
    \7\ See Securities Exchange Act Release No. 87778 (December 17,
2019), 84 FR 70590 (December 23, 2019) (SR-NASDAQ-2019-098).

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         Nasdaq books and records              FINRA books and records
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Rule 4511A (Now Nasdaq Gen. 9, Section 43)  FINRA Rule 4511.
Rule 4512A (Now Nasdaq Gen. 9, Section 45)  FINRA Rule 4512.
Rule 4513A (Now Nasdaq Gen. 9, Section 44)  FINRA Rule 4513.
Rule 4514A (Now Nasdaq Gen. 9, Section 46)  FINRA Rule 4514.
Rule 4515A (Now Nasdaq Gen. 9, Section 47)  FINRA Rule 4515.
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BX General 9, Section 30
    Consistent with the 2012 Nasdaq filing and the Nasdaq rules listed
above, the Exchange proposes to amend BX General 9, Section 30 and
provide that Exchange members (and their associated persons) shall
comply with FINRA Rule 4511 as if such rule were part of the Exchange's
rules. Moreover as detailed below, the Exchange proposes to incorporate
by reference FINRA Rules 4511 through 4515 under its respective General
9, Sections 43 through 47:
(1) General 9, Section 43
    The Exchange proposes to incorporate the FINRA rule by reference,
indicating that Exchange members and persons associated with a member
shall comply with FINRA Rule 4511 as if such Rule were part of the
Exchange rules. Additionally, the Exchange proposes that references to
FINRA rules shall be construed as references to the rules of the
Exchange rules, and that references to FINRA's books and records shall
be construed as references to the Exchange's books and records.
(2) General 9, Section 44
    The Exchange proposes to incorporate FINRA Rule 4513 by reference,
indicating that Exchange members and persons associated with a member
shall comply with FINRA Rule 4513 as if

such Rule were part of the Exchange rules.
(3) General 9, Section 45
    With the elimination of rule text within current General 9, Section
30, the Exchange proposes to adopt a new rule, similar to Nasdaq
General 9, Section 45, which provides:

    (a) Exchange members and persons associated with a member shall
comply with FINRA Rule 4512 as if such Rule were part of the
Exchange rules.
    (b) For purposes of this Rule:
    (1) References to Rule 3260 shall be construed as references to
General 9, Section 19;
    (2) references to Rules 2070, 2090, and 4512 shall be construed
as references to General 9, Sections 29, 10, and this Rule,
respectively;
    (3) references to ``a prior FINRA rule'' shall be construed as
references to ``a FINRA or Exchange rule in effect prior to the
effectiveness of FINRA Rule 4512'';
    (4) The Exchange and FINRA are parties to the Regulatory
Contract pursuant to which FINRA has agreed to perform certain
functions on behalf of the Exchange. Therefore, Exchange members are
complying with this Rule by complying with FINRA Rule 4512 as
written, including, for example, providing information required by
FINRA staff. In addition, functions performed by FINRA, FINRA
departments, and FINRA staff under this Rule are being performed by
FINRA on behalf of the Exchange.
(4) General 9, Section 46
    The Exchange proposes to incorporate FINRA Rule 4514 by reference,
indicating that Exchange members and persons associated with a member
shall comply with FINRA Rule 4514 as if such Rule were part of the
Exchange rules.
(5) General 9, Section 47
    The Exchange proposes to incorporate FINRA Rule 4515 by reference,
indicating that Exchange members and persons associated with a member
shall comply with FINRA Rule 4515 as if such Rule were part of the
Exchange rules. Furthermore, the Exchange proposes that references to
FINRA Rule 3260 shall be construed as references to Exchange's General
9, Section 19.
B. Global Changes
    As previously indicated, the Exchange also proposes to replace the
terms ``Association'' and/or ``NASD'' with the term ``FINRA,'' without
making other accompanying changes to the rules (this will also include
a few, necessary grammatical changes, such as removing where
appropriate the word ``the''). Accordingly, the Exchange will update
General 2, Section 5; General 9, Section 1(b); General 9, Section 3;
General 9, Section 10; General 9, Section 21; General 9, Section 33;
and Rules 2830; 2843; 2848; 11210; IM-11710; 11860; and 11870. The
Exchange notes that it will not update references to NASD notices in
its Rulebook. Specifically, the notices referenced in General 9,
Section 20(e) (``NASD Notice to Members 97-19'') and Rule 4630(d)
(``NASD Notice to Members 91-45'') will remain unchanged.
C. Specific NASD Rule Changes
    The Exchange proposes the following changes to capture the
amendments and relocation of rules in the FINRA rulebook. Additionally,
the cross-references updates are intended to keep the Exchange's rules
aligned with their corresponding FINRA rules:
General 2, Section 5. Regulation of the Exchange and Its Members
    The Exchange proposes to update General 2, Section 5 (``Regulation
of the Exchange and Its Members'') by splitting its subsection (b) into
two separate subsections and, thus, follow the same rule structure of
equivalent General 2, Section 5 in Nasdaq rulebook.
    Additionally, as previously informed, given that FINRA has already
completed the consolidation and relocation of the NASD rules, the
Exchange proposes to delete current subsection (c).
General 2, Section 15. Business Continuity Plans
    The Exchange proposes to update the NASD Rule 3510 reference in
this rule and replace it with a reference to FINRA Rule 4370
(``Business Continuity Plans and Emergency Contact Information'').
FINRA Rule 4370 was adopted to include NASD Rules 3510 (``Business
Continuity Plans'') and NASD Rule 3520 (``Emergency Contact
Information'') without substantive changes to the rule text.\8\
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    \8\ See Securities Exchange Act Release No. 60534 (August 19,
2009), 74 FR 44410 (August 28, 2009) (SR-FINRA-2009-036).
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    Additionally, the Exchange proposes to include a new paragraph (b)
that will indicate that references in FINRA Rule 4370 to Rule 4517
shall be construed as references to Exchange's General 2, Section 16.
General 3, Section 1. Membership, Registration and Qualification
Requirements
    The Exchange proposes to make a cleanup change in General 3,
Section 1. Specifically, the Exchange proposes to update the text in
the rule's introductory text by replacing the reference to BX Rule 0120
with a reference to the General 1 and Equity 1 title. This change is
made pursuant to the relocation of Exchange Rules 0111, 0112, 0113,
0120, and 0121 to General 1 and Equity 1 in 2019.\9\
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    \9\ See Securities Exchange Act Release No. 87468 (November 5,
2019), 84 FR 61091 (November 12, 2019) (SR-BX-2019-039).
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    Additionally, the Exchange will update the reference to the BX Rule
1200 Series with a reference to General 4 (``Registration
Requirements''),\10\ which currently incorporates by reference Nasdaq's
registration rules.
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    \10\ See Securities Exchange Act Release No. 85726 (April 26,
2019), 84 FR 18908 (May 2, 2019) (SR-BX-2019-010).
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General 9, Section 1. General Standards
    The Exchange proposes to update the title of current Section 1(b),
``Trading Ahead of Customer Limit Order'' with a title consistent with
Nasdaq and FINRA rules: ``Prohibition Against Trading Ahead of Customer
Orders.''
    Moreover, the Exchange proposes to update the introductory
paragraph in Section 1(b), that currently points to NASD Interpretive
Material 2110-2 with a reference to FINRA Rule 5320 (``Prohibition
Against Trading Ahead of Customer Orders''). In 2009, FINRA proposed to
integrate NASD IM-2110-2 and NASD Rule 2111 into FINRA Rule 5320, to
govern members' treatment of customer orders and apply the new Rule
5320 to all equity securities uniformly, and to extend the application
of NASD Rule 2111 to OTC equity securities.\11\ In regard to this FINRA
rule consolidation, the Exchange proposes to merge the contents of its
Sections 1(b) and (h), as some of their contents will be otherwise
duplicative.
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    \11\ See Securities Exchange Act Release No. 63895 (February 11,
2011), 76 FR 9386 (February 17, 2011) (SR-FINRA-2009-090).
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    Therefore, the Exchange proposes to delete Section 1(b)(1), which
currently points to the term ``NASD Rules'' and provides a cross-
reference to NASD Interpretive Material 2110-2(a). This is because
Section 1(b)'s opening paragraph already requires members to comply
with FINRA Rule 5320 as if it was an Exchange rule and FINRA Rule 5320
does not use the term ``NASD Rules.''
    Similarly, because current FINRA Rule 5320 does not contain
references to NASD's Board of Directors, the Exchange proposes to
delete the text under current Section 1(b)(2) and renumber the
subsequent subsections.
    Moreover, to be consistent with FINRA Rule 5320, the Exchange
proposes to remove, update, and insert new cross-references under
renumbered Section 1(b)(1). The Exchange will thus delete the cross
reference that currently

points to NASD Rules 2110 since no equivalent rule is provided under
FINRA Rule 5320; relatedly, the Exchange will delete the reference to
General 9, Section 1. The Exchange also proposes to replace the
references to NASD Rules 2320 and 3110, respectively, with references
to FINRA Rules 5310, and 4512 and provide the corresponding references
in the Exchange rulebook. The Exchange proposes also to insert a cross-
reference to FINRA Rule 7440 and the equivalent Exchange Rule 7440A.
    The Exchange proposes to delete the text under renumbered Section
1(b)(3) and insert clarifying text indicating that FINRA Rule
5320.02(b) and the reference to Rule 6420 therein shall be disregarded.
This is because the Exchange does not list or trade over the counter
securities (``OTC'').
    The Exchange proposes to update renumbered Section 1(b)(4) since
the exemption referenced in it is now located in FINRA Rule 5320,
Supplementary Material .03. Relatedly, the Exchange will insert in
renumbered Section 1(b)(4) clarifying text indicating that members will
comply with the rule's reporting requirements.
    The Exchange proposes to update Section 1(c) by replacing the
reference to NASD Interpretive Material 2110-3 with a reference to
FINRA Rule 5270 (``Front Running of Block Transactions''), which FINRA
adopted to broaden the scope of the NASD rule and provide further
clarity into activity that FINRA believes is inconsistent with just and
equitable principles of trade.\12\
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    \12\ See Securities Exchange Act Release No. 67774 (September 4,
2012), 77 FR 55519 (September 10, 2012) (SR-FINRA-2012-025).
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    The Exchange also proposes to update Section 1(f) by replacing the
reference to NASD Interpretive Material 2110-6 with a reference to
FINRA Rule 2232 (``Customer Confirmations''). FINRA Rule 2232 was
adopted to streamline and consolidate basic customer confirmation
requirements in NASD Rule 2230, NASD IM-2110-6, and Incorporated NYSE
Rule 409(f).\13\
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    \13\ See Securities Exchange Act Release No. 63150 (October 21,
2010), 75 FR 66173 (October 27, 2010) (SR-FINRA-2009-058).
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    The Exchange proposes to update Section 1(g) by replacing the
reference to NASD Interpretive Material 2110-7 with a reference to
FINRA Rule 2140 (``Interfering With the Transfer of Customer Accounts
in the Context of Employment Disputes''). FINRA Rule 2140 was adopted
without any material changes to the NASD rule text.\14\
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    \14\ See Securities Exchange Act Release No. 59495 (March 3,
2009), 74 FR 10632 (March 11, 2009) (SR-FINRA-2008-052).
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    Finally, following the deletion of Section 1(h), the Exchange
proposes to re-letter current Section 1(i) (``Use of Manipulative,
Deceptive or Other Fraudulent Devices'') as Section 1(h).
General 9, Section 3. Communications With the Public and Section 4.
Institutional Sales Material and Correspondence
    In 2012, FINRA adopted Rule 2210 (``Communications with the
Public'') to encompass, among other provisions, NASD Rules 2210 and
2211, and NASD Interpretive Materials 2210-1 and 2210-4.\15\ The
Exchange proposes to consolidate the text of General 9, Sections 3 and
4 into current Section 3 and reserve current Section 4, as explained
below.
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    \15\ See Securities Exchange Act Release No. 66681 (March 29,
2012), 77 FR 20452 (April 4, 2012) (SR-FINRA-2011-035).
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    Current General 9, Section 3(a) incorporates by reference NASD Rule
2210 (``Communications with the Public''). The Exchange proposes to
update this reference with the name ``FINRA.''
    The Exchange also proposes to delete Section 3(b) which currently
incorporates by reference NASD IM-2210-1 which, as explained above, was
merged into FINRA Rule 2210. Updating current Section 3(b) to
incorporate FINRA Rule 2210 will make Section 3(b) redundant.
Therefore, Section 3(b) will be deleted as it is no longer necessary.
Following the deletion of Section 3(b), the Exchange will re-letter
current Section 3(c) as (b), without any changes to the rule text.
    The Exchange proposes to delete General 9, Section 4 and relocate
some of its contents under current General 9, Section 3. General 9,
Section 4(a) will be deleted because Section 3(a) already incorporates
the provisions from NASD Rule 2211 which were merged into current FINRA
Rule 2210.
    Furthermore, the Exchange believes that the exception in current
Section 4(a) concerning NASD Rule 2211(d)(3) does not need to be added
to General 9, Section 3(a), because that provision is no longer
referenced in FINRA Rule 2210.
    The Exchange also proposes to adopt current Section 4(b)(1) as
Section 3(c), with a minor change. New Section 3(c) will provide that
references to FINRA ``membership'' will be construed as references to
membership with the Exchange.
    Finally, the Exchange proposes to adopt part of the text in current
Section 4(b)(2) as Section 3(d). New Section 3(d) will omit references
to FINRA Rule 2210 (as such incorporation is already provided in
Section 3(a)) and will state that references to FINRA Rules 4512 \16\
and 3110 \17\ shall be read, respectively, as references to General 9,
Section 45 and Section 20.
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    \16\ See supra note 5.
    \17\ See Securities Exchange Act Release No. 71179 (December 23,
2013), 79 FR 79542 (December 30, 2013) (SR-FINRA-2013-025).
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General 9, Section 9. Fairness Opinions
    The Exchange proposes to update the NASD Rule 2290 reference in
this rule and replace it with a reference to FINRA Rule 5150
(``Fairness Opinions''). The aforementioned NASD rule was relocated to
FINRA Rule 5150 with no changes to the rule text.\18\
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    \18\ See Securities Exchange Act Release No. 58643 (September
25, 2008), 73 FR 57174 (October 1, 2008) (SR-FINRA-2008-028).
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General 9, Section 10. Recommendations to Customers (Suitability)
    The Exchange proposes to update the NASD Rule 2310 reference in
this rule and replace it with a reference to FINRA Rule 2111
(``Suitability''). The FINRA Suitability rule was adopted in 2010 to
include NASD Rule 2310 (Recommendations to Customers (Suitability)) and
its related Interpretative Materials.\19\
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    \19\ See Securities Exchange Act Release No. 63325 (November 17,
2010), 75 FR 71479 (November 23, 2010) (SR-FINRA-2010-039).
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    As previously described, the Exchange will delete the paragraphs
that refer to FINRA consolidating the NASD rules into a new FINRA
rulebook, since such relocation has been completed. Concerning the
second paragraph in Section 10(a), the Exchange notes that it will also
delete the cross-reference to Rule 3110, since such reference was not
relocated when NASD Rule 2310 was merged into FINRA Rule 2111.
    The Exchange also proposes to delete Section 10(b) since, as
already described, NASD Rule 2310's interpretive materials were merged
into FINRA Rule 2111, which would make Section 10(b) duplicative.
    Moreover, the Exchange proposes to assign the letter (b) to the
text that begins with ``For purposes of . . .'' and make the following
changes:
    The Exchange will insert a new subsection (1) which will provide
that any references to Rules 2111 and 4512 in FINRA Rule 2111 shall be
construed, respectively, as references to Exchange's General 9, Section
10 and 45.
    The Exchange will also renumber the next paragraph as (2) and
replace the references to ``Association's Rules'' and ``Association
Rules'' with the term ``FINRA rules''.

    The Exchange will next delete the paragraph that refers to NASD's
District Business Conduct Committees and Board of Governors, as such
references are not provided in the current FINRA Suitability rule.
Similarly, the Exchange will delete the paragraph that references the
term ``Association'' since such term is not in the current FINRA rule.
Furthermore, the Exchange will also delete the reference to Rule 2840
as such rule is not referenced in FINRA Rule 2111.
    The Exchange will insert a new subsection (3) which will clarify
that references to Rule 2214 shall be disregarded, and no comparable
Exchange Rule shall apply to activities of Exchange Members in
connection with investment analysis tools.\20\
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    \20\ The Exchange notes that a correction shall be made in a
future filing to current Nasdaq General 9, Section 10(b)(3), which
currently points to NASD IM-2210-6, which has been relocated and
should actually refer to FINRA Rule 2214.
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    Finally, the Exchange proposes to delete the rule text in current
Section 10(c) since, as already explained, the Interpretive Materials
of NASD Rule 2310 were merged into the FINRA Suitability rule. In its
place, the Exchange proposes to adopt the same cross-reference found in
Nasdaq's General 9, Section 10(c) to provide that Exchange members will
comply with FINRA Rule 2090 (``Know Your Customer'') as if such rule
was part of the Rules of the Exchange.
General 9, Section 12. Customer Account Statements
    The Exchange proposes to update the NASD Rule 2340 reference in
this rule and replace it with a reference to FINRA Rule 2231
(``Customer Account Statements''). FINRA Rule 2231 was adopted without
any substantive changes to the NASD rule text.\21\
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    \21\ See Securities Exchange Act Release No. 85589 (April 10,
2019), 84 FR 15646 (April 16, 2019) (SR-FINRA-2019-009).
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    Moreover, the Exchange proposes to amend Section 12(b) to provide
that references in FINRA Rule 2231 to FINRA Rule 2310 (``Direct
Participation Programs'') shall be construed as a reference to the
corresponding BX Rule 2310A. Additionally, the Exchange proposes to
replace the reference to NASD Rule 3110 with FINRA Rule 4512
(``Customer Account Information'') and insert its corresponding cross-
reference to General 9, Section 45. Finally, the Exchange proposes to
delete the word ``Equity'' (used twice in the subsection) and re-
arrange the rules in Section 12(b) to match their corresponding
references in the Nasdaq rulebook.
General 9, Section 13. Margin Disclosure Statement
    The Exchange proposes to update the NASD Rule 2341 reference in
this rule and replace it with a reference to FINRA Rule 2264 (``Margin
Disclosure Statement''). FINRA Rule 2264 was adopted with only minor
changes to the text of NASD Rule 2341, and those changes were intended
to clarify the submission of disclosure statements.\22\
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    \22\ See Securities Exchange Act Release No. 60697 (September
21, 2009), 74 FR 49051 (September 25, 2009) (SR-FINRA-2009-052).
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    The Exchange also proposes to amend Section 13(b) by updating the
reference to NASD Rule 3110 with FINRA Rule 4512 \23\ and insert its
corresponding cross-reference to General 9, Section 45.
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    \23\ See supra note 5.
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General 9, Section 14. Approval Procedures for Day-Trading Accounts
    The Exchange proposes to update the second sentence in Section
14(a) that currently refers to NASD Rule 2361 with FINRA Rule 2270.
FINRA Rule 2270 was adopted with minor changes to the text of NASD Rule
2361.\24\ The Exchange proposes to insert text indicating that a
reference to FINRA Rule 2270 shall be construed as a reference to
General 9, Section 14.
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    \24\ See Securities Exchange Act Release No. 61059 (November 24,
2009), 74 FR 62847 (December 1, 2009) (SR-FINRA-2009-059).
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    The Exchange also proposes to amend Section 14(a) by updating the
reference to NASD Rule 3110 with FINRA Rules 4511 and 4512 \25\ and
their corresponding references to General 9, Sections 30 and 45 (as
indicated in the preceding paragraph, the Exchange is cross-referencing
General 9, Section 14 with FINRA Rule 2270, and thus cross-referencing
this Section 14 with FINRA's Books and Records rules is unnecessary).
Finally, the Exchange will insert text indicating that references to
FINRA Rules 4210 shall be construed as references to General 9, Section
38.
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    \25\ See supra note 5.
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    Similarly, the Exchange proposes to update the second paragraph in
Section 14(b) that currently refers to NASD Rule 2360 with a reference
to FINRA Rule 2130. FINRA Rule 2130 was adopted with minor changes to
the text of NASD Rule 2360.\26\ The Exchange also proposes to amend
Section 14(b) by updating the reference to NASD Rule 3110 with FINRA
Rule 4512 \27\ and the corresponding reference to General 9, Section 30
with Section 45, because it corresponds to FINRA Rule 4512.
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    \26\ See supra note 24.
    \27\ See supra note 5.
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General 9, Section 16. Charges for Services Performed
    The Exchange proposes to update the NASD Rule 2430 reference in
this rule and replace it with a reference to FINRA Rule 2122 (``Charges
for Services Performed''). FINRA Rule 2122 was adopted without any
substantive changes to the NASD rule text.\28\
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    \28\ See Securities Exchange Act Release No. 73714 (December 2,
2014), 79 FR 72743 (December 8, 2014) (SR-FINRA-2014-049).
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General 9, Section 17. Net Transactions With Customers
    The Exchange proposes to update the NASD Rule 2441 reference in
this rule and replace it with a reference to FINRA Rule 2124 (``Net
Transactions with Customers''). FINRA Rule 2124 was adopted without any
substantive changes to the NASD rule text.\29\ The Exchange also
proposes to update the a cross-reference to NASD Rule 3110 with
references to FINRA Rules 4511 and 4512, which have a corresponding
Exchange rule under General 9, Sections 30 and 45.
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    \29\ See supra note 8.
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General 9, Section 19. Discretionary Accounts
    The Exchange proposes to letter the first paragraph as subsection
(a) and update the NASD Rule 2510 reference in this rule and replace it
with a reference to FINRA Rule 3260 (``Discretionary Accounts''). FINRA
Rule 3260 was adopted without any substantive changes to the NASD rule
text.\30\
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    \30\ See supra note 21.
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    Moreover, the Exchange will letter the last paragraph in Section 19
as subsection (b) and update the cross-references to NASD rules with
their respective equivalent FINRA rules. Specifically, the Exchange
will replace the NASD Rule 3010 reference with FINRA Rule 3110.
Additionally, the Exchange will replace the NASD Rule 3110 reference
with FINRA Rule 4512.\31\ Finally, the Exchange proposes to replace the
reference to General 9, Section 30 with Section 45, because it
corresponds to FINRA Rule 4512.
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    \31\ See supra note 5.
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General 9, Section 21. Supervisory Control System and Section 22.
Annual Certification of Compliance and Supervisory Processes
    The Exchange proposes to consolidate Sections 21 and 22 into one
rule, Section 21 (``Supervisory Control System, Annual Certification of
Compliance and Supervisory Processes''), as explained below. First, the
Exchange proposes to update the

NASD Rule 3012 reference in this rule and replace it with a reference
to FINRA Rule 3120 (``Supervisory Control System''). FINRA Rule 3120
retained the former NASD rule's testing and verification requirements
for the member's supervisory procedures and provided requirements for
members reporting $200 million or more in gross revenue.\32\
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    \32\ See supra note 17.
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    Second, the Exchange proposes to adopt as new Section 21(c)
(``Annual Certification of Compliance and Supervisory Processes'') the
text in current Section 22(c). Further, the Exchange will update in the
relocated subsection the reference to NASD Rule 3013 and replace it
with a reference to FINRA Rule 3130 (``Annual Certification of
Compliance and Supervisory Processes''). FINRA Rule 3130 was adopted to
streamline and combine the requirements of NASD Rule 3013 and IM-
3013.\33\
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    \33\ See Securities Exchange Act Release No. 58661 (September
26, 2008), 73 FR 57395 (October 2, 2008) (SR-FINRA-2008-030).
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    Third, the Exchange proposes to adopt the text under Section 22(c)
that begins with the words: ``For purposes of this Rule . . .'' and
letter them as new Section 21(d). In Section (d)(2), as previously
explained, the Exchange will update the reference to NASD Rule 3013
with FINRA Rule 3130, which shall be read as a reference to Exchange's
corresponding rule under General 9, Section 21. Similarly, the Exchange
proposes to update the cross-reference to NASD Rule 2110 with FINRA
Rule 2010. In 2008, NASD Rule 2110 was renumbered as FINRA Rule 2010
with no changes to the rule text.\34\ Additionally, the Exchange will
change the General 9, Section 22 reference, which will be reserved,
with a reference to Section 21. Moreover, the Exchange proposes to
change the reference to General 9, Section 1 with Section 1(a), because
it corresponds to FINRA Rule 2010.
---------------------------------------------------------------------------

    \34\ See supra note 18.
---------------------------------------------------------------------------

    Finally, the Exchange will delete and reserve current General 9,
Section 22, since its subsections will be duplicative of subsections in
Section 21 after the proposed changes.
General 9, Section 23. Outside Business Activities of an Associated
Person
    The Exchange proposes to update the NASD Rule 3030 reference in
this rule and replace it with a reference to FINRA Rule 3270 (``Outside
Business Activities of Registered Persons''). FINRA Rule 3270 was
adopted to harmonize and simplify the events that constitute an outside
business activity, expanding upon the obligations imposed in NASD Rule
3030, by prohibiting any registered person from doing business with
another person as a result of any business activity outside the scope
of the relationship with his or her member firm, unless prior written
notice was provided to the member.\35\
---------------------------------------------------------------------------

    \35\ See Securities Exchange Act Release No. 62762 (August 23,
2010), 75 FR 53362 (August 31, 2010) (SR-FINRA-2009-042).
---------------------------------------------------------------------------

    Moreover, the Exchange will update the duplicative cross-reference
to NASD Rule 3030 in Section 23(b) (which should have been a reference
to NASD Rule 3040) and replace it with a reference to FINRA Rule
3280.\36\ The Exchange proposes also to update the reference to General
9, Section 23 with Section 24 (``Private Securities Transactions of an
Associated Person''), because it corresponds to FINRA Rule 3280.
---------------------------------------------------------------------------

    \36\ See Securities Exchange Act Release No. 75757 (August 25,
2015), 80 FR 52530 (August 31, 2015) (SR-FINRA-2015-030).
---------------------------------------------------------------------------

General 9, Section 24. Private Securities Transactions of an Associated
Person
    The Exchange proposes to update the NASD Rule 3040 reference in
this rule and replace it with a reference to FINRA Rule 3280 (``Private
Securities Transactions of an Associated Person''). FINRA Rule 3280 was
adopted without any substantive changes to the NASD rule text.\37\
---------------------------------------------------------------------------

    \37\ Id. See also Securities Exchange Act Release No. 80105
(February 24, 2017), 82 FR 12387 (March 2, 2017) (SR-FINRA-2017-
004).
---------------------------------------------------------------------------

    The Exchange will also update the duplicative cross-reference in
Section 24(b)(1) to NASD Rule 3040 (which should have been actually a
reference to NASD Rule 3050) with a reference to FINRA Rule 3210.\38\
The Exchange proposes also to update the reference to General 9,
Section 24 with Section 25 (``Transactions for or by Associated
Persons''), because it incorporates FINRA Rule 3210.
---------------------------------------------------------------------------

    \38\ See Securities Exchange Act Release No. 77550 (April 7,
2016), 81 FR 21924 (April 13, 2016) (SR-FINRA-2015-029).
---------------------------------------------------------------------------

    Furthermore, the Exchange proposes to correct a typo in the quoted
text in General 9, Section 24(b)(2). Specifically, the Exchange will
substitute the word ``immediately'' with ``immediate.''
    The Exchange proposes also to replace a reference to NASD Rule 2790
with FINRA Rule 5130.\39\ The definition of ``immediate family
member,'' cross-referenced in General 9, Section 24(b)(2), is currently
located under FINRA Rule 5130(i)(5).
---------------------------------------------------------------------------

    \39\ See Securities Exchange Act Release No. 58421 (August 25,
2008), 73 FR 51032 (August 29, 2008) (SR-FINRA-2008-025).
---------------------------------------------------------------------------

General 9, Section 25. Transactions for or by Associated Persons
    The Exchange proposes to update the NASD Rule 3050 reference in
this rule and replace it with a reference to FINRA Rule 3210
(``Accounts At Other Broker-Dealers and Financial Institutions'').
FINRA Rule 3210 was adopted to consolidate NASD Rule 3050, Incorporated
NYSE Rules 407 and 407A, and Incorporated NYSE Rule Interpretations
407/01 and 407/02. The rule was designed to streamline the provisions
of the NASD and incorporated NYSE rules and to help facilitate
effective oversight of the specified trading activities of associated
persons of member firms.\40\
---------------------------------------------------------------------------

    \40\ See supra note 38.
---------------------------------------------------------------------------

General 9, Section 26. Influencing or Rewarding Employees of Others
    The Exchange proposes to update the NASD Rule 3060 reference in
this rule and replace it with a reference to FINRA Rule 3220
(``Influencing or Rewarding Employees of Others''). FINRA Rule 3220 was
adopted without any material changes to the NASD rule text.\41\
---------------------------------------------------------------------------

    \41\ See Securities Exchange Act Release No. 58660 (September
26, 2008), 73 FR 57393 (October 2, 2008) (SR-FINRA-2008-027).
---------------------------------------------------------------------------

General 9, Section 28. Disclosure to Associated Persons When Signing
Form U4
    The Exchange proposes to update the NASD Rule 3080 reference in
this rule and replace it with a reference to FINRA Rule 2263
(``Arbitration Disclosure to Associated Persons Signing or
Acknowledging Form U4''). NASD Rule 3080 was transferred into FINRA
Rule 2263 which was adopted to improve and clarify the disclosure
requirement of Form U4.\42\
---------------------------------------------------------------------------

    \42\ See Securities Exchange Act Release No. 60348 (July 20,
2009), 74 FR 37077 (July 27, 2009) (SR-FINRA-2009-019).
---------------------------------------------------------------------------

General 9, Section 31. Use of Information Obtained in Fiduciary
Capacity
    The Exchange proposes to update the NASD Rule 3120 reference in
this rule and replace it with a reference to FINRA Rule 2060 (``Use of
Information Obtained in Fiduciary Capacity''). FINRA Rule 2060 was
adopted without any changes to the NASD rule text.\43\
---------------------------------------------------------------------------

    \43\ See Securities Exchange Act Release No. 61071 (November 30,
2009), 74 FR 64109 (December 7, 2009) (SR-FINRA-2009-067).

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

General 9, Section 33. Reporting Requirements for Clearing Firms
    The Exchange proposes to update the NASD Rule 3150 reference in
this rule and replace it with a reference to FINRA Rule 4540
(``Reporting Requirements for Clearing Firms''). FINRA Rule 4540 was
adopted without any substantive changes to the NASD rule text.\44\
---------------------------------------------------------------------------

    \44\ See supra note 21.
---------------------------------------------------------------------------

General 9, Section 34. Extensions of Time Under Regulation T and SEC
Rule 15c3-3
    The Exchange proposes to update the NASD Rule 3160 reference in
this rule and replace it with a reference to FINRA Rule 4230
(``Required Submissions for Requests for Extensions of Time Under
Regulation T and SEA Rule 15c3-3''). FINRA Rule 4230 was adopted
largely based on the text of NASD Rule 3160, with a clarification to
the original rule text regarding the reporting obligations of clearing
members.\45\
---------------------------------------------------------------------------

    \45\ See Securities Exchange Act Release No. 62482 (July 12,
2010), 75 FR 41562 (July 16, 2010) (SR-FINRA-2010-024).
---------------------------------------------------------------------------

General 9, Section 38. Margin Requirements
    The Exchange proposes to update the NASD Rule 2520 references in
this rule and replace it with references to FINRA Rule 4210 (``Margin
Requirements''). In 2010, NASD Rules 2520, 2521, 2522, and IM-2522 were
combined and consolidated into a single rule intended to improve the
organization of margin rules and improve their readability.\46\
---------------------------------------------------------------------------

    \46\ Id.
---------------------------------------------------------------------------

General 9, Section 49. Payments Involving Publications That Influence
the Market Price of a Security
    The Exchange proposes to update the NASD Rule 2711 reference in
this rule and replace it with a reference to FINRA Rule 2241
(``Research Analysts and Research Reports''). Specifically, the
research report's definition referenced in General 9, Section 49(b)(3)
was relocated to current FINRA Rule 2241(a)(11). That definition was
amended to exclude communications concerning open-end registered
investment companies not listed or traded on an exchange.\47\
---------------------------------------------------------------------------

    \47\ See Securities Exchange Act Release No. 75471 (July 16,
2015), 80 FR 43482 (July 22, 2015) (SR-FINRA-2014-047).
---------------------------------------------------------------------------

Exchange Rule 2830. Investment Company Securities
    The Exchange proposes to update the NASD Rule 2830 reference in
this rule and replace it with a reference to FINRA Rule 2341
(``Investment Company Securities''). FINRA Rule 2341 was adopted
without any substantive changes to the NASD rule text.\48\
---------------------------------------------------------------------------

    \48\ See Securities Exchange Act Release No. 78130 (June 22,
2016), 81 FR 42016 (June 28, 2016) (SR-FINRA-2016-019).
---------------------------------------------------------------------------

    Moreover, to be consistent with cross-reference updates in current
FINRA Rule 2341, the Exchange will update the cross-reference to NASD
Rule 2820 with FINRA Rule 2320. Additionally, the Exchange will update
Rule 2830(b)(3) by replacing the NASD Rule 2420 reference with FINRA
Rule 2040 and update the rule text to track the text of FINRA Rule
2040(a). Finally, the Exchange will replace the NASD Rule 2230
reference with FINRA Rule 2232.
Exchange Rule 2843. Account Approval
    The Exchange proposes to update the references to NASD Rules
2860(b)(16) and 2843 in this rule and replace them with references to
FINRA Rules 2360(b)(16) (``Opening of Accounts'') and 2352 (``Account
Approval''). FINRA Rule 2360(b)(16) was adopted with minor changes to
its rule text and FINRA Rule 2352 was adopted without any substantive
changes to its rule text.\49\
---------------------------------------------------------------------------

    \49\ See Securities Exchange Act Release No. 58932 (November 12,
2008), 73 FR 69696 (November 19, 2008) (SR-FINRA-2008-032).
---------------------------------------------------------------------------

Exchange Rule 2844. Suitability
    The Exchange proposes to update the reference to NASD Rules
2860(b)(19) and 2844 in this rule and replace them with references to
FINRA Rules 2360(b)(19) (``Suitability'') and 2353 (``Suitability'').
FINRA Rules 2360(b)(19) and 2353 were adopted without any substantive
changes to their respective rule text.\50\
---------------------------------------------------------------------------

    \50\ Id.
---------------------------------------------------------------------------

Exchange Rule 2845. Discretionary Accounts
    The Exchange proposes to update the reference to NASD Rules
2860(b)(18) and 2845 in this rule and replace them with references to
FINRA Rules 2360(b)(18) (``Discretionary Accounts'') and 2354
(``Discretionary Accounts''). FINRA Rules 2360(b)(18) and 2354 were
adopted without any substantive changes to their respective rule
text.\51\
---------------------------------------------------------------------------

    \51\ Id.
---------------------------------------------------------------------------

    Moreover, to be consistent with cross-reference updates in current
FINRA Rule 2360(b)(18), the Exchange proposes to update the cross-
reference to NASD Rules 2510 and 3110(c)(4), respectively, with FINRA
Rules 3260 and 4512(c). Relatedly, the Exchange proposes to update the
references to Exchange Rules 2510 and 3110(c)(4), respectively, with a
reference to General 9, Sections 19 and 45.\52\
---------------------------------------------------------------------------

    \52\ See supra note 9.
---------------------------------------------------------------------------

Exchange Rule 2846. Supervision of Accounts
    The Exchange proposes to update the reference to NASD Rules
2860(b)(20) and 2846 in this rule and replace them with references to
FINRA Rules 2360(b)(20) (``Supervision of Accounts'') and 2355
(``Supervision of Accounts''). FINRA Rules 2360(b)(20) and 2355 were
adopted without any substantive changes to their respective rule
text.\53\
---------------------------------------------------------------------------

    \53\ See supra note 49.
---------------------------------------------------------------------------

    Moreover, to be consistent with cross-reference updates in current
FINRA Rule 2360(b)(20), the Exchange proposes to update the cross-
reference to NASD Rules 3010, 3012, and 3013, respectively, with FINRA
Rules 3110, 3120, and 3130. Relatedly, the Exchange proposes to update
the references to Exchange Rules 3010, 3012, and 3013 with respective
references to General 9, Sections 20 and 21.\54\
---------------------------------------------------------------------------

    \54\ See supra note 9.
---------------------------------------------------------------------------

Exchange Rule 2847. Customer Complaints
    The Exchange proposes to update the reference to NASD Rules
2860(b)(17)(A) and 2847 in this rule and replace them with references
to FINRA Rules 2360(b)(17)(A) and 2356. FINRA Rules 2360(b)(17)(A) and
2356 were adopted without any substantive changes to their respective
rule text.\55\
---------------------------------------------------------------------------

    \55\ See supra note 49.
---------------------------------------------------------------------------

    Moreover, to be consistent with cross-reference updates in current
FINRA Rule 2360(b)(17)(A), the Exchange proposes to update the cross-
reference to NASD Rule 3110 with references to FINRA Rules 2268 and the
Rule 4510 Series. Relatedly, the Exchange proposes to update the
references to Exchange Rule 3110 with a reference to General 9, Section
30.\56\ Finally, the Exchange proposes to add text indicating that the
reference to Rule 5340 shall be disregarded as such rule does not apply
to the Exchange, as the Exchange does not pre-time stamp order tickets
in connection with block positioning.
---------------------------------------------------------------------------

    \56\ See supra note 9.
---------------------------------------------------------------------------

Exchange Rule 2848. Communications With the Public and Customers
Concerning Index Warrants, Currency Index Warrants, and Currency
Warrants
    The Exchange proposes to update the reference to NASD Rule 2848 in
this rule and replace it with a reference to FINRA Rule 2357
(``Communications with the Public and Customers

Concerning Index Warrants, Currency Index Warrants and Currency
Warrants''). FINRA Rule 2357 was adopted without any substantive
changes to the NASD rule text.\57\
---------------------------------------------------------------------------

    \57\ See supra note 49.
---------------------------------------------------------------------------

Exchange Rule 2849. Maintenance of Records
    The Exchange proposes to update the reference to NASD Rules
2860(b)(17)(B) and 2849 in this rule and replace them with references
to FINRA Rules 2360(b)(17)(B) and 2358. FINRA Rules 2360(b)(17)(B) and
2358 were adopted without any substantive changes to their respective
rule text.\58\
---------------------------------------------------------------------------

    \58\ See id.
---------------------------------------------------------------------------

Exchange Rule 3360. Short-Interest Reporting
    In 2008, FINRA Rule 4560 was adopted to include the short interest
reporting requirements of the substantially similar NASD Rule 3360 and
Incorporated NYSE Rules 421(1) and 421.10 with non-substantive changes
to the NASD rule text.\59\ In 2010, FINRA made further amendments to
the rule that were intended to eliminate the definition of ``OTC Equity
Security'' in FINRA Rule 4560 (Short-Interest Reporting) and to clarify
that the rule applied to all equity securities except restricted equity
securities.\60\
---------------------------------------------------------------------------

    \59\ See Securities Exchange Act Release No. 58461 (September 4,
2008), 73 FR 52710 (September 10, 2008) (SR-FINRA-2008-033).
    \60\ See Securities Exchange Act Release No. 61979 (April 23,
2010), 75 FR 23316 (May 3, 2010) (SR-FINRA-2010-003).
---------------------------------------------------------------------------

    The Exchange proposes to update Rule 3360(a) by replacing the NASD
Rule 3360 reference with FINRA Rule 4560 (``Short-Interest
Reporting''). The Exchange will not update Rule 3360 to include the
reference to ``Restricted Equity Securities'' found in FINRA Rule 4560
since such securities are not listed or traded in the Exchange;
relatedly, the Exchange will omit the reference to FINRA Rule 6420
since a cross-reference to the definition of Restricted Equity
Securities is not required. Further, the Exchange will add the word
``all'' before the word ``securities'' but, unlike the FINRA rule, will
not insert the word ``equities'' because the Exchange also lists
options securities. Finally, the Exchange will remove a sentence
concerning the reporting obligations to reflect changes also made in
the FINRA rule.\61\
---------------------------------------------------------------------------

    \61\ See Securities Exchange Act Release No. 66872 (April 27,
2012), 77 FR 26340 (May 3, 2012) (SR-FINRA-2012-001).
---------------------------------------------------------------------------

    The Exchange also proposes to amend current Rule 3360(b) and (c)
and adopt the text of current FINRA Rule 4560(b) and (c).
Exchange Rule 4200. Definitions
    The Exchange proposes to update the NASD Rule 2710(b)(11) reference
in this rule and replace it with a reference to FINRA Rule 5190
(``Notification Requirements for Offering Participants''). In 2008,
NASD Rules 2710(b)(10) and (11) were relocated into FINRA Rule 5190 to
consolidate and streamline all Regulation M-related notice
requirements.\62\
---------------------------------------------------------------------------

    \62\ See Securities Exchange Act Release No. 58514 (September
11, 2008), 73 FR 54190 (September 18, 2008) (SR-FINRA-2008-039).
---------------------------------------------------------------------------

    The Exchange also proposes to replace in Rule 4200(a)(3) and (b)
the cross-reference to Exchange Rule 4623 (``Alternative Trading
Systems'') with Exchange Rule 4624. Consistent with FINRA Rule 5190(e),
an Exchange member's notification obligation, as described in Rule
4200, is detailed under Exchange Rule 4624 (``Penalty Bids and
Syndicate Covering Transactions'').
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\63\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\64\ in particular, in that it is designed to
promote just and equitable principles of trade and to protect investors
and the public interest by bringing greater transparency to its rules
by updating the references to the FINRA rules previously described. The
Exchange's proposal is consistent with the Act and will protect
investors and the public interest by harmonizing its rules and
clarifying outdated references so that Exchange members and the general
public can readily locate FINRA rules that are incorporated by
reference into the Rulebook.
---------------------------------------------------------------------------

    \63\ 15 U.S.C. 78f(b).
    \64\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The amendment to the books and records rules, reference and cross-
reference updates, re-lettering, renumbering, deleting unnecessary or
duplicative text, consolidating certain Exchange rules, and other minor
technical changes will update the Exchange's rules and bring greater
transparency to the Exchange's Rulebook. The Exchange believes its
proposal will benefit investors and the general public by increasing
the transparency of its Rulebook.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. The Exchange believes that the
proposed amendments do not impose an undue burden on competition
because the amendments to update the references and cross-references in
its Rulebook are intended to bring greater clarity to the Exchange's
rules. The amendment to the books and records rules, reference and
cross-reference updates, re-lettering, renumbering, deleting
unnecessary or duplicative text, consolidating certain Exchange rules,
and other minor technical changes will update the Exchange's rules
bring greater transparency to the Exchange's Rulebook.

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

    No written comments were either solicited or received.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \65\ and Rule 19b-
4(f)(6) thereunder.\66\
---------------------------------------------------------------------------

    \65\ 15 U.S.C. 78s(b)(3)(A).
    \66\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and text of the proposed rule change, at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

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

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act.

Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-BX-2021-006 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-BX-2021-006. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (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 website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-BX-2021-006 and should be submitted on
or before April 15, 2021.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\67\
---------------------------------------------------------------------------

    \67\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2021-06125 Filed 3-24-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 88, Number 20 (Tuesday, January 31, 2023)]
[Notices]
[Pages 6249-6250]
[FR Doc No: 2023-01946]

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

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: EG23-65-000.
    Applicants: Storey Energy Center, LLC.
    Description: Storey Energy Center, LLC submits Notice of Self-
Certification of Exempt Wholesale Generator Status.
    Filed Date: 1/19/23.
    Accession Number: 20230119-5170.
    Comment Date: 5 p.m. ET 2/9/23.

    Docket Numbers: EG23-66-000.
    Applicants: Texas Solar Nova 1, LLC.
    Description: Texas Solar Nova 1, LLC submits Notice of Self-
Certification of Exempt Wholesale Generator Status.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5011.
    Comment Date: 5 p.m. ET 2/10/23.

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

    Docket Numbers: ER23-451-001.
    Applicants: TN Solar 1, LLC.
    Description: Compliance filing: TN Solar 1 Notification of Test
Power & Lease Commencement to be effective 11/18/2022.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5131.
    Comment Date: 5 p.m. ET 2/10/23.

    Docket Numbers: ER23-452-001.
    Applicants: EEC Skyhawk Lessee LLC.
    Description: Compliance filing: EEC Skyhawk Notification of Test
Power & Lease Commencement to be effective 12/31/9998.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5132.
    Comment Date: 5 p.m. ET 2/10/23.

    Docket Numbers: ER23-512-001.
    Applicants: PJM Interconnection, L.L.C.
    Description: Tariff Amendment: Request to Defer Action-Amended ISA
No. 6007; Queue No. AD2-115; Docket ER23-512 to be effective 12/31/
9998.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5012.
    Comment Date: 5 p.m. ET 2/10/23.

    Docket Numbers: ER23-853-000; ER23-854-000; ER23-884-000.
    Applicants: Sonoran Solar Energy, LLC, Storey Energy Center, LLC,
Saint Energy Storage II, LLC.
    Description: Supplement to January 17 & 18, 2023 Saint Energy
Storage II, LLC, et al. Application for Market-Based Rate
Authorization.
    Filed Date: 1/19/23.
    Accession Number: 20230119-5238.
    Comment Date: 5 p.m. ET 2/9/23.

    Docket Numbers: ER23-903-000; TS23-2-000.
    Applicants: Happy Solar 1, LLC, Happy Solar 1, LLC.
    Description: Request for Temporary Waiver, et al. of Happy Solar 1,
LLC.
    Filed Date: 1/19/23.
    Accession Number: 20230119-5144.
    Comment Date: 5 p.m. ET 2/9/23.

    Docket Numbers: ER23-905-000.
    Applicants: Midcontinent Independent System Operator, Inc., ITC
Midwest LLC.
    Description: Sec.  205(d) Rate Filing: Midcontinent Independent
System Operator, Inc. submits tariff filing per 35.13(a)(2)(iii): 2023-
01-20_SA 3974 ITC Midwest-Interstate Power E&P (J1734) to be effective
1/12/2023.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5027.
    Comment Date: 5 p.m. ET 2/10/23.

    Docket Numbers: ER23-906-000.
    Applicants: Midcontinent Independent System Operator, Inc., Great
River Energy, Northern States Power Company, a Minnesota corporation.
    Description: Sec.  205(d) Rate Filing: Midcontinent Independent
System Operator, Inc. submits tariff filing per 35.13(a)(2)(iii): 2023-
01-20_SA 3962 NSPM-GRE Winthrop TIA to be effective 1/31/2023.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5028.
    Comment Date: 5 p.m. ET 2/10/23.

    Docket Numbers: ER23-907-000.
    Applicants: Niagara Mohawk Power Corporation, New York Independent
System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: Niagara Mohawk Power
Corporation submits tariff filing per 35.13(a)(2)(iii): Niagara Mohawk
Section 205 Filing: TSC Formula Rate Revisions to be effective 3/22/
2023.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5072.
    Comment Date: 5 p.m. ET 2/10/23.

    Docket Numbers: ER23-908-000.
    Applicants: Duke Energy Progress, LLC.
    Description: Tariff Amendment: DEP-NCEMC--Cancellation of RS No.
134 to be effective 3/22/2023.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5073.
    Comment Date: 5 p.m. ET 2/10/23.

    Docket Numbers: ER23-909-000.
    Applicants: International Transmission Company.
    Description: Sec.  205(d) Rate Filing: CIAC Agreement with DTE to
be effective 3/22/2023.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5078.
    Comment Date: 5 p.m. ET 2/10/23.

    Docket Numbers: ER23-910-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: 2023-01-20_SA 2328
California Ridge-Ameren 4th Rev GIA (H100 J196) to be effective 1/6/
2023.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5086.
    Comment Date: 5 p.m. ET 2/10/23.

    Docket Numbers: ER23-911-000.
    Applicants: ISO New England Inc., New England Power Pool
Participants Committee.
    Description: Sec.  205(d) Rate Filing: ISO New England Inc. submits
tariff filing per 35.13(a)(2)(iii): ISO-NE/NEPOOL; Revisions to Clarify
the Calculation of CTR to PPU to be effective 3/21/2023.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5089.
    Comment Date: 5 p.m. ET 2/10/23.

    Docket Numbers: ER23-912-000.
    Applicants: Sun Streams Expansion, LLC.
    Description: Sec.  205(d) Rate Filing: Market-Based Rate
Application and Request for Expedited Action to be effective 3/6/2023.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5091.
    Comment Date: 5 p.m. ET 2/10/23.

    Docket Numbers: ER23-913-000.
    Applicants: UNS Electric, Inc.
    Description: Sec.  205(d) Rate Filing: Engineering and Materials
Agreement to be effective 1/23/2023.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5109.
    Comment Date: 5 p.m. ET 2/10/23.

    Docket Numbers: ER23-914-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: 2023-01-20_SA 6522 MISO-
Manitowoc Public Utilities SSR Agreement for Lakefront 9 to be
effective 2/1/2023.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5127.
    Comment Date: 5 p.m. ET 2/10/23.

    Docket Numbers: ER23-915-000.
    Applicants: Michael Best & Friedrich, LLP.
    Description: Middletown Energy Storage LLC Requests Prospective,
Limited Tariff Waiver of Attachment S of the New York Independent
System Operator Inc. OATT.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5170.
    Comment Date: 5 p.m. ET 1/27/23.

    Docket Numbers: ER23-916-000.
    Applicants: Michael Best & Friedrich, LLP.

    Description: Athens Energy Storage LLC Requests Prospective,
Limited Tariff Waiver of Attachment S of the New York Independent
System Operator Inc. OATT.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5173.
    Comment Date: 5 p.m. ET 1/27/23.

    Docket Numbers: ER23-917-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: 2023-01-20_Submittal of
Schedule 43L Lakefront 9 SSR Cost Allocation to be effective 2/1/2023.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5185.
    Comment Date: 5 p.m. ET 2/10/23.

    Take notice that the Commission received the following public
utility holding company filings:

    Docket Numbers: PH23-2-000.
    Applicants: BlackRock, Inc.
    Description: BlackRock, Inc. submits FERC-65A Notice of Material
Change in Fact to Waiver Notification.
    Filed Date: 1/20/23.
    Accession Number: 20230120-5108.
    Comment Date: 5 p.m. ET 2/10/23.

    The filings are accessible in the Commission's eLibrary system
(https://elibrary.ferc.gov/idmws/search/fercgensearch.asp) by 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: January 20, 2023.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2023-01946 Filed 1-30-23; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 87, Number 98 (Friday, May 20, 2022)]
[Notices]
[Pages 31001-31002]
[FR Doc No: 2022-10898]

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DEPARTMENT OF LABOR

Occupational Safety and Health Administration

[Docket No. OSHA-2006-0040]

SGS North America, Inc.: Grant of Expansion of Recognition

AGENCY: Occupational Safety and Health Administration (OSHA), Labor.

ACTION: Notice.

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

SUMMARY: In this notice, OSHA announces the final decision to expand
the scope of recognition for SGS North America, Inc., as a Nationally
Recognized Testing Laboratory (NRTL).

DATES: The expansion of the scope of recognition becomes effective on
May 20, 2022.

FOR FURTHER INFORMATION CONTACT: Information regarding this notice is
available from the following sources:
    Press inquiries: Contact Mr. Frank Meilinger, Director, OSHA Office
of Communications, U.S. Department of

Labor, telephone:<PHONE_NUMBER>; email: [email protected].
    General and technical information: Contact Mr. Kevin Robinson,
Director, Office of Technical Programs and Coordination Activities,
Directorate of Technical Support and Emergency Management, Occupational
Safety and Health Administration, U.S. Department of Labor; phone:
(202) 693-2110 or email: [email protected].

SUPPLEMENTARY INFORMATION:

I. Notice of Final Decision

    OSHA hereby gives notice of the expansion of the scope of
recognition for SGS North America, Inc. (SGS) as a NRTL. SGS's
expansion covers the addition of two test standards to the NRTL scope
of recognition.
    OSHA recognition of a NRTL signifies that the organization meets
the requirements specified in 29 CFR 1910.7. Recognition is an
acknowledgment that the organization can perform independent safety
testing and certification of the specific products covered within the
scope of recognition and is not a delegation or grant of government
authority. As a result of recognition, employers may use products
properly approved by the NRTL to meet OSHA standards that require
testing and certification of the products.
    The agency processes applications by a NRTL for initial
recognition, or for expansion or renewal of this recognition, following
requirements in Appendix A to 29 CFR 1910.7. This appendix requires
that the agency publish two notices in the Federal Register in
processing an application. In the first notice, OSHA announces the
application and provides the preliminary finding and, in the second
notice, the agency provides the final decision on the application.
These notices set forth the NRTL's scope of recognition or
modifications of that scope. OSHA maintains an informational web page
for each NRTL that details the scope of recognition. These pages are
available from the agency's website at http://www.osha.gov/dts/otpca/nrtl/index.html.
    SGS submitted an application to OSHA to expand the scope of
recognition as a NRTL to include six additional test standards on April
19, 2018 (OSHA-2006-0040-0074). This application was amended on January
19, 2022 (OSHA-2006-0040-0075), to remove four standards from the
original application. OSHA staff performed a detailed analysis of the
application packet and reviewed other pertinent information. OSHA did
not perform any on-site reviews in relation to this application.
    OSHA published the preliminary notice announcing SGS's expansion
application in the Federal Register on March 21, 2022 (87 FR 16031).
The agency requested comments by April 5, 2022, but it received no
comments in response to this notice. OSHA is now proceeding with this
final notice to grant expansion to SGS's scope of recognition.
    To obtain or review copies of all public documents pertaining to
SGS's application, go to http://www.regulations.gov or contact the
Docket Office, Occupational Safety and Health Administration, U.S.
Department of Labor, 200 Constitution Avenue NW, Room N-3653,
Washington, DC 20210. Docket No. OSHA-2006-0040 contains all materials
in the record concerning SGS's recognition. Please note: Due to the
COVID-19 pandemic, the Docket Office is closed to the public at this
time but can be contacted at<PHONE_NUMBER>.

II. Final Decision and Order

    OSHA staff examined SGS's expansion application, the capability to
meet the requirements of the test standards, and other pertinent
information. Based on the review of this evidence, OSHA finds that SGS
meets the requirements of 29 CFR 1910.7 for expansion of the NRTL scope
of recognition, subject to the limitation and conditions listed below.
OSHA, therefore, is proceeding with this final notice to grant SGS's
scope of recognition. OSHA limits the expansion of SGS's recognition to
testing and certification of products for demonstration of conformance
to the test standards listed in Table 1.

 Table 1--List of Appropriate Test Standards for Inclusion in SGS's NRTL
                          Scope of Recognition
------------------------------------------------------------------------
             Test standard                     Test standard title
------------------------------------------------------------------------
UL 991.................................  Tests for Safety-Related
                                          Controls Employing Solid-State
                                          Devices.
UL 2111................................  Overheating Protection for
                                          Motors.
------------------------------------------------------------------------

    OSHA's recognition of any NRTL for a particular test standard is
limited to equipment or materials for which OSHA standards require
third-party testing and certification before using them in the
workplace. Consequently, if a test standard also covers any products
for which OSHA does not require such testing and certification, a
NRTL's scope of recognition does not include these products.
    The American National Standards Institute (ANSI) may approve the
test standards listed above as American National Standards. However,
for convenience, the use of the designation of the standards-developing
organization for the standard as opposed to the ANSI designation may
occur. Under the NRTL Program's policy (see OSHA Instruction CPL 01-00-
004, Chapter 2, Section VIII), only standards determined to be
appropriate test standards may be approved for NRTL recognition. Any
NRTL recognized for a particular test standard may use either the
proprietary version of the test standard or the ANSI version of that
standard. Contact ANSI to determine whether a test standard is
currently ANSI-approved.

A. Conditions

    In addition to those conditions already required by 29 CFR 1910.7,
SGS must abide by the following conditions of the recognition:
    1. SGS must inform OSHA as soon as possible, in writing, of any
change of ownership, facilities, or key personnel, and of any major
change in their operations as a NRTL, and provide details of the
change(s);
    2. SGS must meet all the terms of the NRTL recognition and comply
with all OSHA policies pertaining to this recognition; and
    3. SGS must continue to meet the requirements for recognition,
including all previously published conditions on SGS's scope of
recognition, in all areas for which it has recognition.
    Pursuant to the authority in 29 CFR 1910.7, OSHA hereby expands the
scope of recognition of SGS, subject to the limitations and conditions
specified above.

III. Authority and Signature

    James S. Frederick, Deputy Assistant Secretary of Labor for
Occupational Safety and Health, authorized the preparation of this
notice. Accordingly, the agency is issuing this notice pursuant to 29
U.S.C. 657(g)(2), Secretary of Labor's Order No. 8-2020 (85 FR 58393,
Sept. 18, 2020)), and 29 CFR 1910.7.

    Signed at Washington, DC, on May 12, 2022.
James S. Frederick,
Deputy Assistant Secretary of Labor for Occupational Safety and Health.
[FR Doc. 2022-10898 Filed 5-19-22; 8:45 am]
BILLING CODE 4510-26-P


[Federal Register Volume 83, Number 5 (Monday, January 8, 2018)]
[Notices]
[Pages 802-804]
[FR Doc No: 2018-00124]

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

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: ER10-1763-003; ER10-1765-003; ER10-1766-003; ER10-
1769-003; ER10-1767-003; ER10-1532-003; ER10-1541-004; ER10-1642-005;
ER13-2349-002; ER13-2350-002.
    Applicants: Entergy Arkansas, Inc., Entergy Louisiana, LLC, Entergy
Mississippi, Inc., Entergy New Orleans, LLC, Entergy Texas, Inc.,
Entergy Nuclear Palisades, LLC, Entergy Power, LLC, EWO Marketing, LLC,
EAM Nelson Holding, LLC, RS Cogen, LLC, Entergy Services, Inc.
    Description: Triennial Market Power Update for the Central Region
of the Entergy MBR Utilities.
    Filed Date: 12/28/17.
    Accession Number: 20171228-5275.
    Comments Due: 5 p.m. ET 2/26/18.

    Docket Numbers: ER10-1819-017; ER10-1820-020.
    Applicants: Northern States Power Company, a Minnesota corporation,
Northern States Power Company, a Wisconsin corporation
    Description: Triennial Market Power Analysis of Northern States
Power Company, a Minnesota corporation, and Northern States Power
Company, a Wisconsin corporation.
    Filed Date: 12/28/17.
    Accession Number: 20171228-5269.
    Comments Due: 5 p.m. ET 2/26/18.

    Docket Numbers: ER10-2042-025; ER10-1945-006; ER10-1942-017; ER17-
696-005; ER10-1938-020; ER10-1934-019; ER10-1893-019; ER10-2985-023;
ER10-3049-024; ER10-3051-024; ER10-1871-006; ER11-4369-004; ER16-2218-
004; ER10-1862-019.
    Applicants: Calpine Energy Services, L.P., Auburndale Peaker Energy
Center,

LLC, Calpine Construction Finance Company, LP, Calpine Energy
Solutions, LLC, Calpine PowerAmerica--CA, LLC, CES Marketing IX, LLC,
CES Marketing X, LLC, Champion Energy Marketing LLC, Champion Energy
Services, LLC, Champion Energy, LLC, Morgan Energy Center, LLC, North
American Power and Gas, LLC, North American Power Business, LLC, Power
Contract Financing, L.L.C.
    Description: Updated Market Power Analysis for the Calpine
Southeast MBR Sellers.
    Filed Date: 12/29/17.
    Accession Number: 20171229-5161.
    Comments Due: 5 p.m. ET 2/27/18.

    Docket Numbers: ER10-2063-002.
    Applicants: Otter Tail Power Company.
    Description: Triennial MBR Report for Central Region of Otter Tail
Power Company.
    Filed Date: 12/28/17.
    Accession Number: 20171228-5302.
    Comments Due: 5 p.m. ET 2/26/18.

    Docket Numbers: ER10-2211-006.
    Applicants: Vandolah Power Company, L.L.C.
    Description: Triennial MBR Report for Southeast Region of Vandolah
Power Company, L.L.C.
    Filed Date: 12/29/17.
    Accession Number: 20171229-5117.
    Comments Due: 5 p.m. ET 2/27/18.

    Docket Numbers: ER10-2739-018; ER10-2743-013; ER12-995-005; ER10-
1892-007; ER10-2793-007; ER10-2755-016; ER16-1652-006; ER10-1872-007;
ER10-2751-013; ER10-1859-007.
    Applicants: LS Power Marketing, LLC, Bluegrass Generation Company,
L.L.C., Cherokee County Cogeneration Partners, LLC, Columbia Energy
LLC, DeSoto County Generating Company, LLC, Las Vegas Power Company,
LLC, LifeEnergy, LLC, Mobile Energy LLC, Renaissance Power, L.L.C.,
Santa Rosa Energy Center, LLC.
    Description: Updated Market Power Analysis of the LS Southeast MBR
Sellers.
    Filed Date: 12/29/17.
    Accession Number: 20171229-5186.
    Comments Due: 5 p.m. ET 2/27/18.

    Docket Numbers: ER10-2877-002.
    Applicants: Cobb Electric Membership Corporation.
    Description: Triennial Market Power Update for the Central Region
of Cobb Electric Membership Corporation.
    Filed Date: 12/29/17.
    Accession Number: 20171229-5158.
    Comments Due: 5 p.m. ET 2/27/18.

    Docket Numbers: ER10-3125-011; ER10-3102-011; ER15-1447-003; ER10-
3100-011; ER15-1657-006; ER10-3107-011; ER10-3109-011.
    Applicants: AL Sandersville, LLC, Effingham County Power, LLC, Mid-
Georgia Cogen L.P., MPC Generating, LLC, SEPG Energy Marketing
Services, LLC, Walton County Power, LLC, Washington County Power, LLC.
    Description: Updated Market Power Analysis for the Southeast Region
of AL Sandersville, LLC, et al.
    Filed Date: 12/29/17.
    Accession Number: 20171229-5156.
    Comments Due: 5 p.m. ET 2/27/18.

    Docket Numbers: ER17-2457-002.
    Applicants: Rock Creek Wind Project, LLC.
    Description: Notice of Non-Material Change in Status of Rock Creek
Wind Project, LLC.
    Filed Date: 12/29/17.
    Accession Number: 20171229-5113.
    Comments Due: 5 p.m. ET 1/19/18.

    Docket Numbers: ER17-2577-001.
    Applicants: York Haven Power Company, LLC.
    Description: Tariff Amendment: Response to AIR to be effective 11/
29/2017.
    Filed Date: 12/28/17.
    Accession Number: 20171228-5261.
    Comments Due: 5 p.m. ET 1/18/18.

    Docket Numbers: ER18-560-000.
    Applicants: Northern Indiana Public Service Company.
    Description: Market-Based Triennial Review Filing: NIPSCO Triennial
Market Power Update to be effective 12/29/2017.
    Filed Date: 12/28/17.
    Accession Number: 20171228-5254.
    Comments Due: 5 p.m. ET 2/26/18.

    Docket Numbers: ER18-561-000.
    Applicants: Wisconsin Public Service Corporation.
    Description: Sec.  205(d) Rate Filing: Revision to Ancillary
Services Tariff to be effective 2/26/2018.
    Filed Date: 12/28/17.
    Accession Number: 20171228-5260.
    Comments Due: 5 p.m. ET 1/18/18.

    Docket Numbers: ER18-562-000.
    Applicants: NorthWestern Corporation.
    Description: Sec.  205(d) Rate Filing: SA 605 7th Rev--NITSA with
Bonneville Power Administration to be effective 3/1/2018.
    Filed Date: 12/28/17.
    Accession Number: 20171228-5264.
    Comments Due: 5 p.m. ET 1/18/18.

    Docket Numbers: ER18-563-000.
    Applicants: Red Pine Wind Project, LLC.
    Description: Sec.  205(d) Rate Filing: Filing of Red Pine Rate
Schedule FERC No. 1 re Reactive Power Compensation to be effective 3/1/
2018.
    Filed Date: 12/28/17.
    Accession Number: 20171228-5265.
    Comments Due: 5 p.m. ET 1/18/18.

    Docket Numbers: ER18-564-000.
    Applicants: South Central MCN LLC.
    Description: Compliance filing: SCMCN Limited 205 DX Filing to be
effective N/A.
    Filed Date: 12/28/17.
    Accession Number: 20171228-5266.
    Comments Due: 5 p.m. ET 1/18/18.

    Docket Numbers: ER18-565-000.
    Applicants: California Independent System Operator Corporation.
    Description: Petition for Approval of Disposition of Proceeds of
Penalty Assessments of California Independent System Operator
Corporation.
    Filed Date: 12/28/17.
    Accession Number: 20171228-5273.
    Comments Due: 5 p.m. ET 1/18/18.

    Docket Numbers: ER18-566-000.
    Applicants: Midcontinent Independent System Operator, Inc., Otter
Tail Power Company.
    Description: Sec.  205(d) Rate Filing: 2017-12-29_SA 3077 OTP-East
River T-T (Britton) to be effective 1/1/2018.
    Filed Date: 12/29/17.
    Accession Number: 20171229-5013.
    Comments Due: 5 p.m. ET 1/19/18.

    Docket Numbers: ER18-567-000.
    Applicants: Midcontinent Independent System Operator, Inc., Otter
Tail Power Company.
    Description: Sec.  205(d) Rate Filing: 2017-12-29_SA 3076 OTP-East
River T-T (Load) to be effective 1/1/2018.
    Filed Date: 12/29/17.
    Accession Number: 20171229-5016.
    Comments Due: 5 p.m. ET 1/19/18.

    Docket Numbers: ER18-568-000.
    Applicants: Mid-Atlantic Interstate Transmission, LLC, American
Transmission Systems, Incorporation, PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: MAIT and ATSI submit Two
ECSAs SA Nos. 4801 and 4860 to be effective 3/1/2018.
    Filed Date: 12/29/17.
    Accession Number: 20171229-5018.
    Comments Due: 5 p.m. ET 1/19/18.

    Docket Numbers: ER18-569-000.
    Applicants: Consolidated Edison Company of New York, Inc.
    Description: Sec.  205(d) Rate Filing: 2017 RY 2 to be effective 1/
1/2018.
    Filed Date: 12/29/17.
    Accession Number: 20171229-5019.
    Comments Due: 5 p.m. ET 1/19/18.

    Docket Numbers: ER18-570-000.
    Applicants: Consolidated Edison Company of New York, Inc.
    Description: Sec.  205(d) Rate Filing: 2017 WDS RY 2 to be
effective 1/1/2018.
    Filed Date: 12/29/17.
    Accession Number: 20171229-5020.

    Comments Due: 5 p.m. ET 1/19/18.

    Docket Numbers: ER18-571-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Sec.  205(d) Rate Filing: Attachment AE Revisions to
Clarify ILTCRs to be effective 2/27/2018.
    Filed Date: 12/29/17.
    Accession Number: 20171229-5026
    Comments Due: 5 p.m. ET 1/19/18.

    Docket Numbers: ER18-572-000.
    Applicants: South Central MCN LLC.
    Description: Limited Revisions to SPP Transmission Formula Rate
Template of South Central MCN LLC.
    Filed Date: 12/28/17.
    Accession Number: 20171228-5306.
    Comments Due: 5 p.m. ET 1/18/18.

    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 29, 2017.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2018-00124 Filed 1-5-18; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 220 (Monday, November 16, 2015)]
[Notices]
[Pages 70780-70781]
[FR Doc No: 2015-29144]

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

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: EC16-29-000.
    Applicants: Holtwood, LLC, BIF III Holtwood LLC.
    Description: Joint Application of Holtwood, LLC et al. for
Authorization under Section 203 of the FPA and Request for Limited
Waivers.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5197.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: EC16-30-000.
    Applicants: Talen Ironwood, LLC, Talen Energy Marketing, LLC,
TransCanada Facility USA, Inc., TransCanada Power Marketing, Ltd.
    Description: Joint Application of Talen Ironwood, LLC et al. for
Authorization of Disposition of Jurisdictional Facilities under Section
203 of the FPA and Requests for Waivers.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5198.
    Comments Due: 5 p.m. ET 11/27/15.

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

    Docket Numbers: EG16-19-000.
    Applicants: BIF III Holtwood LLC.
    Description: Notice of Self-Certification of Exempt Wholesale
Generator Status of BIF III Holtwood LLC.

Filed Date: 11/6/15.
    Accession Number: 20151106-5169.
    Comments Due: 5 p.m. ET 11/27/15.

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

    Docket Numbers: ER10-1790-012; ER10-2596-005; ER10-276-003; ER11-
3325-004.
    Applicants: BP Energy Company, Fowler Ridge II Wind Farm LLC,
Rolling Thunder I Power Partners, LLC, Whiting Clean Energy, Inc.
    Description: Supplement to June 26, 2015 Updated Market Power
Analysis for Central Region of BP Energy Company, et al.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5186.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-287-000.
    Applicants: BIF III Holtwood LLC.
    Description: Baseline eTariff Filing: BIF III Holtwood LLC MBR
Application to be effective 11/9/2015.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5139.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-288-000.
    Applicants: Entergy Services, Inc.
    Description: Sec.  205(d) Rate Filing: Entergy Services, Inc.,
Amended Service Agreements to be effective 11/8/2015.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5141.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-289-000.
    Applicants: Pacific Gas and Electric Company.
    Description: Sec.  205(d) Rate Filing: COTP CIRS Appendix F Update
to be effective 1/6/2016.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5142.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-290-000.
    Applicants: Mesquite Solar 1, LLC.
    Description: Sec.  205(d) Rate Filing: Mesquite Solar 1, LLC
Assignment, Co-Tenancy and Shared Facilities Agreement to be effective
11/20/2015.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5143.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-291-000.
    Applicants: Arizona Public Service Company.
    Description: Notice of Cancellation of Rate Schedule No. 25 of
Arizona Public Service Company.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5185.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-292-000.
    Applicants: Northern Virginia Electric Cooperative, Inc.
    Description: Notice of Cancellation of Rate Schedule No. 1 of
Northern Virginia Electric Cooperative, Inc.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5195.
    Comments Due: 5 p.m. ET 11/27/15.

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

    Docket Numbers: LA15-3-000.
    Applicants: Cimarron Windpower II, LLC, CinCap V, LLC, Conetoe II
Solar, LLC, Duke Energy Beckjord, LLC, Duke Energy Beckjord Storage,
LLC, Duke Energy Carolinas, LLC, Duke Energy Commercial Enterprises,
Inc., Duke Energy Florida, LLC, Duke Energy Indiana, Inc., Duke Energy
Kentucky, Inc., Duke Energy Ohio, Inc., Duke Energy Piketon, LLC, Duke
Energy Progress, LLC, Duke Energy Renewable Services, LLC, Happy Jack
Windpower, LLC, Ironwood Windpower, LLC, Kit Carson Windpower, LLC,
Laurel Hill Wind Energy, LLC, North Allegheny Wind, LLC, Silver Sage
Windpower, LLC, Three Buttes Windpower, LLC, Top of the World Wind
Energy, LLC, Seville Solar One LLC, Seville Solar Two, LLC, Tallbear
Seville LLC.
    Description: Quarterly Land Acquisition Report of the Duke Energy
MBR Affiliates.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5154.
    Comments Due: 5 p.m. ET 11/27/15.

    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
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: November 9, 2015.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2015-29144 Filed 11-13-15; 8:45 am]
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[Federal Register: March 1, 2007 (Volume 72, Number 40)]
[Notices]
[Page 9323-9324]
[DOCID:fr01mr07-53]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP07-176-000]

Trailblazer Pipeline Company; Notice of Revenue Crediting Report

February 23, 2007.
    Take notice that on February 20, 2007, Trailblazer Pipeline Company
(Trailblazer) tendered for filing its Penalty Revenue Report.
    Trailblazer states the purpose of this filing is to inform the
Commission that Trailblazer collected no penalty revenues in the
quarter ended December 31, 2006.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211 and 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed on or before the date as indicated
below. Anyone filing an intervention or protest must serve a copy of
that document on the Applicant. Anyone filing an intervention or
protest on or before the intervention or protest date need not serve
motions to intervene or protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov.
 Persons unable to file electronically should submit an

original and 14 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the

``eLibrary'' link and is available for review in the Commission's
Public Reference Room in Washington, DC. There is an ``eSubscription''
link on the Web site that enables subscribers to receive e-mail
notification when a document is added to a subscribed docket(s). For
assistance with any FERC Online service, please e-mail
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For

TTY, call<PHONE_NUMBER>.

    Comment Date: 5 p.m. Eastern Time March 2, 2007.

Magalie R. Salas,
Secretary.
[FR Doc. E7-3602 Filed 2-28-07; 8:45 am]

BILLING CODE 6717-01-P