[Federal Register: June 9, 2010 (Volume 75, Number 110)]
[Notices]
[Page 32760-32763]
[DOCID:fr09jn10-47]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPPT-2010-0456 FRL-8829-7]

Certain New Chemicals; Receipt and Status Information

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: Section 5 of the Toxic Substances Control Act (TSCA) requires
any person who intends to manufacture (defined by statute to include
import) a new chemical (i.e., a chemical not on the TSCA Inventory) to
notify EPA and comply with the statutory provisions pertaining to the
manufacture of new chemicals. Under sections 5(d)(2) and 5(d)(3) of
TSCA, EPA is required to publish a notice of receipt of a
premanufacture notice (PMN) or an application for a test marketing
exemption (TME), and to publish periodic status reports on the
chemicals under review and the receipt of notices of commencement to
manufacture those chemicals. This status report, which covers the
period from April 26, 2010 to May 7, 2010, consists of the PMNs and
TME, both pending or expired, and the notices of commencement to
manufacture a new chemical that the Agency has received under TSCA
section 5 during this time period.

DATES: Comments identified by the specific PMN number or TME number,
must be received on or before July 9, 2010.

ADDRESSES: Submit your comments, identified by docket identification
(ID) number EPA-HQ-OPPT-2010-0456, by one of the following methods:
      Federal eRulemaking Portal: http://www.regulations.gov.
Follow the on-line instructions for submitting comments.
      Mail: Document Control Office (7407M), Office of
Pollution Prevention and Toxics (OPPT), Environmental Protection
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460-0001.
      Hand Delivery: OPPT Document Control Office (DCO), EPA
East Bldg., Rm. 6428, 1201 Constitution Ave., NW., Washington, DC.
Attention: Docket ID Number EPA-HQ-OPPT-2010-0456. The DCO is open from
8 a.m. to 4 p.m., Monday through Friday, excluding legal holidays. The
telephone number for the DCO is<PHONE_NUMBER>. Such deliveries are
only accepted during the DCO's normal hours of operation, and special
arrangements should be made for deliveries of boxed information.
    Instructions: Direct your comments to docket ID number EPA-HQ-OPPT-
2010-0456. EPA's policy is that all comments received will be included
in the docket without change and may be made available on-line at
http://www.regulations.gov, including any personal information
provided, unless the comment includes information claimed to be
Confidential Business Information (CBI) or other information whose
disclosure is restricted by statute. Do not submit information that you
consider to be CBI or otherwise protected through regulations.gov or e-
mail. The regulations.gov website is an ``anonymous access'' system,
which means EPA will not know your identity or contact information
unless you provide it in the body of your comment. If you send an e-
mail comment directly to EPA without going through regulations.gov,
your e-mail address will be automatically captured and included as part
of the comment that is placed in the docket and made available on the
Internet. If you submit an electronic comment, EPA recommends that you
include your name and other

contact information in the body of your comment and with any disk or
CD-ROM you submit. If EPA cannot read your comment due to technical
difficulties and cannot contact you for clarification, EPA may not be
able to consider your comment. Electronic files should avoid the use of
special characters, any form of encryption, and be free of any defects
or viruses.
    Docket: All documents in the docket are listed in the docket index
available at http://www.regulations.gov. Although listed in the index,
some information is not publicly available, e.g., CBI or other
information whose disclosure is restricted by statute. Certain other
material, such as copyrighted material, will be publicly available only
in hard copy. Publicly available docket materials are available
electronically at http://www.regulations.gov, or, if only available in
hard copy, at the OPPT Docket. The OPPT Docket is located in the EPA
Docket Center (EPA/DC) at Rm. 3334, EPA West Bldg., 1301 Constitution
Ave., NW., Washington, DC. The EPA/DC Public Reading Room hours of
operation are 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding
legal holidays. The telephone number of the EPA/DC Public Reading Room
is<PHONE_NUMBER>, and the telephone number for the OPPT Docket is
(202) 566-0280. Docket visitors are required to show photographic
identification, pass through a metal detector, and sign the EPA visitor
log. All visitor bags are processed through an X-ray machine and
subject to search. Visitors will be provided an EPA/DC badge that must
be visible at all times in the building and returned upon departure.

FOR FURTHER INFORMATION CONTACT: For technical information contact:
Bernice Mudd, Information Management Division (7407M), Office of
Pollution Prevention and Toxics, Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460-0001; telephone number:
(202) 564-8951; fax number:<PHONE_NUMBER>; e-mail address:
<EMAIL_ADDRESS>     For general information contact: The TSCA-Hotline, ABVI-Goodwill,
422 South Clinton Ave., Rochester, NY 14620; telephone number: (202)
554-1404; fax number:<PHONE_NUMBER> e-mail address: TSCA-
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this Action Apply to Me?

    This action is directed to the public in general. As such, the
Agency has not attempted to describe the specific entities that this
action may apply to. Although others may be affected, this action
applies directly to the submitter of the premanufacture notices
addressed in the action. If you have any questions regarding the
applicability of this action to a particular entity, consult the person
listed under FOR FURTHER INFORMATION CONTACT.

B. What Should I Consider as I Prepare My Comments for EPA?

     1. Submitting CBI. Do not submit this information to EPA through
regulations.gov or e-mail. Clearly mark the part or all of the
information that you claim to be CBI. For CBI information in a disk or
CD-ROM that you mail to EPA, mark the outside of the disk or CD-ROM
that you mail to EPA, mark the outside of the disk or CD-ROM as CBI and
then identify electronically within the disk or CD-ROM the specific
information that is claimed as CBI. In addition to one complete version
of the comment that includes information claimed as CBI, a copy of the
comment that does not contain the information claimed as CBI must be
submitted for inclusion in the public docket. Information so marked
will not be disclosed except in accordance with procedures set forth in
40 CFR part 2.
     2. Tips for preparing your comments. When submitting comments,
remember to:
     i. Identify the document by docket ID number and other identifying
information (subject heading, Federal Register date and page number).
     ii. Follow directions. The Agency may ask you to respond to
specific questions or organize comments by referencing a Code of
Federal Regulations (CFR) part or section number.
     iii. Explain why you agree or disagree; suggest alternatives and
substitute language for your requested changes.
     iv. Describe any assumptions and provide any technical information
and/or data that you used.
     v. If you estimate potential costs or burdens, explain how you
arrived at your estimate in sufficient detail to allow for it to be
reproduced.
     vi. Provide specific examples to illustrate your concerns and
suggest alternatives.
     vii. Explain your views as clearly as possible, avoiding the use
of profanity or personal threats.
     viii. Make sure to submit your comments by the comment period
deadline identified.

II. Why is EPA Taking this Action?

    Section 5 of TSCA requires any person who intends to manufacture
(defined by statute to include import) a new chemical (i.e., a chemical
not on the TSCA Inventory to notify EPA and comply with the statutory
provisions pertaining to the manufacture of new chemicals. Under
sections 5(d)(2) and 5(d)(3) of TSCA, EPA is required to publish a
notice of receipt of a PMN or an application for a TME and to publish
periodic status reports on the chemicals under review and the receipt
of notices of commencement to manufacture those chemicals. This status
report, which covers the period from April 26, 2010, to May 7, 2010,
consists of the PMNs and TME, both pending or expired, and the notices
of commencement to manufacture a new chemical that the Agency has
received under TSCA section 5 during this time period.

III. Receipt and Status Report for PMNs and TMEs

    This status report identifies the PMNs and TME, both pending or
expired, and the notices of commencement to manufacture a new chemical
that the Agency has received under TSCA section 5 during this time
period. If you are interested in information that is not included in
the following tables, you may contact EPA as described in Unit II. to
access additional non-CBI information that may be available.
    In Table I of this unit, EPA provides the following information (to
the extent that such information is not claimed as CBI) on the PMNs
received by EPA during this period: the EPA case number assigned to the
PMN; the date the PMN was received by EPA; the projected end date for
EPA's review of the PMN; the submitting manufacturer; the potential
uses identified by the manufacturer in the PMN; and the chemical
identity.

                                             I. 20 Premanufacture Notices Received From: 4/26/10 to 5/07/10
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                                                              Projected Notice End
              Case No.                    Received Date               Date           Manufacturer/Importer           Use                  Chemical
--------------------------------------------------------------------------------------------------------------------------------------------------------
P-10-0352                            04/23/10                07/21/10                CBI                    (G) Coating hardner    (G) Benzene,
                                                                                isocyanatoalkyl-,
                                                                                polymer with
                                                                                diisocyanatoalkane,
                                                                                polyalkylene glycol
                                                                                alkyl ether-blocked
P-10-0353                            04/26/10                07/24/10                CBI                    (S) Epoxy curing       (G) Modified
                                                                                agent for use in       polyalkylene
                                                                                flooring               polyamine reacted
                                                                                applications           with Bisphenol A
                                                                                diglycidyl ether and
                                                                                modified epoxy resin
P-10-0354                            04/26/10                07/24/10                CBI                    (G) Diluent in mold    (G) Acrylonitrile-
                                                                                manufacture            acrylate copolymer
P-10-0355                            04/26/10                07/24/10                International Flavors  (S) Raw material for   (S)
                                                                                and Fragrances, Inc.   use in fragrances      Cyclohexanecarboxyli
                                                                                for soaps,             c acid, 3-methyl-,
                                                                                detergent, cleaners    methyl ester, (1R,
                                                                                and other household    3R)-rel-
                                                                                and consumer
                                                                                products
P-10-0355                            04/26/10                07/24/10                International Flavors  (S) Raw material for   (S)
                                                                                and Fragrances, Inc.   use in fragrances      Cyclohexanecarboxyli
                                                                                for soaps,             c acid, 3-methyl-,
                                                                                detergent, cleaners    methyl ester, (1R,
                                                                                and other household    3S)-rel-
                                                                                and consumer
                                                                                products
P-10-0356                            04/26/10                07/24/10                CBI                    (G) Adhesive           (G) MDI modified
                                                                                polyester resin
P-10-0357                            04/26/10                07/24/10                CBI                    (G) Lubricant          (G) Zinc alkyl
                                                                                additive               dithiophosphate
P-10-0359                            04/30/10                07/28/10                CBI                    (S) Flame retardant    (G) Heterocyclic salt
                                                                                for use in adhesives
                                                                                and coatings
P-10-0360                            04/30/10                07/28/10                CBI                    (G) Used both in a     (S) 1-hexene, polymer
                                                                                open, non-dispersive   with 1-propene
                                                                                use as a plastics
                                                                                additive and in a
                                                                                printing application
                                                                                and in a destructive
                                                                                use as a reactant
P-10-0361                            04/30/10                07/28/10                CBI                    (G) Organic            (G) Substituted
                                                                                intermediate in        phenol
                                                                                substituted bis-
                                                                                phenol manufacturing
P-10-0362                            04/30/10                07/28/10                CBI                    (G) Organic            (G) Substituted bis-
                                                                                intermediate in bis-   phenol
                                                                                phosphite synthesis
P-10-0363                            04/30/10                07/28/10                CBI                    (G) Ligand for         (G) Aromatic
                                                                                catalyst synthesis     bisphosphite
P-10-0364                            04/30/10                07/28/10                CBI                    (G) Soluble metal      (G) Bisphospite
                                                                                catalyst for organic   nickel cyanoalkyl
                                                                                synthesis              complex
P-10-0365                            04/30/10                07/28/10                Robertet, Inc.         (S) As an odoriferous  (S) Extractives and
                                                                                component of           their physically
                                                                                fragrance compounds    modified
                                                                                derivatives.
                                                                                Santalum
                                                                                austrocaledonicum.
P-10-0366                            04/30/10                07/28/10                CBI                    (G) Printing           (G) Graphite
                                                                                applications, open,
                                                                                non-dispersive use
P-10-0367                            04/23/10                07/21/10                CBI                    (G) Carbon black for   (G) Carbon black
                                                                                general industrial     derived from the
                                                                                use.                   pyrolysis of rubber
                                                                                tire shreds
P-10-0368                            05/03/10                07/31/10                CBI                    (G) Curing agent       (G) Epoxy-arylamine
                                                                                polymer
P-10-0369                            04/23/10                07/21/10                CBI                    (S) Hydrocarbons for   (G) Tire pyrolysis
                                                                                general industrial     oil or tire-derived
                                                                                use                    oil
P-10-0370                            05/04/10                08/01/10                CBI                    (G) Monomer            (G) Alkylol
                                                                                methacrylate
P-10-0371                            05/06/10                08/03/10                CBI                    (S) Adhesion promoter  (G) Alkoxysilane
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    In Table II of this unit, EPA provides the following information
(to the extent that such information is not claimed as CBI) on the TME
received:

                                        II. 1 Test Marketing Exemption Notice Received From: 04/26/10 to 05/07/10
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                                                              Projected Notice End
              Case No.                    Received Date               Date           Manufacturer/Importer           Use                  Chemical
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T-10-0004                            04/23/10                06/06/10                CBI                    (G) Carbon black for   (G) Carbon black
                                                                                general industrial     derived from the
                                                                                use                    pyrolysis of rubber
                                                                                tire shreds
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    In Table II of this unit, EPA provides the following information
(to the extent that such information is not claimed as CBI) on the
Notices of Commencement to manufacture received:

                             II. 9 Notices of Commencement From: 4/26/10 to 5/07/10
----------------------------------------------------------------------------------------------------------------
                                                                Commencement Notice
              Case No.                     Received Date             End Date                  Chemical
----------------------------------------------------------------------------------------------------------------
P-08-0509                             04/29/10                03/31/10                (G) Perfluorinated
                                                                                aliphatic carboxylic
                                                                                acid, ammonium salt

P-09-0014                             04/26/10                04/16/10                (S) Deninition:
                                                                                Extractives and their
                                                                                physically modified
                                                                                derivatives. Iris
                                                                                germanica. Oils Iris
                                                                                germanica, resinold
P-09-0483                             04/30/10                04/23/10                (G) Polyether modified
                                                                                polyamine
P-09-0652                             04/30/10                04/16/10                (G) Alkyl alkanol amine
P-10-0021                             05/05/10                04/26/10                (G) Isocyanate functional
                                                                                polyester urethane
                                                                                polymer
P-10-0044                             04/28/10                04/20/10                (S) Definition:
                                                                                Extractives and their
                                                                                physically modified
                                                                                derivatives. Callitropsis
                                                                                nootkatensis. Oils,
                                                                                callitropsis nootkatensis
P-10-0170                             04/27/10                04/21/10                (G) Urethane acrylate
P-10-0182                             04/28/10                04/19/10                (G) Aromatic isocyanate
                                                                                reaction product with
                                                                                sand
P-95-0756                             05/06/10                04/15/10                (G) N,N-tetraalkyl-
                                                                                alkylenediamine,
                                                                                propoxylated
----------------------------------------------------------------------------------------------------------------

List of Subjects

    Environmental protection, Chemicals, Premanufacturer notices.

    Dated: May 27, 2010.
Darryl Ballard,
Acting Director, Information Management Division, Office of Pollution
Prevention and Toxics.

[FR Doc. 2010-13628 Filed 6-8-10; 8:45 am]
BILLING CODE 6560-50-S


[Federal Register Volume 84, Number 247 (Thursday, December 26, 2019)]
[Notices]
[Pages 71009-71016]
[FR Doc No: 2019-27696]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-87788; File No. 4-705]

Program for Allocation of Regulatory Responsibilities Pursuant to
Rule 17d-2; Notice of Filing and Order Approving and Declaring
Effective an Amended Proposed Plan for the Allocation of Regulatory
Responsibilities Between the Financial Industry Regulatory Authority,
Inc., Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA
Exchange, Inc., and Cboe EDGX Exchange, Inc.

December 18, 2019.
    Notice is hereby given that the Securities and Exchange Commission
(``Commission'') has issued an Order, pursuant to Section 17(d) of the
Securities Exchange Act of 1934 (``Act''),\1\ approving and declaring
effective an amendment to the plan for allocating regulatory
responsibility (``Plan'') filed on December 3, 2019, pursuant to Rule
17d-2 of the Act,\2\ by the Financial Industry Regulatory Authority,
Inc. (``FINRA''), Cboe BZX Exchange, Inc. (``BZX''), Cboe BYX Exchange,
Inc. (``BYX''), Cboe EDGA Exchange, Inc. (``EDGA''), and Cboe EDGX
Exchange, Inc. (``EDGX'') (each, a ``Participating Organization,'' or
``Bats Exchange,'' and together, the ``Participating Organizations,''
``the Bats Exchanges,'' or the ``Parties''). The Plan replaces and
supersedes the agreement between FINRA and the Bats Exchanges dated
September 30, 2016, entitled ``Agreement between Financial Industry
Regulatory Authority, Inc., Bats BZX Exchange, Inc., Bats BYS Exchange,
Inc., Bats EDGA Exchange, Inc., and Bats EDGX Exchange, Inc. Pursuant
to Rule 17d-2 under the Securities Exchange Act of 1934.'' \3\
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    \1\ 15 U.S.C. 78q(d).
    \2\ 17 CFR 240.17d-2.
    \3\ See Securities Exchange Act Release No. 79057 (October 6,
2016), 81 FR 70728 (October 13, 2016).
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I. Introduction

    Section 19(g)(1) of the Securities Exchange Act of 1934
(``Act''),\4\ among other things, requires every self-regulatory
organization (``SRO'') registered as either a national securities
exchange or national securities association to examine for, and enforce
compliance by, its members and persons associated with its members with
the Act, the rules and regulations thereunder, and the SRO's own rules,
unless the SRO is relieved of this responsibility pursuant to Section
17(d) or Section 19(g)(2) of the Act.\5\ Without this relief, the
statutory obligation of each individual SRO could result in a pattern
of multiple examinations of broker-dealers that maintain memberships in
more than one SRO (``common members''). Such regulatory duplication
would add unnecessary expenses for common members and their SROs.
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    \4\ 15 U.S.C. 78s(g)(1).
    \5\ 15 U.S.C. 78q(d) and 15 U.S.C. 78s(g)(2), respectively.
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    Section 17(d)(1) of the Act \6\ was intended, in part, to eliminate
unnecessary multiple examinations and regulatory duplication.\7\ With
respect to a common member, Section 17(d)(1) authorizes the Commission,
by rule or order, to relieve an SRO of the responsibility to receive
regulatory reports, to examine for and enforce compliance with
applicable statutes, rules, and regulations, or to perform other
specified regulatory functions.
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    \6\ 15 U.S.C. 78q(d)(1).
    \7\ See Securities Act Amendments of 1975, Report of the Senate
Committee on Banking, Housing, and Urban Affairs to Accompany S.
249, S. Rep. No. 94-75, 94th Cong., 1st Session 32 (1975).
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    To implement Section 17(d)(1), the Commission adopted two rules:
Rule 17d-1 and Rule 17d-2 under the Act.\8\ Rule 17d-1 authorizes the
Commission to name a single SRO as the designated examining authority
(``DEA'') to examine common members for compliance with the financial
responsibility requirements imposed by the Act, or by Commission or SRO
rules.\9\ When an SRO has been named as a common member's DEA, all
other SROs to which the common member belongs are relieved of the
responsibility to examine the firm for compliance with the applicable
financial responsibility rules. On its face, Rule 17d-1 deals only with
an SRO's obligations to enforce member compliance with financial
responsibility requirements. Rule 17d-1 does not relieve an SRO from
its obligation to examine a common member for compliance with its own
rules and provisions of the federal securities laws governing matters
other than financial responsibility, including sales practices and
trading activities and practices.
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    \8\ 17 CFR 240.17d-1 and 17 CFR 240.17d-2, respectively.
    \9\ See Securities Exchange Act Release No. 12352 (April 20,
1976), 41 FR 18808 (May 7, 1976).
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    To address regulatory duplication in these and other areas, the
Commission adopted Rule 17d-2 under the Act.\10\ Rule 17d-2 permits
SROs to propose joint plans for the allocation of regulatory
responsibilities with respect to their common members. Under paragraph
(c) of Rule 17d-2, the Commission may declare such a plan effective if,
after providing for appropriate notice and comment, it determines that
the plan is necessary or appropriate in the public interest and for the
protection of investors; to foster cooperation and coordination among
the SROs; to remove impediments to, and foster the development of, a
national market system and a national clearance and settlement system;
and is in conformity with the factors set forth in Section 17(d) of the
Act. Commission approval of a plan filed pursuant to Rule 17d-2
relieves an SRO of those regulatory responsibilities allocated by the
plan to another SRO.
---------------------------------------------------------------------------

    \10\ See Securities Exchange Act Release No. 12935 (October 28,
1976), 41 FR 49091 (November 8, 1976).
---------------------------------------------------------------------------

II. The Plan

    On October 6, 2016, the Commission declared effective the Plan
entered into between FINRA and the Bats Exchanges for allocating
regulatory responsibility pursuant to Rule 17d-2.\11\ The Plan is
intended to reduce regulatory duplication for firms that are common
members of FINRA and at least one of the Bats Exchanges by allocating
regulatory responsibility with respect to certain applicable laws,
rules, and regulations that are common among them. Included in the Plan
is an exhibit that lists every rule of each Bats Exchange for which
FINRA bears responsibility under the Plan for overseeing and enforcing
with respect to

members of one or more of the Bats Exchanges that are also members of
FINRA and the associated persons therewith.
---------------------------------------------------------------------------

    \11\ See Securities Exchange Act Release No. 79057 (October 6,
2016), 81 FR 70728 (October 13, 2016).
---------------------------------------------------------------------------

III. Proposed Amendment to the Plan

    On December 3, 2019, the parties submitted a proposed amendment to
the Plan (``Amended Plan''). The primary purposes of the Amended Plan
are to (1) allocate surveillance, investigation, and enforcement
responsibilities for Rule 14e-4 under the Act and (2) amend the Plan to
reflect the name changes of the Bats Exchanges. The text of the
proposed Amended Plan is as follows (additions are italicized;
deletions are [bracketed]):

Agreement Between Financial Industry Regulatory Authority, Inc.,
[BATS]CBOE BZX Exchange, Inc., [BATS]CBOE BYX EXCHANGE, INC.,
[BATS]CBOE EDGA Exchange, Inc., and [BATS]CBOE EDGX Exchange, Inc.
Pursant to Rule 17d-2 Under the Securities Exchange Act of 1934

    This Agreement, by and between the Financial Industry Regulatory
Authority, Inc. (``FINRA''), [Bats]Cboe BZX Exchange, Inc. (``BZX''),
[Bats]Cboe BYX Exchange, Inc. (``BYX''), [Bats]Cboe EDGA Exchange, Inc.
(``EDGA''), and [Bats]Cboe EDGX Exchange, Inc. (``EDGX'')
(collectively, the ``Bats Exchanges'' and each a ``Bats Exchange'') is
made this [30th] 2nd day of [September]December, 201[6]9 (the
``Agreement''), pursuant to Section 17(d) of the Securities Exchange
Act of 1934 (the ``Exchange Act'') and Rule 17d-2 thereunder, which
permits agreements between self-regulatory organizations to allocate
regulatory responsibility to eliminate regulatory duplication. FINRA
and the Bats Exchanges may be referred to individually as a ``party''
and together as the ``parties.'' Upon approval by the Securities and
Exchange Commission (``Commission'' or ``SEC'') this Agreement shall
replace and supersede the agreement among FINRA and the Bats Exchanges
dated September 30, 2016[between FINRA and BZX dated August 25, 2008;
the agreement between FINRA and BYX dated September 3, 2010; the
agreement between FINRA and EDGA dated March 31, 2010; and the
agreement between FINRA and EDGX dated March 31, 2010].
    Whereas, FINRA and the Bats Exchanges desire to reduce duplication
in the examination and surveillance of their Common Members (as defined
herein) and in the filing and processing of certain registration and
membership records; and
    Whereas, FINRA and the Bats Exchanges desire to execute an
agreement covering such subjects pursuant to the provisions of Rule
17d-2 under the Exchange Act and to file such agreement with the
Commission for its approval.
    Now, therefore, in consideration of the mutual covenants contained
hereinafter, FINRA and each Bats Exchange hereby agree as follows:
    1. Definitions. Unless otherwise defined in this Agreement or the
context otherwise requires, the terms used in this Agreement shall have
the same meaning as they have under the Exchange Act and the rules and
regulations thereunder. As used in this Agreement, the following terms
shall have the following meanings:
    (a) ``Bats Exchanges Rules'' or ``FINRA Rules'' shall mean: (i) The
rules of each Bats Exchange, or (ii) the rules of FINRA, respectively,
as the rules of an exchange or association are defined in Exchange Act
Section 3(a)(27).
    (b) ``Common Rules'' shall mean the rules of each Bats Exchange
that are substantially similar to the applicable FINRA Rules and
certain provisions of the Exchange Act and SEC rules set forth on
Exhibit 1 in that examination or surveillance for compliance with such
provisions and rules would not require FINRA to develop one or more new
examination or surveillance standards, modules, procedures, or criteria
in order to analyze the application of the provision or rule, or a
Common Member's activity, conduct, or output in relation to such
provision or rule; provided, however, Common Rules shall not include
the application of the SEC, each Bats Exchange or FINRA rules as they
pertain to violations of insider trading activities, which is covered
by a separate 17d-2 Agreement by and among [BATS Exchange, Inc., BATS-Y
Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago
Stock Exchange, Inc., EDGA Exchange Inc., EDGX Exchange Inc., Financial
Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX
PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc.,
New York Stock Exchange, LLC, NYSE Amex LLC, and NYSE Arca Inc.
effective December 16, 2011] Cboe BZX Exchange, Inc., Cboe BYX
Exchange, Inc., Chicago Stock Exchange, Inc., Cboe EDGA Exchange, Inc.,
Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority,
Inc., Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC,
NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC,
NYSE Arca Inc., Investors' Exchange LLC and Long-Term Stock Exchange,
Inc. effective August 1, 2019, as may be amended from time to time.
Common Rules shall not include any provisions regarding (i) notice,
reporting or any other filings made directly to or from any Bats
Exchange, (ii) incorporation by reference of any Bats Exchange Rules
that are not Common Rules, (iii) exercise of discretion in a manner
that differs from FINRA's exercise of discretion including, but not
limited to exercise of exemptive authority, by any Bats Exchange, (iv)
prior written approval of any Bats Exchange and (v) payment of fees or
fines to any Bats Exchange.
    (c) ``Common Members'' shall mean those Bats Exchange members that
are also members of FINRA and the associated persons therewith.
    (d) ``Effective Date'' shall have the meaning set forth in
paragraph 13.
    (e) ``Enforcement Responsibilities'' shall mean the conduct of
appropriate proceedings, in accordance with FINRA's Code of Procedure
and other applicable FINRA procedural rules, to determine whether
violations of Common Rules have occurred, and if such violations are
deemed to have occurred, the imposition of appropriate sanctions as
specified under FINRA's Code of Procedure and sanctions guidelines.
    (f) ``Regulatory Responsibilities'' shall mean the examination
responsibilities, surveillance responsibilities and Enforcement
Responsibilities relating to compliance by the Common Members with the
Common Rules and the provisions of the Exchange Act and the rules and
regulations thereunder, and other applicable laws, rules and
regulations, each as set forth on Exhibit 1 attached hereto.
    2. Regulatory Responsibilities. FINRA shall assume Regulatory
Responsibilities for Common Members. Attached as Exhibit 1 to this
Agreement and made part hereof, each Bats Exchange furnished FINRA with
a current list of Common Rules and certified to FINRA that such rules
that are Bats Exchanges Rules are substantially similar to the
corresponding FINRA Rules (the ``Certification''). FINRA hereby agrees
that the rules listed in the Certification are Common Rules as defined
in this Agreement. Each year following the Effective Date of this
Agreement, or more frequently if required by changes in either the
rules of any Bats Exchange or FINRA, the Bats Exchanges shall submit an
updated list of Common Rules to FINRA for review which shall add Bats
Exchanges Rules not included in the current list of Common Rules that
qualify as Common Rules as defined in this Agreement; delete Bats
Exchanges Rules included in the current list of

Common Rules that no longer qualify as Common Rules as defined in this
Agreement; and confirm that the remaining rules on the current list of
Common Rules continue to be Bats Exchanges Rules that qualify as Common
Rules as defined in this Agreement. Within 30 days of receipt of such
updated list, FINRA shall confirm in writing whether the rules listed
in any updated list are Common Rules as defined in this Agreement.
Notwithstanding anything herein to the contrary, it is explicitly
understood that the term ``Regulatory Responsibilities'' does not
include, and each Bats Exchange shall retain full responsibility for
(unless otherwise addressed by separate agreement or rule)
(collectively, the ``Retained Responsibilities'') the following:
    (a) Surveillance, examination, investigation and enforcement with
respect to trading activities or practices involving each Bats
Exchange's own marketplace for rules that are not Common Rules;
    (b) registration pursuant to its applicable rules of associated
persons (i.e., registration rules that are not Common Rules);
    (c) discharge of its duties and obligations as a Designated
Examining Authority pursuant to Rule 17d-1 under the Exchange Act; and
    (d) any Bats Exchanges Rules that are not Common Rules, except for
any Bats Exchanges Rules for any broker-dealer subsidiary of [Bats
Global Markets]Cboe Trading, Inc., as provided in paragraph 6.
    3. Common Members. Prior to the Effective Date, each Bats Exchange
shall furnish FINRA with a current list of Common Members, which shall
be updated no less frequently than once each quarter.
    4. No Charge. There shall be no charge to the Bats Exchanges by
FINRA for performing the Regulatory Responsibilities under this
Agreement except as otherwise agreed by the parties, either herein or
in a separate agreement.
    5. Reassignment of Regulatory Responsibilities. Notwithstanding any
provision hereof, this Agreement shall be subject to any statute, or
any rule or order of the Commission, or industry agreement,
restructuring the regulatory framework of the securities industry or
reassigning Regulatory Responsibilities between self-regulatory
organizations. To the extent such action is inconsistent with this
Agreement, such action shall supersede the provisions hereof to the
extent necessary for them to be properly effectuated and the provisions
hereof in that respect shall be null and void.
    6. Notification of Violations. In the event that FINRA becomes
aware of apparent violations of any Bats Exchanges Rules, which are not
listed as Common Rules, discovered pursuant to the performance of the
Regulatory Responsibilities assumed hereunder, FINRA shall notify the
Bats Exchanges of those apparent violations for such response as the
Bats Exchanges deem appropriate. In the event that any of the Bats
Exchanges becomes aware of apparent violations of any Common Rules,
discovered pursuant to the performance of the Retained
Responsibilities, the applicable Bats Exchange shall notify FINRA of
those apparent violations and such matters shall be handled by FINRA as
provided in this Agreement. With respect to apparent violations of any
Bats Exchanges Rules by any broker-dealer subsidiary of Bats Global
Markets, Inc., FINRA shall not make referrals to the Bats Exchanges
pursuant to this paragraph 6. Such apparent violations shall be
processed by, and enforcement proceedings in respect thereto will be
conducted by, FINRA as provided in this Agreement. Each party agrees to
make available promptly all files, records and witnesses necessary to
assist the other in its investigation or proceedings. Apparent
violations of Common Rules, FINRA Rules, federal securities laws, and
rules and regulations thereunder, shall be processed by, and
enforcement proceedings in respect thereto shall be conducted by FINRA
as provided hereinbefore; provided, however, that in the event a Common
Member is the subject of an investigation relating to a transaction on
a Bats Exchange, the Bats Exchange may in its discretion assume
concurrent jurisdiction and responsibility.
    7. Continued Assistance.
    (a) FINRA shall make available to the Bats Exchanges all
information obtained by FINRA in the performance by it of the
Regulatory Responsibilities hereunder with respect to the Common
Members subject to this Agreement. In particular, and not in limitation
of the foregoing, FINRA shall furnish the Bats Exchanges any
information it obtains about Common Members which reflects adversely on
their financial condition. The Bats Exchanges shall make available to
FINRA any information coming to its attention that reflects adversely
on the financial condition of Common Members or indicates possible
violations of applicable laws, rules or regulations by such firms.
    (b) The parties agree that documents or information shared shall be
held in confidence, and used only for the purposes of carrying out
their respective regulatory obligations. The parties shall not assert
regulatory or other privileges as against another with respect to
documents or information that is required to be shared pursuant to this
Agreement.
    (c) The sharing of documents or information between the parties
pursuant to this Agreement shall not be deemed a waiver as against
third parties of regulatory or other privileges relating to the
discovery of documents or information.
    8. Statutory Disqualifications. When FINRA becomes aware of a
statutory disqualification as defined in the Exchange Act with respect
to a Common Member, FINRA shall determine pursuant to Sections 15A(g)
and/or Section 6(c) of the Exchange Act the acceptability or continued
applicability of the person to whom such disqualification applies and
keep the Bats Exchanges advised of its actions in this regard for such
subsequent proceedings as the Bats Exchanges may initiate.
    9. Customer Complaints. The Bats Exchanges shall forward to FINRA
copies of all customer complaints involving Common Members received by
the Bats Exchanges relating to FINRA's Regulatory Responsibilities
under this Agreement. It shall be FINRA's responsibility to review and
take appropriate action in respect to such complaints.
    10. Advertising. FINRA shall assume responsibility to review the
advertising of Common Members subject to the Agreement, provided that
such material is filed with FINRA in accordance with FINRA's filing
procedures and is accompanied with any applicable filing fees set forth
in FINRA Rules.
    11. No Restrictions on Regulatory Action. Nothing contained in this
Agreement shall restrict or in any way encumber the right of any party
to conduct its own independent or concurrent investigation, examination
or enforcement proceeding of or against Common Members, as any party,
in its sole discretion, shall deem appropriate or necessary.
    12. Termination. This Agreement may be terminated by the Bats
Exchanges or FINRA at any time upon the approval of the Commission
after one (1) year's written notice to the other party, except as
provided in paragraph 4.
    13. Effective Date. This Agreement shall be effective upon approval
of the Commission.
    14. Arbitration. In the event of a dispute among the parties as to
the operation of this Agreement, the Bats Exchanges and FINRA hereby
agree that

any such dispute shall be settled by arbitration in Washington, DC in
accordance with the rules of the American Arbitration Association then
in effect, or such other procedures as the parties may mutually agree
upon. Judgment on the award rendered by the arbitrator(s) may be
entered in any court having jurisdiction. Each party acknowledges that
the timely and complete performance of its obligations pursuant to this
Agreement is critical to the business and operations of the other
parties. In the event of a dispute between the parties, the parties
shall continue to perform their respective obligations under this
Agreement in good faith during the resolution of such dispute unless
and until this Agreement is terminated in accordance with its
provisions. Nothing in this Section 14 shall interfere with a party's
right to terminate this Agreement as set forth herein.
    15. Notification of Members. The Bats Exchanges and FINRA shall
notify Common Members of this Agreement after the Effective Date by
means of a uniform joint notice.
    16. Amendment. This Agreement may be amended in writing duly
approved by each party. All such amendments must be filed with and
approved by the Commission before they become effective.
    17. Limitation of Liability. Neither FINRA nor any Bats Exchange
nor any of their respective directors, governors, officers or employees
shall be liable to the other parties to this Agreement for any
liability, loss or damage resulting from or claimed to have resulted
from any delays, inaccuracies, errors or omissions with respect to the
provision of Regulatory Responsibilities as provided hereby or for the
failure to provide any such responsibility, except with respect to such
liability, loss or damages as shall have been suffered by one or the
other of FINRA or any Bats Exchange and caused by the willful
misconduct of the other party or their respective directors, governors,
officers or employees. No warranties, express or implied, are made by
FINRA or any Bats Exchange with respect to any of the responsibilities
to be performed by each of them hereunder.
    18. Relief from Responsibility. Pursuant to Sections 17(d)(1)(A)
and 19(g) of the Exchange Act and Rule 17d-2 thereunder, FINRA and the
Bats Exchanges join in requesting the Commission, upon its approval of
this Agreement or any part thereof, to relieve the Bats Exchanges of
any and all responsibilities with respect to matters allocated to FINRA
pursuant to this Agreement; provided, however, that this Agreement
shall not be effective until the Effective Date.
    19. Severability. Any term or provision of this Agreement that is
invalid or unenforceable in any jurisdiction shall, as to such
jurisdiction, be ineffective to the extent of such invalidity or
unenforceability without rendering invalid or unenforceable the
remaining terms and provisions of this Agreement or affecting the
validity or enforceability of any of the terms or provisions of this
Agreement in any other jurisdiction.
    20. Counterparts. This Agreement may be executed in one or more
counterparts, each of which shall be deemed an original, and such
counterparts together shall constitute one and the same instrument.

Exhibit 1

Cboe [Bats] BZX Exchange, Inc. (``BZX''), Cboe [Bats] BYX Exchange,
Inc. (``BYX''), Cboe [Bats] EDGA Exchange, Inc. (``EDGA''), and Cboe
[Bats] EDGX Exchange, Inc. (``EDGX'') Rules Certification for 17d-2
Agreement with FINRA

    Each Bats Exchange hereby certifies that the requirements contained
in the rules listed below are identical to, or substantially similar
to, the comparable FINRA Rule, NASD Rule, Exchange Act provision or SEC
Rule identified (``Common Rules'').
    # Common Rules shall not include provisions regarding (i) notice,
reporting or any other filings made directly to or from any Bats
Exchange, (ii) incorporations by reference of any Bats Exchange Rules
that are not Common Rules (iii) exercise of discretion in a manner that
differs from FINRA's exercise of discretion including, but not limited
to exercise of exemptive authority, by any Bats Exchanges, (iv) prior
written approval of any Bats Exchanges, and (v) payment of fees or
fines to any Bats Exchange.

----------------------------------------------------------------------------------------------------------------
                                                                                FINRA Rule, NASD Rule,
            BZX Rule                  BYX Rule          EDGA Rule          EDGX Rule      Exchange Act Provision
                                                                                or SEC Rule
----------------------------------------------------------------------------------------------------------------
Rule 2.5 Restrictions,           Rule 2.5           Rule 2.5           Rule 2.5           FINRA Rule
 Interpretation and Policy .02    Restrictions,      Restrictions,      Restrictions,      12[5]40(a)(1)-(4)
 Continuing Education             Interpretation     Interpretation     Interpretation     Continuing Education
 Requirements .                  and Policy .02     and Policy .02     and Policy .02     Requirements \1\;
                                  Continuing         Continuing         Continuing         FINRA Rule 1010(a);
                                  Education          Education          Education          FINRA Bylaws Article
                                  Requirements .    Requirements .    Requirements .    V, Sec. 2.
Rule 2.5 Restrictions,           Rule 2.5           Rule 2.5           Rule 2.5           FINRA By-Laws of the
 Interpretation and Policy .04    Restrictions,      Restrictions,      Restrictions,      Corporation, Article
 Termination of Employment.       Interpretation     Interpretation     Interpretation     V, Section 3
                                  and Policy .04     and Policy .04     and Policy .04     Notification by
                                  Termination of     Termination of     Termination of     Member to the
                                  Employment.        Employment.        Employment.        Corporation and
                                                                                Associated Person of
                                                                                Termination;
                                                                                Amendments to
                                                                                Notification.
Rule 2.6(g) Application          Rule 2.6(g)        Rule 2.6(g)        Rule 2.6(g)        FINRA By-Laws of the
 Procedures for Membership or     Application        Application        Application        Corporation, Article
 to become an Associated Person   Procedures for     Procedures for     Procedures for     IV, Section 1(c)
 of a Member .                   Membership or to   Membership or to   Membership or to   Application for
                                  become an          become an          become an          Membership.
                                  Associated         Associated         Associated
                                  Person of a        Person of a        Person of a
                                  Member .          Member .          Member .
Rule 3.1 Business Conduct of     Rule 3.1 Business  Rule 3.1 Business  Rule 3.1 Business  FINRA Rule 2010
 Members *.                       Conduct of         Conduct of         Conduct of         Standards of
                                  Members *.         Members *.         Members *.         Commercial Honor and
                                                                                Principles of Trade.*
Rule 3.2 Violations Prohibited   Rule 3.2           Rule 3.2           Rule 3.2           FINRA Rule 2010
 *.                               Violations         Violations         Violations         Standards of
                                  Prohibited *.      Prohibited *.      Prohibited *.      Commercial Honor and
                                                                                Principles of Trade
                                                                                and FINRA Rule 3110
                                                                                Supervision.* \2\
Rule 3.3 Use of Fraudulent       Rule 3.3 Use of    Rule 3.3 Use of    Rule 3.3 Use of    FINRA Rule 2020 Use of
 Devices *.                       Fraudulent         Fraudulent         Fraudulent         Manipulative,
                                  Devices *.         Devices *.         Devices *.         Deceptive or Other
                                                                                Fraudulent Devices.*
Rule 3.5 Communications with     Rule 3.5           Rule 3.5           Rule 3.5           FINRA Rule 2210
 the Public.                      Communications     Communications     Communications     Communications with
                                  with the Public.   with the Public.   with the Public.   the Public.
Rule 3.6 Fair Dealing with       Rule 3.6 Fair      Rule 3.6 Fair      Rule 3.6 Fair      FINRA Rule 2020 Use of
 Customers.                       Dealing with       Dealing with       Dealing with       Manipulative,
                                  Customers.         Customers.         Customers.         Deceptive or Other
                                                                                Fraudulent Devices.*
                                                                                \3\
Rule 3.7(a) Recommendations to   Rule 3.7(a)        Rule 3.7(a)        Rule 3.7(a)        FINRA Rule 2111(a)
 Customers.                       Recommendations    Recommendations    Recommendations    Suitability.
                                  to Customers.      to Customers.      to Customers.
Rule 3.8(a) The Prompt Receipt   Rule 3.8(a) The    Rule 3.8(a) The    Rule 3.8(a) The    FINRA Rule 11860 COD
 and Delivery of Securities.      Prompt Receipt     Prompt Receipt     Prompt Receipt     Orders.
                                  and Delivery of    and Delivery of    and Delivery of
                                  Securities.        Securities.        Securities.

Rule 3.8(b) The Prompt Receipt   Rule 3.8(b) The    Rule 3.8(b) The    Rule 3.8(b) The    SEC Regulation SHO.
 and Delivery of Securities.      Prompt Receipt     Prompt Receipt     Prompt Receipt
                                  and Delivery of    and Delivery of    and Delivery of
                                  Securities.        Securities.        Securities.
Rule 3.9 Charges for Services    Rule 3.9 Charges   Rule 3.9 Charges   Rule 3.9 Charges   FINRA Rule 2122
 Performed.                       for Services       for Services       for Services       Charges for Services
                                  Performed.         Performed.         Performed.         Performed.
Rule 3.10 Use of Information...  Rule 3.10 Use of   Rule 3.10 Use of   Rule 3.10 Use of   FINRA Rule 2060 Use of
                                  Information.       Information.       Information.       Information Obtained
                                                                                in Fiduciary
                                                                                Capacity.
Rule 3.11 Publication of         Rule 3.11          Rule 3.11          Rule 3.11          FINRA Rule 5210
 Transactions and Quotations .   Publication of     Publication of     Publication of     Publication of
                                  Transactions and   Transactions and   Transactions and   Transactions and
                                  Quotations .      Quotations .      Quotations .      Quotations.
Rule 3.12 Offers at Stated       Rule 3.12 Offers   Rule 3.12 Offers   Rule 3.12 Offers   FINRA Rule 5220 Offers
 Prices.                          at Stated Prices.  at Stated Prices.  at Stated Prices.  at Stated Prices.
Rule 3.13 Payment Designed to    Rule 3.13 Payment  Rule 3.13          Rule 3.13          FINRA Rule 5230
 Influence Market Prices, Other   Designed to        Payments           Payments           Payments Involving
 than Paid Advertising.           Influence Market   Involving          Involving          Publications that
                                  Prices, Other      Publications       Publications       Influence the Market
                                  than Paid          that Influence     that Influence     Price of a Security.
                                  Advertising.       the Market Price   the Market Price
                                                     of a Security.     of a Security.
Rule 3.14 Disclosure on          Rule 3.14          Rule 3.14          Rule 3.14          FINRA Rule 2232(a)
 Confirmations.                   Disclosure on      Disclosure on      Disclosure on      Customer
                                  Confirmations.     Confirmations.     Confirmations.     Confirmations and SEC
                                                                                Rule 10b-10
                                                                                Confirmation of
                                                                                Transactions.
Rule 3.15 Disclosure of Control  Rule 3.15          Rule 3.15          Rule 3.15          FINRA Rule 2262
                                  Disclosure of      Disclosure of      Disclosure of      Disclosure of Control
                                  Control.           Control.           Control.           Relationship With
                                                                                Issuer.
Rule 3.16 Discretionary          Rule 3.16          Rule 3.16          Rule 3.16          NASD Rule 2510
 Accounts.                        Discretionary      Discretionary      Discretionary      Discretionary
                                  Accounts.          Accounts.          Accounts.          Accounts.\4\
Rule 3.17 Customer's Securities  Rule 3.17          Rule 3.17          Rule 3.17          FINRA Rule 2150(a)
 or Funds.                        Customer's         Customer's         Customer's         Improper Use of
                                  Securities or      Securities or      Securities or      Customers' Securities
                                  Funds.             Funds.             Funds.             or Funds; Prohibition
                                                                                Against Guarantees
                                                                                and Sharing in
                                                                                Accounts--Improper
                                                                                Use.
Rule 3.18 Prohibition Against    Rule 3.18          Rule 3.18          Rule 3.18          FINRA Rule 2150(b)
 Guarantees.                      Prohibition        Prohibition        Prohibition        Improper Use of
                                  Against            Against            Against            Customers' Securities
                                  Guarantees.        Guarantees.        Guarantees.        or Funds; Prohibition
                                                                                Against Guarantees
                                                                                and Sharing in
                                                                                Accounts--Prohibition
                                                                                Against Guarantees.
Rule 3.19 Sharing in Accounts;   Rule 3.19 Sharing  Rule 3.19 Sharing  Rule 3.19 Sharing  FINRA Rule 2150(c)(1)
 Extent Permissible.              in Accounts;       in Accounts;       in Accounts;       Improper Use of
                                  Extent             Extent             Extent             Customers' Securities
                                  Permissible.       Permissible.       Permissible.       or Funds; Prohibition
                                                                                Against Guarantees
                                                                                and Sharing in
                                                                                Accounts--Sharing in
                                                                                Accounts; Extent
                                                                                Permissible.
Rule 3.21[(a)-(f)] Customer      Rule 3.21[(a)-     Rule 3.21[(a)-     Rule 3.21[(a)-     FINRA Rule 2265
 Disclosures.                     (f)] Customer      (f)] Customer      (f)] Customer      Extended Hours
                                  Disclosures.       Disclosures.       Disclosures.       Trading Risk
                                                                                Disclosure.
Rule 3.22 Influencing or         Rule 3.22          Rule 3.20          Rule 3.20          FINRA Rule 3220
 Rewarding Employees of Others.   Influencing or     Influencing or     Influencing or     Influencing or
                                  Rewarding          Rewarding          Rewarding          Rewarding Employees
                                  Employees of       Employees of       Employees of       of Others.
                                  Others.            Others.            Others.
Rule 3.23 Telemarketing and      Rule 3.23          Rule 3.26          Rule 3.26          FINRA Rule 3230
 Interpretations and Policies     Telemarketing      Telemarketing      Telemarketing      Telemarketing.
 .01.                             and                and                and
                                  Interpretations    Interpretations    Interpretations
                                  and Policies .01.  and Policies .01.  and Policies .01.
Rule 4.1 Requirements..........  Rule 4.1           Rule 4.1           Rule 4.1           Section 17 of the
                                  Requirements.      Requirements.      Requirements.      Exchange Act and the
                                                                                rules thereunder *
                                                                                \5\, and FINRA Rule
                                                                                4511(a) and (c)
                                                                                General Requirements.
Rule 4.3 Record of Written       Rule 4.3 Record    Rule 4.3 Record    Rule 4.3 Record    FINRA Rule 4513
 Complaints.                      of Written         of Written         of Written         Records of Written
                                  Complaints.        Complaints.        Complaints.        Customer Complaints.
Rule 5.1 Written Procedures....  Rule 5.1 Written   Rule 5.1 Written   Rule 5.1 Written   FINRA Rule 3110(b)(1)
                                  Procedures.        Procedures.        Procedures.        Supervision-Written
                                                                                Procedures.*
Rule 5.2 Responsibility of       Rule 5.2           Rule 5.2           Rule 5.2           FINRA Rule 3110
 Members.                         Responsibility     Responsibility     Responsibility     (a)(4), (b)(4) and
                                  of Members.        of Members.        of Members.        (b)(7) Supervision--
                                                                                Supervisory System/
                                                                                Written Procedures--
                                                                                Review of
                                                                                Correspondence and
                                                                                Internal
                                                                                Communications.*
Rule 5.3 Records...............  Rule 5.3 Records.  Rule 5.3 Records.  Rule 5.3 Records.  FINRA Rule 3110
                                                                                Supervision.*
Rule 5.4 Review of Activities..  Rule 5.4 Review    Rule 5.4 Review    Rule 5.4 Review    FINRA Rule 3110(c) and
                                  of Activities.     of Activities.     of Activities.     (d) Supervision--
                                                                                Internal Inspections/
                                                                                Transaction Review
                                                                                and Investigation.*
Rule 5.6 Anti-Money Laundering   Rule 5.6 Anti-     Rule 5.6 Anti-     Rule 5.6 Anti-     FINRA Rule 3310 Anti-
 Compliance Program .            Money Laundering   Money Laundering   Money Laundering   Money Laundering
                                  Compliance         Compliance         Compliance         Compliance Program.
                                  Program .         Program .         Program .
Rule 9.3 Predispute Arbitration  Rule 9.3           Rule 9.3           Rule 9.3           FINRA Rule 2268
 Agreements.                      Predispute         Predispute         Predispute         Requirements When
                                  Arbitration        Arbitration        Arbitration        Using Predispute
                                  Agreements.        Agreements.        Agreements.        Arbitration
                                                                                Agreements for
                                                                                Customer Accounts.
Rule 11.18(e)(3) & (4) Trading   Rule 11.18(e)(3)   Rule 11.16(e)(3)   Rule 11.16(e)(3)   FINRA Rule 6190(a)[(1)
 Halts Due to Extraordinary       & (4) Trading      & (4) Trading      & (4) Trading      & (2)]& (b)
 Market Volatility.               Halts Due to       Halts Due to       Halts Due to       Compliance with
                                  Extraordinary      Extraordinary      Extraordinary      Regulation NMS Plan
                                  Market             Market             Market             to Address
                                  Volatility.        Volatility.        Volatility.        Extraordinary Market
                                                                                Volatility.
Rule 11.19(a) Short Sales       Rule 11.19(a)      Rule 11.10(a)(5)   Rule 11.10(a)(5)   FINRA Rule 6182 Trade
 [caret][caret].                  Short Sales       Order Execution-   Order Execution-   Reporting of Short
                                  [caret][caret].    Short Sales       Short Sales       Sales.[caret][caret]
                                                     [caret][caret].    [caret][caret].
Rule 12.1 Market Manipulation    Rule 12.1 Market   Rule 12.1 Market   Rule 12.1 Market   FINRA Rule 6140(a)
 **.                              Manipulation **.   Manipulation **.   Manipulation **.   Other Trading
                                                                                Practices.**
Rule 12.2 Fictitious             Rule 12.2          Rule 12.2          Rule 12.2          FINRA Rule 6140(b)
 Transactions **.                 Fictitious         Fictitious         Fictitious         Other Trading
                                  Transactions **.   Transactions **.   Transactions **.   Practices.**
Rule 12.3 Excessive Sales by a   Rule 12.3          Rule 12.3          Rule 12.3          FINRA Rule 6140(c)
 Member **.                       Excessive Sales    Excessive Sales    Excessive Sales    Other Trading
                                  by a Member **.    by a Member **.    by a Member **.    Practices.**
Rule 12.4 Manipulative           Rule 12.4          Rule 12.4          Rule 12.4          FINRA Rule 6140(d)
 Transactions **.                 Manipulative       Manipulative       Manipulative       Other Trading
                                  Transactions **.   Transactions **.   Transactions **.   Practices.**
Rule 12.5 Dissemination of       Rule 12.5          Rule 12.5          Rule 12.5          FINRA Rule 6140(e)
 False Information **.            Dissemination of   Dissemination of   Dissemination of   Other Trading
                                  False              False              False              Practices.**
                                  Information **.    Information **.    Information **.
Rule 12.6 Prohibition Against    Rule 12.6          Rule 12.6          Rule 12.6          FINRA Rule 5320
 Trading Ahead of Customer        Prohibition        Prohibition        Prohibition        Prohibition Against
 Orders [caret][caret].           Against Trading    Against Trading    Against Trading    Trading Ahead of
                                  Ahead of           Ahead of           Ahead of           Customer
                                  Customer Orders    Customer Orders    Customer Orders    Orders.[caret][caret]
                                  [caret][caret].    [caret][caret].    [caret][caret].

Rule 12.9 Trade Shredding......  Rule 12.9 Trade    Rule 12.9 Trade    Rule 12.9 Trade    FINRA Rule 5290 Order
                                  Shredding.         Shredding.         Shredding.         Entry and Execution
                                                                                Practices.
Rule 12.11 Best Execution        Rule 12.11 Best    Rule 12.11 Best    Rule 12.11 Best    FINRA Rule 5310 Best
 [caret][caret].                  Execution          Execution          Execution          Execution and
                                  [caret][caret].    [caret][caret].    [caret][caret].    Interpositioning.[car
                                                                                et][caret]
Rule 12.13 Trading Ahead of      Rule 12.13         Rule 12.13         Rule 12.13         FINRA Rule 5280
 Research Reports                 Trading Ahead of   Trading Ahead of   Trading Ahead of   Trading Ahead of
 [caret][caret].                  Research Reports   Research Reports   Research Reports   Research
                                  [caret][caret].    [caret][caret].    [caret][caret].    Reports.[caret][caret
                                                                                ]
Rule 12.14(a) Front Running of   Rule 12.14(a)      Rule 12.14(a)      Rule 12.14(a)      FINRA Rule 5270 Front
 Block Transactions               Front Running of   Front Running of   Front Running of   Running of Block
 [caret][caret].                  Block              Block              Block              Transactions.[caret][
                                  Transactions       Transactions       Transactions       caret]
                                  [caret][caret].    [caret][caret].    [caret][caret].
Rule 13.2 Failure to Deliver     Rule 13.2 Failure  Rule 13.2 Short    Rule 13.2 Short    Regulation SHO Rules
 and Failure to Receive.          to Deliver and     Sale Borrowing     Sale Borrowing     200 and 203.
                                  Failure to         and Delivery       and Delivery
                                  Receive.           Requirements.      Requirements.
Rule 13.3(a), (b)(i), (d) and    Rule 13.3(a),      Rule 13.3(a),      Rule 13.3(a),      FINRA Rule 2251
 Interpretation and Policy .01    (b)(i), (d) and    (b)(i), (d) and    (b)(i), (d) and    Processing and
 Forwarding of Proxy and Other    Interpretation     Interpretation     Interpretation     Forwarding of Proxy
 Issuer-Related Materials;        and Policy .01     and Policy .01     and Policy .01     and Other Issuer-
 Proxy Voting.                    Forwarding of      Forwarding of      Forwarding of      Related Materials.
                                  Proxy and Other    Proxy and Other    Proxy and Other
                                  Issuer-Related     Issuer-Related     Issuer-Related
                                  Materials; Proxy   Materials.         Materials.
                                  Voting.
Rule 26.11 Restrictions on       .................  .................  Rule 26.11         FINRA Rule 4330
 Pledge and Lending of Public                                           Restrictions on    Customer Protection--
 Customers' Securities.                                                 Pledge and         Permissible Uses of
                                                                        Lending of         Customers'
                                                                        Public             Securities.
                                                                        Customers'
                                                                        Securities.
----------------------------------------------------------------------------------------------------------------
\1\ FINRA shall only have Regulatory Responsibilities to the extent that the allowance for additional time for a
  registered person to satisfy the regulatory element is consistently granted.
\2\ FINRA shall only have Regulatory Responsibilities regarding the first phrase of the Bats Exchanges rules
  regarding prohibitions from violating the Securities Exchange Act of 1934 and the rules and regulations
  thereunder; responsibility for the remainder of the rule shall remain with the Bats Exchanges.
\3\ FINRA shall not have Regulatory Responsibilities regarding .01 of each Bats Exchange Rule 3.6.
\4\ FINRA shall not have Regulatory Responsibilities for the Bats Exchanges' Rule to the extent the exception in
  NASD Rule 2510(d)(2) applies.
\5\ FINRA shall not have Regulatory Responsibilities regarding requirements to keep records ``in conformity with
  . . . Exchange Rules;'' responsibility for such requirement remains with the Bats Exchanges.

    In addition, the following provisions shall be part of this 17d-2
Agreement:

Securities Exchange Act of 1934 (``SEA'')

    Section 15(g)

SEC Rules Under the SEA

SEC Rule 200 of Regulation SHO--Definition of ``Short Sale'' and
Marking Requirements [caret][caret]
SEC Rule 201 of Regulation SHO--Circuit Breaker [caret][caret]
SEC Rule 203 of Regulation SHO--Borrowing and Delivery Requirements
[caret][caret]
SEA Rule 204 of Regulation SHO--Close-Out Requirement [caret][caret]
SEC Rule 101 of Regulation M--Activities by Distribution Participants
[caret][caret]
SEC Rule 102 of Regulation M--Activities by Issuers and Selling
Security Holders During a Distribution [caret][caret]
SEC Rule 103 of Regulation M--Nasdaq Passive Market Making
[caret][caret]
SEC Rule 104 of Regulation M--Stabilizing and Other Activities in
Connection with an Offering [caret][caret]
SEC Rule 105 of Regulation M--Short Selling in Connection With a Public
Offering [caret][caret]
SEC Rules 17a-3 / 17a-4--Records to be made by Certain Exchange
Members, Brokers, and Dealers/Records to be Preserved by Certain
Exchange Members, Brokers, and Dealers *
SEC Rule 14e-4--Prohibited Transactions in Connection with Partial
Tender Offers \++\

    [# FINRA shall not have Regulatory Responsibilities regarding
notification or reporting to the Bats Exchanges and to the extent
any exercise of discretion is the same.]
    * FINRA shall not have any Regulatory Responsibilities for these
rules as they pertain to violations of insider trading activities,
which is covered by a separate 17d-2 Agreement by and among [BATS
Exchange, Inc., BATS Y Exchange, Inc., Chicago Board Options
Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange
Inc., EDGX Exchange Inc., Financial Industry Regulatory Authority,
Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock
Market LLC, National Stock Exchange, Inc., New York Stock Exchange,
LLC, NYSE Amex LLC, and NYSE Arca, Inc. effective December 16, 2011]
Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Chicago Stock
Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc.,
Financial Industry Regulatory Authority, Inc., Nasdaq BX, Inc.,
Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc.,
New York Stock Exchange LLC, NYSE American LLC, NYSE Arca Inc.,
Investors' Exchange LLC and Long-Term Stock Exchange, Inc. effective
August 1, 2019, as may be amended from time to time.
    ** FINRA shall not have Regulatory Responsibilities for these
rules as they pertain to trading practices involving securities that
do not meet the definition of NMS stock as defined in Rule
600(b)(47) of Regulation NMS. As of the current date, Bats Exchanges
do not trade any non-NMS stock.
    [caret][caret] FINRA shall perform the surveillance
responsibilities for the double caret rules. These rules may be
cited by FINRA in both the context of this Agreement and the
Regulatory Services Agreement.
    ++ FINRA shall perform the surveillance responsibilities for SEC
Rule 14e-4(a)(1)(ii)(D).

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing. 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 4-705 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 4-705. 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 plan that are filed with the
Commission,

and all written communications relating to the proposed plan 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 plan also will be available for inspection and copying at
the principal offices of FINRA, BZX, BYX, EDGX, and EDGA. 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 4-705 and should be submitted on or before
January 16, 2020.

V. Discussion

    The Commission finds that the proposed Amended Plan is consistent
with the factors set forth in Section 17(d) of the Act \12\ and Rule
17d-2(c) thereunder \13\ in that the proposed Amended Plan is necessary
or appropriate in the public interest and for the protection of
investors, fosters cooperation and coordination among SROs, and removes
impediments to and fosters the development of the national market
system. In particular, the Commission believes that the proposed
Amended Plan should reduce unnecessary regulatory duplication by
allocating to FINRA certain examination and enforcement
responsibilities for Common Members that would otherwise be performed
by FINRA and at least one of the Bats Exchanges. Accordingly, the
proposed Amended Plan promotes efficiency by reducing costs to Common
Members. Furthermore, because the Bats Exchanges and FINRA will
coordinate their regulatory functions in accordance with the Amended
Plan, the Amended Plan should promote investor protection.
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78q(d).
    \13\ 17 CFR 240.17d-2(c).
---------------------------------------------------------------------------

    The Commission notes that, under the Amended Plan, the Bats
Exchanges and FINRA have allocated regulatory responsibility for those
rules of the Bats Exchanges, set forth in the Certification, that are
substantially similar to the applicable FINRA rules in that examination
for compliance with such provisions and rules would not require FINRA
to develop one or more new examination standards, modules, procedures,
or criteria in order to analyze the application of the rule, or a
Common Member's activity, conduct, or output in relation to such rule.
In addition, under the Amended Plan, FINRA would assume regulatory
responsibility for certain provisions of the federal securities laws
and the rules and regulations thereunder that are set forth in the
Certification. The Common Rules covered by the Amended Plan are
specifically listed in the Certification, as may be amended by the
Parties from time to time.
    According to the Amended Plan, the Bats Exchanges will review the
Certification, at least annually, or more frequently if required by
changes in either the rules of any one of the Bats Exchanges or FINRA,
and, if necessary, submit to FINRA an updated list of Common Rules to
add rules of any Bats Exchange not included on the then-current list of
Common Rules that are substantially similar to FINRA rules; delete
rules of any Bats Exchange included in the then-current list of Common
Rules that no longer qualify as common rules; and confirm that the
remaining rules on the list of Common Rules continue to be rules of
each Bats Exchange that qualify as common rules.\14\ FINRA will then
confirm in writing whether the rules listed in any updated list are
Common Rules as defined in the Amended Plan. Under the Amended Plan,
each Bats Exchange will also provide FINRA with a current list of
Common Members and shall update the list no less frequently than once
each quarter.\15\ The Commission believes that these provisions are
designed to provide for continuing communication between the Parties to
ensure the continued accuracy of the scope of the proposed allocation
of regulatory responsibility.
---------------------------------------------------------------------------

    \14\ See paragraph 2 of the Amended Plan.
    \15\ See paragraph 3 of the Amended Plan.
---------------------------------------------------------------------------

    The Commission is hereby declaring effective an Amended Plan that,
among other things, allocates regulatory responsibility to FINRA for
the oversight and enforcement of all rules of the Bats Exchanges that
are substantially similar to the rules of FINRA for Common Members of
FINRA and the Bats Exchanges. Therefore, modifications to the
Certification need not be filed with the Commission as an amendment to
the Amended Plan, provided that the Parties are only adding to,
deleting from, or confirming changes to the rules of the Bats Exchanges
in the Certification in conformance with the definition of Common Rules
provided in the Amended Plan. However, should the Parties decide to add
a rule of a Bats Exchange to the Certification that is not
substantially similar to a FINRA rule; delete a rule of a Bats Exchange
from the Certification that is substantially similar to a FINRA rule;
or leave on the Certification a Bats Exchange rule that is no longer
substantially similar to a FINRA rule, then such a change would
constitute an amendment to the Amended Plan, which must be filed with
the Commission pursuant to Rule 17d-2 under the Act.\16\
---------------------------------------------------------------------------

    \16\ The Commission also notes that the addition to or deletion
from the Certification of any federal securities laws, rules, and
regulations for which FINRA would bear responsibility under the
Amended Plan for examining, and enforcing compliance by, Common
Members, also would constitute an amendment to the Amended Plan.
---------------------------------------------------------------------------

    Under paragraph (c) of Rule 17d-2, the Commission may, after
appropriate notice and comment, declare a plan, or any part of a plan,
effective. In this instance, the Commission believes that appropriate
notice and comment can take place after the proposed amendment is
effective. The primary purposes of the amendment are to allocate
surveillance, investigation, and enforcement responsibilities for Rule
14e-4 under the Act, and to update the names of the Bats Exchanges. By
declaring it effective today, the Amended Plan can become effective and
be implemented without undue delay. The Commission notes that the prior
version of this plan immediately prior to this proposed amendment was
published for comment and the Commission did not receive any comments
thereon.\17\ Furthermore, the Commission does not believe that the
amendment to the plan raises any new regulatory issues that the
Commission has not previously considered.\18\
---------------------------------------------------------------------------

    \17\ See Securities Exchange Act Release No. 79057 (October 6,
2016), 81 FR 70728 (October 13, 2016).
    \18\ See, e.g., Securities Exchange Act Release No. 85189
(February 25, 2019), 84 FR 7153 (March 1, 2019) (order approving an
amendment to add Rule 14e-4 to a plan between FINRA and Miami
International Securities Exchange, LLC, MIAX PEARL, LLC, and MIAX
Emerald, LLC).
---------------------------------------------------------------------------

VI. Conclusion

    This Order gives effect to the Plan filed with the Commission in
File No. 4-705. The Parties shall notify all members affected by the
Plan of their rights and obligations under the Plan.
    It is therefore ordered, pursuant to Section 17(d) of the Act, that
the Plan in File No. 4-705, between FINRA, BZX, BYX, EDGA, and EDGX,
filed pursuant to Rule 17d-2 under the Act, is approved and declared
effective.
    It is further ordered that BZX, BYX, EDGA, and EDGX are relieved of
those

responsibilities allocated to FINRA under the Plan in File No. 4-705.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\19\
---------------------------------------------------------------------------

    \19\ 17 CFR 200.30-3(a)(34).
---------------------------------------------------------------------------

J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2019-27696 Filed 12-23-19; 8:45 am]
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[Federal Register: December 17, 2008 (Volume 73, Number 243)]
[Notices]
[Page 76628-76629]
[DOCID:fr17de08-61]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. EL09-12-000]

Bonneville Power Administration; Notice of Filing

December 10, 2008.
    Take notice that on November 26, 2008, The Bonneville Power
Administration filed a petition for declaratory order regarding its
Tiered Rate Methodology, pursuant to Rule 207 of the Commission's Rules
of Practice and Procedure (18 CFR 385.207).
    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, 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 comment date. On or
before the comment date, it is not necessary to 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 on December 31, 2008.

Kimberly D. Bose,
Secretary.
[FR Doc. E8-29863 Filed 12-16-08; 8:45 am]

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[Federal Register Volume 88, Number 53 (Monday, March 20, 2023)]
[Notices]
[Page 16618]
[FR Doc No: 2023-05608]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. AD23-5-000]

Roundtable on Environmental Justice and Equity in Infrastructure
Permitting; Second Supplemental Notice of Roundtable

    As announced in the Notice of Roundtable and Request for Panelists
issued in this proceeding on January 27, 2023, the Federal Energy
Regulatory Commission (Commission or FERC) will convene a Commissioner-
led roundtable to discuss environmental justice and equity in its
jurisdictional infrastructure permitting processes. The roundtable will
be held on Wednesday, March 29, 2023, from 9:30 a.m. to 3:30 p.m.
Eastern time, in the Commission Meeting Room at the Federal Energy
Regulatory Commission, 888 First Street NE, Washington, DC 20426. The
roundtable will be publicly webcasted.
    The roundtable will be open for the public to attend both in-person
and virtually. Registration is not required and there is no fee for
attendance. In-person seating will be provided on a first-come, first-
serve basis on the day of the event and overflow rooms will be
available. A link to the public webcast will be available the day of
the event on the Commission's website, www.ferc.gov. Written comments
can be filed in Docket No. AD23-5-000 until May 15, 2023.
    Attached to this Supplemental Notice is a revised agenda for this
event with the confirmed panelists and potential discussion topics.
    Simultaneous Spanish translation will be available for virtual
attendees. The event will be recorded, and English and Spanish
recordings will be posted within one day of the event. English and
Spanish transcriptions will also be made available following the event
at no charge.
    Commission conferences are accessible under section 508 of the
Rehabilitation Act of 1973. American Sign Language Interpretation will
be provided for in-person attendees and the live stream will feature
closed captioning. For additional accessibility accommodations, please
send an email to [email protected], call toll-free<PHONE_NUMBER>
(voice) or<PHONE_NUMBER> (TTY), or send a fax to<PHONE_NUMBER> with
the required accommodations.
    For more information about this roundtable, please contact
[email protected]. For information related to
logistics, please contact Sarah McKinley at [email protected] or
(202) 502-8368.

    Dated: March 14, 2023.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2023-05608 Filed 3-17-23; 8:45 am]
BILLING CODE 6717-01-P