[Federal Register: February 28, 2007 (Volume 72, Number 39)]
[Notices]
[Page 8981]
[DOCID:fr28fe07-53]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP06-446-002]

Gulf South Pipeline Company, LP; Notice of Amended Application

February 22, 2007.
    Take notice that on February 20, 2007, Gulf South Pipeline Company,
LP (Gulf South), 20 East Greenway Plaza, Houston, Texas 77046, filed in
Docket No. CP06-446-002, an amendment to its pending application
pursuant to sections 7(b) and 7(c) of the Natural Gas Act (NGA) in
which it seeks authorization to site, construct, and operate
facilities, and to abandon by lease to Texas Gas Transmission, LLC
(Texas Gas), 62,180 Dth/day of capacity on the facilities proposed in
Docket No. CP06-446-000 filed September 1, 2006. In the amended
application, Gulf South proposes to increase in pipeline wall thickness
and internal pipe coating for 71.1 miles of pipeline, all as more fully
set forth in the application which is on file with the Commission and
open to public inspection. The Commission staff will determine if this
amendment will have an effect on the schedule for the environmental
review of this project. If necessary, a revised Notice of Schedule for
Environmental Review will be issued within 90 days of this Notice. The
instant filing may be also viewed on the web at http://www.ferc.gov

using the ``eLibrary'' link. Enter the docket number excluding the last
three digits in the docket number field to access the document. For
assistance, call<PHONE_NUMBER> or TTY,<PHONE_NUMBER>.
    Any questions regarding this application may be directed to J. Kyle
Stephens, Director of Certificates, 20 East Greenway Plaza, Houston,
Texas 77046 or by telephone at<PHONE_NUMBER> or telecopy to 713-544-
3540.
    There are two ways to become involved in the Commission's review of
this project. First, any person wishing to obtain legal status by
becoming a party to the proceedings for this project should, on or
before the below listed comment date, file with the Federal Energy
Regulatory Commission, 888 First Street, NE., Washington, DC 20426, a
motion to intervene in accordance with the requirements of the
Commission's Rules of Practice and Procedure (18 CFR 385.214 or
385.211) and the Regulations under the NGA (18 CFR 157.10). A person
obtaining party status will be placed on the service list maintained by
the Secretary of the Commission and will receive copies of all
documents filed by the applicant and by all other parties. A party must
submit 14 copies of filings made with the Commission and must mail a
copy to the applicant and to every other party in the proceeding. Only
parties to the proceeding can ask for court review of Commission orders
in the proceeding.
    However, a person does not have to intervene in order to have
comments considered. The second way to participate is by filing with
the Secretary of the Commission, as soon as possible, an original and
two copies of comments in support of or in opposition to this project.
The Commission will consider these comments in determining the
appropriate action to be taken, but the filing of a comment alone will
not serve to make the filer a party to the proceeding. The Commission's
rules require that persons filing comments in opposition to the project
provide copies of their protests only to the party or parties directly
involved in the protest.
    Persons who wish to comment only on the environmental review of
this project should submit an original and two copies of their comments
to the Secretary of the Commission. Environmental commenters will be
placed on the Commission's environmental mailing list, will receive
copies of the environmental documents, and will be notified of meetings
associated with the Commission's environmental review process.
Environmental commenters will not be required to serve copies of filed
documents on all other parties. However, the non-party commenters will
not receive copies of all documents filed by other parties or issued by
the Commission (except for the mailing of environmental documents
issued by the Commission) and will not have the right to seek court
review of the Commission's final order.
    Motions to intervene, protests and comments may be filed
electronically via the internet in lieu of paper; see, 18 CFR
385.2001(a)(1)(iii) and the instructions on the Commission's Web site
under the ``e-Filing'' link. The Commission strongly encourages
electronic filings.
    Comment Date: March 5, 2007.

Magalie R. Salas,
Secretary.
 [FR Doc. E7-3486 Filed 2-27-07; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register: July 20, 2006 (Volume 71, Number 139)]
[Notices]
[Page 41305-41306]
[DOCID:fr20jy06-97]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-54130; File No. SR-NYSEArca-2006-20]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
of a Proposed Rule Change Relating to Schedule of Fees and Charges

July 11, 2006.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on May 17, 2006, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I, II, and III below, which
Items have been prepared by the Exchange. On May 26, 2006, the Exchange
filed Amendment No. 1 to the proposed rule change. On June 30, 2006,
the Exchange filed Amendment No. 2 to the proposed rule change. On July
7, 2006, the Exchange filed Amendment No. 3 to the proposed rule
change.\3\ The Commission is publishing this notice to solicit comments
on the proposed rule change, as amended, from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Form 19b-4 dated July 7, 2006 (``Amendment No. 3'').
Amendment No. 3 replaced the original filing and Amendment Nos. 1
and 2 in their entirety.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend the Trade Related Charges section of
the Schedule of Fees and Charges (``Schedule''). The text of the
proposed fee schedule is available on the NYSE Arca's Web site http://www.archipelago.com
, at the NYSE Arca's Office of the Secretary, and at

the Commission's Public Reference Room.

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

    In its filing with the Commission, the Exchange included statements
concerning the purpose of, and basis for, the proposed rule change and
discussed any comments it received on the proposed rule change, as
amended. The text of these statements may be examined at the places
specified in Item IV below. The NYSE Arca has prepared summaries, set
forth in Sections A, B, and C below, of the most significant aspects of
such statements.

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

1. Purpose
    The purpose of the proposed rule change, as amended, is to amend
the Trade Related Charges section of the Schedule. NYSE Arca proposes
to combine two existing fees associated with Linkage Orders.\4\ The
Exchange also proposes to add additional language to footnotes 4 and 5
of the Trade Related Charges section of the Schedule in order to
explain that the existing Broker Dealer Surcharge also applies to
Linkage Orders.
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    \4\ Linkage Orders are orders that are routed through the
Intermarket Linkage System (``Linkage'') as permitted under the Plan
for the Purpose of Creating and Operating an Intermarket Option
Linkage. See Securities Exchange Act Release No. 43086 (July 28,
2000), 65 FR 48023 (August 4, 2000).
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    Presently orders received via the Linkage, other than Satisfaction
Orders, are assessed a $0.21 transaction fee and

a $0.05 comparison fee.\5\ Since all applicable Linkage Orders are
charged both fees in all instances, to simplify the Schedule, the
Exchange is proposing combining the fees into one transaction fee of
$0.26. While the published rate schedule will appear different than it
presently does, this proposed change does not affect the total fee the
Exchange assesses for Linkage transactions. Changes made pursuant to
the combining of the transaction fee and the comparison fee makes no
substantive change to the Linkage Fee Pilot Program. This proposed
change serves only to simplify of the Schedule.
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    \5\ These fees are applicable through an Exchange Pilot Program
due to expire on July 31, 2006. The Exchange intends to file for a
one-year extension of the Pilot Program.
---------------------------------------------------------------------------

    NYSE Arca presently assesses a $0.25 per contract fee on Broker
Dealer (``BD'') transactions occurring when BD orders are entered and
executed electronically. Under the Linkage Fee Pilot Program,
executions on NYSE Arca resulting from Linkage Orders are subject to
the same billing treatment as other BD executions.\6\ Subsequently,
Linkage Orders that are entered and executed electronically are
assessed the $0.25 BD Surcharge per contract on those executions.\7\
NYSE Arca proposes to add a reference to the BD Surcharge in the
existing footnote associated with Linkage Fees. The Exchange also
proposes to add similar language to the footnote associated with the BD
Surcharge in order to clarify that the surcharge will apply to Linkage
Orders. The additional language in the footnotes associated with the BD
Surcharge and Linkage Fees will serve to explain all costs that are
associated with sending and executing Linkage Orders on NYSE Arca.
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    \6\ See Securities Exchange Act Release No. 47786 (May 2, 2003),
68 FR 24779 (May 8, 2003) (order approving Linkage Fee Pilot
Program).
    \7\ NYSE Arca acknowledges that it is in discussions with the
Commission staff concerning the historical treatment of the BD
Surcharge on Linkage Orders.
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2. Statutory Basis
    The Exchange believes that the proposal is consistent with Section
6(b) of the Act,\8\ in general, and furthers the objectives of Section
6(b)(4) of the Act,\9\ in particular, in that it provides for the
equitable allocation of dues, fees and other charges among its members
and other persons using its facilities for the purpose of executing
Linkage Orders that are routed to the Exchange from other market
centers.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act.

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

    Written comments on the proposed rule change were neither solicited
nor received.

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

    Within 35 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:
    (A) By order approve such proposed rule change, or
    (B) Institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml.
); or     Send an e-mail to<EMAIL_ADDRESS>Please include

File Number SR-NYSEArca-2006-20 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEArca-2006-20. This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml
). Copies of the submission, all subsequent amendments,

all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for inspection
and copying in the Commission's Public Reference Room. Copies of such
filing also will be available for inspection and copying at the
principal offices of the Exchange. All comments received will be posted
without change; the Commission does not edit personal identifying
information from submissions. You should submit only information that
you wish to make available publicly. All submissions should refer to
File Number SR-NYSEArca-2006-20 and should be submitted on or before
August 10, 2006.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\10\
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    \10\ 17 CFR 200.30-3(a)(12).
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J. Lynn Taylor,
Assistant Secretary.
[FR Doc. E6-11493 Filed 7-19-06; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register: January 3, 2006 (Volume 71, Number 1)]
[Notices]
[Page 99]
[DOCID:fr03ja06-49]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP96-200-147]

CenterPoint Energy Gas Transmission Company; Notice of Supplement
To Negotiated Rate Filing

December 27, 2005.
    Take notice that on December 21, 2005, CenterPoint Energy Gas
Transmission Company (CEGT) tendered for filing a supplement to its
December 15, 2005, filing of an amended negotiated rate and non-
conforming agreement between CEGT and Kiowa Power Partners, LLC to be
effective February 1, 2006.
    Any person desiring to protest this filing must file in accordance
with Rule 211 of the Commission's Rules of Practice and Procedure (18
CFR 385.211). Protests to this filing 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. Such protests
must be filed in accordance with the provisions of Sec.  154.210 of the
Commission's regulations (18 CFR 154.210). Anyone filing a protest must
serve a copy of that document on all the parties to the proceeding.
    The Commission encourages electronic submission of protests 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 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>.

Magalie R. Salas,
Secretary.
[FR Doc. E5-8186 Filed 12-30-05; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 83, Number 52 (Friday, March 16, 2018)]
[Notices]
[Pages 11766-11768]
[FR Doc No: 2018-05416]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Docket ID FEMA-2018-0002; Internal Agency Docket No. FEMA-B-1812]

Changes in Flood Hazard Determinations

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice lists communities where the addition or
modification of Base Flood Elevations (BFEs), base flood depths,
Special Flood Hazard Area (SFHA) boundaries or zone designations, or
the regulatory floodway (hereinafter referred to as flood hazard
determinations), as shown on the Flood Insurance Rate Maps (FIRMs), and
where applicable, in the supporting Flood Insurance Study (FIS)
reports, prepared by the Federal Emergency Management Agency (FEMA) for
each community, is appropriate because of new scientific or technical
data. The FIRM, and where applicable, portions of the FIS report, have
been revised to reflect these flood hazard determinations through
issuance of a Letter of Map Revision (LOMR). The LOMR will be used by
insurance agents and others to calculate appropriate flood insurance
premium rates for new buildings and the contents of those buildings.
For rating purposes, the currently effective community number is shown
in the table below and must be used for all new policies and renewals.

DATES: These flood hazard determinations will be finalized on the dates
listed in the table below and revise the FIRM panels and FIS report in
effect prior to this determination for the listed communities.
    From the date of the second publication of notification of these
changes in a newspaper of local circulation, any person has 90 days in
which to request through the community that the Deputy Associate
Administrator for Insurance and Mitigation reconsider the changes. The
flood hazard determination information may be changed during the 90-day
period.

ADDRESSES: The affected communities are listed in the table below.
Revised flood hazard information for each community is available for
inspection at both the online location and the respective community map
repository address listed in the table below. Additionally, the current
effective FIRM and FIS report for each community are accessible online
through the FEMA Map Service Center at https://msc.fema.gov for
comparison.
    Submit comments and/or appeals to the Chief Executive Officer of
the community as listed in the table below.

FOR FURTHER INFORMATION CONTACT: Rick Sacbibit, Chief, Engineering
Services Branch, Federal Insurance and Mitigation Administration, FEMA,
400 C Street SW, Washington, DC 20472,<PHONE_NUMBER>, or (email)
[email protected]; or visit the FEMA Map Information
eXchange (FMIX) online at https://www.floodmaps.fema.gov/fhm/fmx_main.html.

SUPPLEMENTARY INFORMATION: The specific flood hazard determinations are
not described for each community in this notice. However, the online
location and local community map repository address where the flood
hazard determination information is available for inspection is
provided.
    Any request for reconsideration of flood hazard determinations must
be submitted to the Chief Executive Officer of the community as listed
in the table below.
    The modifications are made pursuant to section 201 of the Flood
Disaster Protection Act of 1973, 42 U.S.C. 4105, and are in accordance
with the National Flood Insurance Act of 1968, 42 U.S.C. 4001 et seq.,
and with 44 CFR part 65.
    The FIRM and FIS report are the basis of the floodplain management
measures that the community is required either to adopt or to show
evidence of having in effect in order to qualify or remain qualified
for participation in the National Flood Insurance Program (NFIP).
    These flood hazard determinations, together with the floodplain
management criteria required by 44 CFR 60.3, are the minimum that are
required. They should not be construed to mean that the community must
change any existing ordinances that are more stringent in their
floodplain management requirements. The community may at any time enact
stricter requirements of its own or pursuant to policies established by
other Federal, State, or regional entities. The flood hazard
determinations are in accordance with 44 CFR 65.4.
    The affected communities are listed in the following table. Flood
hazard determination information for each community is available for
inspection at both the online location and the respective community map
repository address listed in the table below. Additionally, the current
effective FIRM and FIS report for each community are accessible online
through the FEMA Map Service Center at https://msc.fema.gov for
comparison.

(Catalog of Federal Domestic Assistance No. 97.022, ``Flood
Insurance.'')

    Dated: March 1, 2018.
Roy E. Wright,
Deputy Associate Administrator for Insurance and Mitigation, Department
of Homeland Security, Federal Emergency Management Agency.

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                                                            Chief executive officer of                                    Online location of letter of map                            Community
         State and county          Location and case No.             community               Community map repository                 revision                Date of modification       No.
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
California:
    Riverside....................  City of Corona (17-09- The Honorable Karen Spiegel     City Hall 400 South Vicentia   https://msc.fema.gov/portal/        Jun. 14, 2018.........       060250
                                    2752P).                Mayor, City of Corona, 400      Avenue, Corona, CA 92882.      advanceSearch.
                                                           South Vicentia Avenue Corona,
                                                           CA 92882.
    Riverside....................  Unincorporated Areas   The Honorable Chuck Washington  Riverside County Flood         https://msc.fema.gov/portal/        Jun. 14, 2018.........       060245
                                    of Riverside County    Chairman, Board of              Control and Water              advanceSearch.
                                    (17-09-2752P).         Supervisors Riverside County,   Conservation District, 1995
                                                           4080 Lemon Street 5th Floor,    Market Street, Riverside, CA
                                                           Riverside, CA 92501.            92501.
Hawaii: Honolulu.................  City and County of     The Honorable Kirk Caldwell     Department of Planning and     https://msc.fema.gov/portal/        May 29, 2018..........       150001
                                    Honolulu (18-09-       Mayor, City and County of       Permitting, 650 South King     advanceSearch.
                                    0118P).                Honolulu, 530 South King        Street, Honolulu, HI 96813.
                                                           Street, Room 306, Honolulu,
                                                           HI 96813.
Idaho:
    Ada..........................  City of Kuna (17-10-   The Honorable Joe Stear Mayor,  City Hall 329 West 3rd         https://msc.fema.gov/portal/        Jun. 7, 2018..........       160174
                                    1636P).                City of Kuna, P.O. Box 13,      Street, Kuna, ID 83634.        advanceSearch.
                                                           Kuna, ID 83634.
     Ada.........................  Unincorporated Areas   The Honorable David L. Case     Ada County Courthouse, 200     https://msc.fema.gov/portal/        Jun. 7, 2018..........       160001
                                    of Ada County (17-10-  Chairman, Ada County Board of   West Front Street, Boise, ID   advanceSearch.
                                    1636P).                Commissioners, 200 West Front   83702.
                                                           Street, 3rd Floor, Boise, ID
                                                           83702.
    Ada..........................  Unincorporated Areas   The Honorable David L. Case     Ada County Courthouse, 200     https://msc.fema.gov/portal/        Jun. 8, 2018..........       160001
                                    of Ada County (18-10-  Chairman, Ada County Board of   West Front Street, Boise, ID   advanceSearch.
                                    0284X).                Commissioners, 200 West Front   83702.
                                                           Street, 3rd Floor, Boise, ID
                                                           83702.
Illinois:
    McHenry......................  Unincorporated Areas   The Honorable Jack D. Franks    County Government Center,      https://msc.fema.gov/portal/        June 14, 2018.........       170732
                                    of McHenry County      Chairman, McHenry County        2200 North Seminary Avenue,    advanceSearch.
                                    (18-05-2003P).         Board County Government         Woodstock, IL 60098.
                                                           Center, 2200 North Seminary
                                                           Avenue, Woodstock, IL 60098.
    McHenry......................  Village of Port        The Honorable Shannon Yeaton    Village Hall, 69 South Circle  https://msc.fema.gov/portal/        June 14, 2018.........       170478
                                    Barrington (18-05-     Village President, Village of   Avenue Port, Barrington, IL    advanceSearch.
                                    2003P).                Port Barrington, 69 South       60010.
                                                           Circle Avenue Port,
                                                           Barrington, IL 60010.
Iowa: Bremer.....................  City of Waverly (18-   The Honorable Charles D.        City Hall 200 1st Street       https://msc.fema.gov/portal/        Jun. 1, 2018..........       190030
                                    07-0164P).             Infelt Mayor, City of           Northeast Waverly, IA 50677.   advanceSearch.
                                                           Waverly, 200 1st Street
                                                           Northeast, Waverly, IA 50677.

Kansas: Johnson..................  City of Olathe (17-07- The Honorable Michael Copeland  City Hall Olathe Planning      https://msc.fema.gov/portal/        Jun. 1, 2018..........       200173
                                    2080P).                Mayor, City of Olathe, P.O.     Office, 100 West Santa Fe      advanceSearch.
                                                           Box 768, Olathe, KS 66051.      Drive, Olathe, KS 66061.
Minnesota: Anoka.................  City of Lino Lakes     The Honorable Jeff Reinert      City Hall, 600 Town Center     https://msc.fema.gov/portal/        May 30, 2018..........       270015
                                    (17-05-5610P).         Mayor, City of Lino Lakes,      Parkway Lino, Lakes, MN        advanceSearch.
                                                           600 Town Center Parkway Lino,   55014.
                                                           Lakes, MN 55014.
Missouri: Christian..............  City of Nixa (17-07-   The Honorable Brian E. Steele   City Hall, 715 West Mount      https://msc.fema.gov/portal/        May 10, 2018..........       290078
                                    1573P).                Mayor, City of Nixa, 715 West   Vernon Street, Nixa, MO        advanceSearch.
                                                           Mount Vernon Street, Nixa, MO   65714.
                                                           65714.
Nevada: Douglas..................  Unincorporated Areas   The Honorable Barry Penzel      Douglas County Community       https://msc.fema.gov/portal/        Jun. 7, 2018..........       320008
                                    of Douglas County      Chairman, Board of              Development, 1594 Esmeralda    advanceSearch.
                                    (17-09-2481P).         Commissioners Douglas County,   Avenue, Minden, NV 89423.
                                                           P.O. Box 218, Minden, NV
                                                           89423.
Oregon:
    Marion.......................  City of Salem (17-10-  The Honorable Chuck M. Bennett  Public Works Department, 555   https://msc.fema.gov/portal/        May 29, 2018..........       410167
                                    1422P).                Mayor, City of Salem City       Liberty Street Southeast,      advanceSearch.
                                                           Hall, 555 Liberty Street        Room 325, Salem, OR 97301.
                                                           Southeast, Room 220, Salem,
                                                           OR 97301.
    Marion.......................  Unincorporated Areas   Mr. Sam Brentano Commissioner   Marion County Department of    https://msc.fema.gov/portal/        May 29, 2018..........       410154
                                    of Marion County (17-  Marion County, 555 Court        Planning, 315 Lancaster        advanceSearch.
                                    10-1422P).             Street Northeast, Suite 5232,   Drive Northeast, Salem, OR
                                                           Salem, OR 97309.                97305.
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[FR Doc. 2018-05416 Filed 3-15-18; 8:45 am]
 BILLING CODE 9110-12-P


[Federal Register: November 15, 2007 (Volume 72, Number 220)]
[Notices]
[Page 64255-64259]
[DOCID:fr15no07-108]

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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 28046; 813-350]

Tower 21st Century Fund LLC, et al.; Notice of Application

November 8, 2007.
AGENCY: Securities and Exchange Commission (``Commission'').

ACTION: Notice of application for an order under sections 6(b) and 6(e)
of the Investment Company Act of 1940 (the ``Act'') exempting
applicants from all provisions of the Act, except section 9 and
sections 36 through 53, and the rules and regulations under the Act.
With respect to sections 17 and 30 of the Act, and the rules and
regulations thereunder, and rule 38a-1 under the Act, the exemption is
limited as set forth in the application.

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Summary of Application: Applicants request an order to exempt certain
investment vehicles formed for the benefit of partners and key eligible
current and former employees of Sonnenschein Nath & Rosenthal LLP
(``Sonnenschein'' or the ``Firm'') and certain of its affiliates from
certain provisions of the Act. Each such entity will be an
``employees'' securities company'' within the meaning of section
2(a)(13) of the Act.

Applicants: Tower 21st Century Fund LLC (the ``Investment Fund'') and
Sonnenschein.

Filing Dates: The application was filed on July 2, 2002, and amended on
December 30, 2003, July 7, 2004, March 12, 2007 and November 7, 2007.

Hearing or Notification of Hearing:  An order granting the application
will be issued unless the Commission orders a hearing. Interested
persons may request a hearing by writing to the Commission's Secretary
and serving applicants with a copy of the request, personally or by
mail. Hearing requests should be received by the Commission by 5:30
p.m. on December 3, 2007, and should be accompanied by proof of service
on applicants, in the form of an affidavit or, for lawyers, a
certificate of service. Hearing requests should state the nature of the
writer's interest, the reason for the request, and the issues
contested. Persons who wish to be notified of a hearing may request
notification by writing to the Commission's Secretary.

ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F
Street, NE., Washington, DC 20549-9303. Applicants, c/o Paul J. Miller,
Esq., Sonnenschein Nath & Rosenthal LLP, 7800 Sears Tower, Chicago,
Illinois 60611.

FOR FURTHER INFORMATION CONTACT: Jaea F. Hahn, Senior Counsel, at (202)
551-6870, or Nadya B. Roytblat, Assistant Director, at<PHONE_NUMBER>
(Division of Investment Management, Office of Investment Company
Regulation).

SUPPLEMENTARY INFORMATION: The following is a summary of the
application. The complete application may be obtained for a fee at the
Commission's Public Reference Branch, 100 F Street, NE., Washington, DC
20549-0102 (tel.<PHONE_NUMBER>).

Applicants' Representations

    1. Sonnenschein is a law firm organized as a Delaware limited
liability partnership. The Firm and its ``affiliates,'' as defined in
rule 12b-2 under the Securities Act of 1934 (the ``Exchange Act''), are
referred to collectively as the ``Sonnenschein Group'' and individually
as a ``Sonnenschein Entity.''
    2. The Investment Fund is a Delaware limited liability company. The
applicants may in the future offer additional pooled investment
vehicles identical in all material respects (other than form of
organization, investment objective and strategy) to the Investment Fund
(each, an ``Additional Fund'') (together, the Investment Fund and the
Additional Fund are referred to as the ``Funds''). The applicants
anticipate that each Additional Fund will also be structured as a
limited liability company, although an Additional Fund could be
structured, either domestically or, or for tax purposes, offshore, as a
general partnership, limited partnership, corporation or other business
organization formed as an ``employees' securities company'' within the
meaning of section 2(a)(13) of the Act. Each Fund will operate as a
non-diversified, closed-end management investment company. The Funds
will be established to enable the Partners (as defined below) and
certain employees of the Sonnenschein Group to participate in certain
investment opportunities that come to the attention of the Sonnenschein
Group. Participation as investors in the Funds will allow the Eligible
Investors (as defined below) to diversify their investments and to have
the opportunity to participate in investments that might not otherwise
be available to them or that might be beyond their individual means.
    3. The Funds will each be managed by an investment committee
(``Investment Committee''), each member of which shall be a Partner of
the Firm. The Firm will initially appoint the members (each, a
``Manager'' of the Fund) of each Investment Committee and vacancies
thereafter will be filled by vote of the remaining Managers. The
Managers or any person involved in the operation of the Funds will
register as an investment adviser if required under the Investment
Advisers Act of 1940, or the rules under that Act.
    4. Interests in the Funds (``Interests'') will be offered without
registration in reliance on section 4(2) of the Securities Act of 1933
(the ``Securities Act'') or

Regulation D under the Securities Act, or any successor rule. Interests
will be offered solely to Sonnenschein Entities or persons (each an
``Eligible Investor'') who, at the time of the offer, are either
``Eligible Employees'' or ``Qualified Investment Vehicles''. ``Eligible
Employees'' are (a) equity, non-equity, special and retired partners
and any other category of partners of the Firm (``Partners''), (b)
current and former lawyers who are of counsel to the Firm, and (c)
certain current and former key employees of the Firm involved in the
Firm's non-legal business activities including its administrative,
finance and accounting, and marketing activities, who in each case meet
the standards of an ``accredited investor'' set forth in rule 501(a)(5)
or rule 501(a)(6) of Regulation D under the Securities Act.\1\ A
``Qualified Investment Vehicle'' is a trust or other entity the sole
beneficiaries of which are an Eligible Employee, or one or more of his
or her ``Immediate Family Members'' (parent, spouse, child, brother or
sister, spouse of child and any step or adoptive relationship) or as to
which the Eligible Employee is settlor or the principal decision maker
and the primary beneficiaries of which are one or more of his or her
Immediate Family Members, which trust or other entity meets the
standards of an ``accredited investor'' set forth in rule 501(a) of
Regulation D under the Securities Act.\2\ Prior to offering Interests
to an individual, the Investment Committee must reasonably believe that
the individual is a sophisticated investor capable of understanding and
evaluating the risks of participating in the Fund without the benefit
of regulatory safeguards. Each investor in a Fund shall be a ``Member''
of such Fund.
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    \1\ Any such former Partners, of counsel or employees will
maintain a sufficiently close nexus with the Firm so as to preserve
the community of interest between the Eligible Employee and the
Firm.
    \2\ The inclusion of entities controlled by an Eligible Employee
in the definition of Eligible Investor is intended to enable
Eligible Employees and their Immediate Family Members to make
investments in the Funds through private investment vehicles for the
purpose of personal and family investment and estate planning
objectives. Eligible Employees will exercise investment discretion
and control over these investment vehicles, thereby creating a close
nexus between the Firm and these investment vehicles.
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    5. Each Eligible Investor will receive a copy of the Fund's
organizational documents and the Application prior to his or her
investment in such Fund. Each Fund will send its Members annual reports
as soon as practicable after the end of each fiscal year. The annual
report of a Fund will not contain financial statements of the Fund,
since these would not provide useful information to Members because
each Member will generally have differing interest in the Fund's
various investments made since he or she became a Member, and will not
have an economic interest in the holdings of the Fund on a consolidated
basis. In addition, as soon as practicable after the end of each fiscal
year, the Funds will send a report to each Member setting forth such
tax information as shall be necessary for the preparation by the Member
of his or her federal and state tax returns.
    6. A Member will be permitted to transfer his or her Interests only
to a Qualified Investment Vehicle or to an Eligible Employee as
permitted by the Investment Committee in its sole discretion, or on
death, by will, trust or otherwise in accordance with the laws of
descent and distribution, or to another Member.\3\ Capital
contributions made to a Fund by its Members will be placed in a liquid
capital account (``LCA'') to the credit of the contributor, pending the
purchase price for an investment. Interests in the LCA may be
repurchased upon request by Members, in whole or in part, by notice to
the Investment Committee. Interests in separate accounts for
investments may be repurchased only with the agreement of the
Investment Committee. No fee of any kind will be charged in connection
with the sale of Interests.
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    \3\ No person may become a transferee or substitute Member
unless that person is a member of one of the classes listed in
section 2(a)(13) of the Act, except that a legal representative or
executor may hold an interest in a Fund in order to settle the
estate of a decedent or bankrupt for similar purposes.
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    7. A Member will not be permitted to participate in any investment
made by the Fund after that Member enters any of the following
categories: (a) A Member who has notified the Investment Committee
before the effective date of the Investment Committee's investment
decision to make an investment, which notice, except in the absolute
discretion of the Investment Committee, is irrevocable for one year,
that that Member will not participate in future investments; (b) a
Member who ceases to be an Eligible Investor when the Investment
Committee determines to make an investment; (c) a Member who the
Investment Committee determines is no longer able to bear the economic
risk of further investment; (d) a Member whose aliquot share would be
below a required minimum; (e) a Member whose continued membership would
have adverse tax consequences to the Fund; or (f) a Member whose
continued investment would violate applicable law or regulation.
    8. Each Fund will bear its own expenses. The Firm may be reimbursed
by a Fund for reasonable services and necessary out-of-pocket costs
directly associated with the organization and operation of the Funds,
including administrative and overhead expenses. There will be no
allocation of any of the Firm's operating expenses to a Fund. No
management fee or other compensation will be paid by the Fund or its
Members to the Investment Committee or the Managers for their services
in such capacity.
    9. The Funds may borrow from Sonnenschein Group, a Partner, or a
bank or other financial institution, provided that a Fund will not
borrow from any person if the borrowing would cause any person not
named in section 2(a)(13) of the Act to own outstanding securities of
the Fund (other than short-term paper). Any borrowings by a Fund will
be non-recourse to Members. If a Sonnenschein Entity or a Partner makes
a loan to the Funds, the interest rate on the loan will be no less
favorable to the Funds than the rate that could be obtained on an arm's
length basis.
    10. A Fund will not acquire any security issued by a registered
investment company if immediately after the acquisition the Fund would
own more than 3% of the outstanding voting stock of the registered
investment company.

Applicants' Legal Analysis

    1. Section 6(b) of the Act provides, in part, that the Commission
will exempt employees' securities companies from the provisions of the
Act to the extent that the exemption is consistent with the protection
of investors. Section 6(b) provides that the Commission will consider,
in determining the provisions of the Act from which the company should
be exempt, the company's form of organization and capital structure,
the persons owning and controlling its securities, the price of the
company's securities and the amount of any sales load, how the
company's funds are invested, and the relationship between the company
and the issuers of the securities in which it invests. Section 2(a)(13)
defines an employees' securities company as any investment company all
of whose securities (other than short-term paper) are beneficially
owned (a) by current or former employees, or persons on retainer, of
one or more affiliated employers, (b) by immediate family members of
such persons, or (c) by such employer or employers together with any of
the persons in (a) or (b).

    2. Section 7 of the Act generally prohibits investment companies
that are not registered under section 8 of the Act from selling or
redeeming their securities. Section 6(e) provides that, in connection
with any order exempting an investment company from any provision of
section 7, certain provisions of the Act, as specified by the
Commission, will be applicable to the company and other persons dealing
with the company as though the company were registered under the Act.
Applicants request an order under sections 6(b) and 6(e) of the Act
exempting the Funds from all provisions of the Act, except section 9
and sections 36 through 53, and the rules and regulations under the
Act. With respect to sections 17 and 30 of the Act, and the rules and
regulations thereunder, and rule 38a-1 under the Act, the exemption is
limited as set forth in the application.
    3. Section 17(a) generally prohibits any affiliated person of a
registered investment company, or any affiliated person of an
affiliated person, acting as principal, from knowingly selling or
purchasing any security or other property to or from the company.
Applicants request an exemption from section 17(a) to permit a Fund to:
(a) Purchase, from the Firm or any affiliated person thereof,
securities or interests in properties previously acquired for the
account of the Firm or any affiliated person thereof; (b) sell, to the
Firm or any affiliated person thereof, securities or interests in
properties previously acquired by the Funds; (c) invest in companies,
partnerships or other investment vehicles offered, sponsored or managed
by the Firm or any affiliated person thereof; (d) to invest in
securities of issuers for which the Firm or any affiliated person
thereof have performed services and from which they may have received
fees; (e) purchase interests in any company or other investment vehicle
(i) in which the Firm owns 5% or more of the voting securities, or (ii)
that otherwise is an affiliated person of the Fund (or an affiliated
person of such a person) or an affiliated person of the Firm; and (f)
to participate as a selling securityholder in a public offering in
which the Firm or any affiliated person thereof acts as or represents
as counsel a member of the selling group or the issuer or underwriter.
    4. Applicants state that an exemption from section 17(a) is
consistent with the protection of investors and the purposes of the
Act. Applicants state that the Members will be informed by the offering
materials for a Fund of the possible extent of the Fund's dealings with
the Firm or any affiliated person thereof. Applicants also state that,
as financially sophisticated professionals, Eligible Investors will be
able to evaluate the attendant risks. Applicants assert that the
community of interest among the Members and the Firm will provide the
best protection against any risk of abuse.
    5. Section 17(d) of the Act and rule 17d-1 under the Act prohibit
any affiliated person or principal underwriter of a registered
investment company, or any affiliated person of an affiliated person or
principal underwriter, acting as principal, from participating in any
joint arrangement with the company unless authorized by the Commission.
Applicants request relief to permit affiliated persons of each Fund, or
affiliated persons of any of these persons, to participate in any joint
arrangement in which the Fund is a participant. Joint transactions in
which a Fund may participate could include the following: (a) An
investment by one or more Funds in a security in which the Firm or its
affiliated person (including Partners of the Firm), or another Fund, is
a participant, or with respect to which the Firm or an affiliated
person is entitled to receive fees (including, but not limited to,
legal fees, consulting fees, or other economic benefits or interests);
(b) an investment by one or more Funds in an investment vehicle
sponsored, offered or managed by the Firm; and (c) an investment by one
or more Funds in a security in which an affiliate is or may become a
participant.
    6. Applicants state that compliance with section 17(d) would cause
the Funds to forego investment opportunities simply because a Member,
the Firm or other affiliates of the Fund also had made or contemplated
making a similar investment. In addition, because investment
opportunities of the types considered by the Funds often require that
each participant make available funds in an amount that may be
substantially greater than that available to the investor alone, there
may be certain attractive opportunities of which a Fund may be unable
to take advantage except as a co-participant with other persons,
including affiliates. Applicants note that, in light of the Firm's
purpose of establishing the Funds so as to reward Eligible Investors
and to attract highly qualified personnel to the Firm, the possibility
is minimal that an affiliated party investor will enter into a
transaction with a Fund with the intent of disadvantaging the Fund.
Finally, applicants contend that the possibility that a Fund may be
disadvantaged by the participation of an affiliate in a transaction
will be minimized by compliance with the lockstep procedures described
in condition 4 below. Applicants assert that the flexibility to
structure co-investments and joint investments will not involve abuses
of the type section 17(d) and rule 17d-1 were designed to prevent.
    7. Section 17(f) of the Act designates the entities that may act as
investment company custodians, and rule 17f-2 allows an investment
company to act as self-custodian, subject to certain requirements.
Applicants request an exemption from section 17(f) and rule 17f-2 to
permit the following exceptions from the requirements of rule 17f-2:
(a) A Fund's investments may be kept in the locked files of the Firm or
of a Partner; (b) for purposes of paragraph (d) of the rule, (i)
Partners and employees of the Firm will be deemed employees of the
Funds, (ii) each Manager of a Fund will be deemed to be an officer of
such Fund; and (iii) the Investment Committee of a Fund will be deemed
to be the board of directors of the Fund; and (c) in place of the
verification procedures under paragraph (f) of the rule, verification
will be effected quarterly by two employees of the Firm. Applicants
assert that the securities held by the Funds are most suitably kept in
the Firm's files, where they can be referred to as necessary.
    8. Section 17(g) and rule 17g-1 generally require the bonding of
officers and employees of a registered investment company who have
access to its securities or funds. Rule 17g-1 requires that a majority
of directors who are not interested persons (``disinterested
directors'') take certain actions and give certain approvals relating
to fidelity bonding. Paragraph (g) of rule 17g-1 sets forth certain
materials relating to the fidelity bond that must be filed with the
Commission and certain notices relating to the fidelity bond that must
be given to each member of the investment company's board of directors.
Paragraph (h) of rule 17g-1 provides that an investment company must
designate one of its officers to make the filings and give the notices
required by paragraph (g). Paragraph (j) of rule 17g-1 exempts a joint
insured bond provided and maintained by an investment company and one
or more other parties from section 17(d) of the Act and the rules
thereunder. Rule 17g-1(j)(3) requires that the board of directors of an
investment company satisfy the fund governance standards defined in
rule 0-1(a)(7).
    9. Applicants request an exemption from section 17(g) and rule 17g-
1 to the extent necessary to permit each Fund to comply with rule 17g-1
without the

necessity of having a majority of the disinterested directors take such
action and make such approvals as are set forth in the rule.
Specifically, each Fund will comply by having the Investment Committee
take such actions and make such approvals as are set forth in rule 17g-
1. Applicants state that, because the Managers will be interested
persons of the Fund, a Fund could not comply with rule 17g-1 without
the requested relief. Applicants also request an exemption from the
requirements of rule 17g-1(g) and (h) relating to the filing of copies
of fidelity bonds and related information with the Commission and the
provision of notices to the board of directors and from the
requirements of rule 17g-1(j)(3). Applicants believe the filing
requirements are burdensome and unnecessary as applied to the Funds.
The Investment Committee will maintain the materials otherwise required
to be filed with the Commission by rule 17g-1(g) and agree that all
such material will be subject to examination by the Commission and its
staff. The Investment Committee will designate a person to maintain the
records otherwise required to be filed with the Commission under
paragraph (g) of the rule. Applicants also state that the notices
otherwise required to be given to the board of directors would be
unnecessary as the Funds will not have boards of directors. The Funds
will comply with all other requirements of rule 17g-1.
    10. Section 17(j) and paragraph (b) of rule 17j-1 make it unlawful
for certain enumerated persons to engage in fraudulent or deceptive
practices in connection with the purchase or sale of a security held or
to be acquired by a registered investment company. Rule 17j-1 also
requires that every registered investment company adopt a written code
of ethics and that every access person of a registered investment
company report personal securities transactions. Applicants request an
exemption from the requirements of rule 17j-1, except for the anti-
fraud provisions of paragraph (b), because they are unnecessarily
burdensome as applied to the Funds.
    11. Applicants request an exemption from the requirements in
sections 30(a), 30(b) and 30(e), and the rules under those sections,
that registered investment companies prepare and file with the
Commission and mail to their shareholders certain periodic reports and
financial statements. Applicants contend that the forms prescribed by
the Commission for periodic reports have little relevance to the Funds
and would entail administrative and legal costs that outweigh any
benefit to the Members. Applicants request exemptive relief to the
extent necessary to permit each Fund to report annually to its Members.
Applicants also request an exemption from section 30(h) to the extent
necessary to exempt the Managers of each Fund and any other persons who
may be deemed members of an advisory board of a Fund from filing Forms
3, 4 and 5 under section 16 of the Exchange Act with respect to their
ownership of Interests in the Fund. Applicants assert that, because
there will be no trading market and the transfers of Interests will be
severely restricted, these filings are unnecessary for the protection
of investors and burdensome to those required to make them.
    12. Rule 38a-1 requires investment companies to adopt, implement
and periodically review written policies and procedures reasonably
designed to prevent violation of the federal securities laws and to
appoint a chief compliance officer. The Funds will comply with rule
38a-1(a), (c) and (d), except that (a) since the Funds do not have
boards of directors, the Investment Committee will fulfill the
responsibilities assigned to a Fund's board of directors under the
rule, and (b) since the Managers are not disinterested persons of the
Funds, approval by a majority of the disinterested board members
required by rule 38a-1 will not be obtained.

Applicants' Conditions

    The applicants agree that any order granting the requested relief
will be subject to the following conditions:
    1. Each proposed transaction to which a Fund is a party otherwise
prohibited by section 17(a) or section 17(d) and rule 17d-1 (each, a
``Section 17 Transaction'') will be effected only if the Investment
Committee determines that: (a) The terms of the Section 17 Transaction,
including the consideration to be paid or received, are fair and
reasonable to the Members of the participating Fund and do not involve
overreaching of the Fund or its Members on the part of any person
concerned; and (b) the Section 17 Transaction is consistent with the
interests of the Members of the participating Fund, the Fund's
organizational documents and the Fund's reports to its Members.
    In addition, the Investment Committee will record and preserve a
description of such Section 17 Transactions, its findings, the
information or materials upon which its findings are based and the
basis therefor. All such records will be maintained for the life of a
Fund and at least six years thereafter, and will be subject to
examination by the Commission and its staff. All such records will be
maintained in an easily accessible place for at least the first two
years.
    2. If purchases or sales are made by a Fund from or to an entity
affiliated with the Fund by reason of a Partner or employee of the
Sonnenschein Group (a) serving as an officer, director, general partner
or investment adviser of the entity, or (b) having a 5% or more
investment in the entity, such individual will not participate in the
Fund's determination of whether or not to effect the purchase or sale.
    3. The Investment Committee will adopt, and periodically review and
update, procedures designed to ensure that reasonable inquiry is made,
prior to the consummation of any Section 17 Transaction, with respect
to the possible involvement in the transaction of any affiliated person
or promoter of or principal underwriter for the Funds, or any
affiliated person of such a person, promoter, or principal underwriter.
    4. The Investment Committee will not acquire for a Fund any
investment in which a Co-Investor, as defined below, has acquired or
proposes to acquire the same class of securities of the same issuer,
where the investment involves a joint enterprise or other joint
arrangement within the meaning of rule 17d-1 in which the Fund and the
Co-Investor are participants, unless any such Co-Investor, prior to
disposing all or part of its investment, (a) gives the Investment
Committee sufficient, but not less than one day's, notice of its intent
to dispose of its investment, and (b) refrains from disposing of its
investment unless the participating Fund holding such investment has
the opportunity to dispose of its investment prior to or concurrently
with, on the same terms as, and on a pro rata basis with the Co-
Investor. The term ``Co-Investor'' with respect to any Fund means any
person who is (a) an ``affiliated person'' (as defined in section
2(a)(3) of the Act) of the Fund; (b) the Sonnenschein Group; (c) a
Partner, lawyer, or employee of the Sonnenschein Group; (d) an
investment vehicle offered, sponsored, or managed by the Firm or an
affiliated person of the Firm; or (e) an entity in which a Sonnenschein
Entity acts as a general partner or has a similar capacity to control
the sale or other disposition of the entity's securities.
    The restrictions contained in this condition, however, shall not be
deemed to limit or prevent the disposition of an investment by a Co-
Investor: (a) To its direct or indirect wholly-owned subsidiary, to any

company (a ``parent'') of which the Co-Investor is a direct or indirect
wholly-owned subsidiary, or to a direct or indirect wholly-owned
subsidiary of its parent; (b) to Immediate Family Members of the Co-
Investor or a trust established for any such Immediate Family Member;
(c) when the investment is comprised of securities that are listed on a
national securities exchange registered under section 6 of the Exchange
Act; or (d) when the investment is comprised of securities that are
national market system securities pursuant to section 11A(a)(2) of the
Exchange Act and rule 11Aa2-1 thereunder.
    5. The Investment Committee of each Fund will send to each Member
who had an interest in that Fund at any time during the fiscal year
then ended, Fund financial statements. Such financial statements may be
unaudited. At the end of each fiscal year, the Investment Committee
will make a valuation or have a valuation made of all of the assets of
the Fund, as of such fiscal year end in a manner consistent with the
customary practice with respect to the valuation of assets of the kind
held by the Fund. In addition, as soon as practicable after the end of
each fiscal year of each Fund, the Managers of the Fund shall send a
report to each person who was a Fund Investor at any time during the
fiscal year then ended, setting forth such tax information as shall be
necessary for the preparation by the Fund Investor of his or her
federal and state income tax returns and a report of the investment
activities of such Fund during such year.
    6. Each Fund and its Investment Committee will maintain and
preserve, for the life of that Fund and at least six years thereafter,
such accounts, books and other documents as constitute the record
forming the basis for the financial statements and annual reports of
such Fund to be provided to its Members, and agree that all such
records will be subject to examination by the Commission and its staff.
All such records will be maintained in an easily accessible place for
at least the first two years.

    For the Commission, by the Division of Investment Management,
pursuant to delegated authority.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7-22297 Filed 11-14-07; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register Volume 83, Number 62 (Friday, March 30, 2018)]
[Notices]
[Pages 13808-13809]
[FR Doc No: 2018-06403]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Agency Information Collection Activities: Requests for Comments;
Clearance of Renewed Approval of Information Collection: Renewal of
AVIATOR Customer Satisfaction Survey

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice and request for comments.

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SUMMARY: In accordance with the Paperwork Reduction Act of 1995, FAA
invites public comments about our intention to request the Office of
Management and Budget (OMB) approval to renew an information
collection. The collection involves on-line, electronic applicant
(customer) answers to standard survey questions. The questions are
presented as multiple-choice selections and free-form text areas where
applicants can choose their desired answer and, if they wish, add
additional comments. The information to be collected will be used to
and is necessary to gage the level of user satisfaction with the
AVIATOR (Automated Vacancy Information Access Tool for Online Referral)
system. Additionally, the surveys are used to obtain benchmarking and
feedback to ensure quality.

DATES: Written comments should be submitted by August 2018.

ADDRESSES: Send comments to the FAA at the following address: Barbara
Hall, Federal Aviation Administration, ASP-110, 10101 Hillwood Parkway,
Fort Worth, TX 76177.
    Public Comments Invited: You are asked to comment on any aspect of
this information collection, including:

(a) Whether the proposed collection of information is necessary for
FAA's performance
(b) The accuracy of the estimated burden
(c) Ways for FAA to enhance the quality, utility and clarity of the
information collection and
(d) Ways that the burden could be minimized without reducing the
quality of the collected information.
    The agency will summarize and/or include your comments in the
request for OMB's clearance of this information collection.

FOR FURTHER INFORMATION CONTACT: Barbara Hall by email at:
[email protected]; phone:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

    OMB Control Number: 2120-0699.
    Title: AVIATOR (Automated Vacancy Information Access Tool for
Online Referral) Customer Satisfaction Survey.
    Form Numbers: N/A (electronic).
    Type of Review: Renewal.
    Background: The Government Performance and Results Act of 1993
(GPRA) Section 2(b)(3) requires agencies to ``improve Federal program
effectiveness and public accountability by promoting a new focus on
results, service quality, and customer satisfaction''. In addition, as
stated in the White House ``Memorandum for Heads of Executive
Departments and Agencies'' regarding Executive Order No. 12862, ``the
actions the order prescribes, such as surveying customers, surveying
employees, and benchmarking, shall be continuing agency activities''.
This collection supports the DOT strategic goal of Organizational
Excellence.
    In compliance with the Government Paperwork Elimination Act (GPEA),
all of our data collection will be 100% electronic using an online
form; Applicants will be asked to complete the survey just before they
exit the system. AVIATOR is the FAA's Online Job Application System.
The AVIATOR Customer Satisfaction Survey is designed to identify
potential problems with FAA's automated staffing solutions as well as
to evaluate customer satisfaction with the on-line application process.
The information is not gathered by any other collection. It will be
difficult, if not impossible, to improve the AVIATOR system's overall
performance and customer satisfaction without utilizing the survey as a
performance measurement tool.
    Respondents: Individuals who use AVIATOR (the FAA's Online Job
Application System).
    Frequency: on occasion of use of AVIATOR.
    Estimated Average Burden per Response: .05 hours.
    Estimated Total Annual Burden: 82 hours (It is estimated that it
will take each of the 75,515 (estimated average) external applicants
three minutes to complete one survey for a total of 3,776 hours, if all
external applicants choose to complete the AVIATOR Customer
Satisfaction Survey. The survey statistics show that an average of 2.2%
of the applicants (approximately 1,645) complete a survey resulting in
an estimate of 82 total hours.)

    Issued in Fort Worth, TX, on March 22, 2018.
Barbara L. Hall,
FAA Information Collection Clearance Officer, Performance, Policy, and
Records Management Branch, ASP-110.
[FR Doc. 2018-06403 Filed 3-29-18; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register Volume 82, Number 162 (Wednesday, August 23, 2017)]
[Notices]
[Page 40051]
[FR Doc No: 2017-17806]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-81415; File No. SR-CHX-2017-04]

Self-Regulatory Organizations; Chicago Stock Exchange, Inc.;
Notice of Designation of Longer Period for Commission Action on
Proceedings To Determine Whether To Approve or Disapprove a Proposed
Rule Change To Adopt the CHX Liquidity Enhancing Access Delay

August 17, 2017.
    On February 10, 2017, the Chicago Stock Exchange, Inc. (``CHX'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Exchange Act'') \1\ and Rule 19b-4
thereunder,\2\ a proposed rule change to adopt the CHX Liquidity
Enhancing Access Delay (``LEAD''). The proposed rule change was
published for comment in the Federal Register on February 21, 2017.\3\
On April 3, 2017, the Commission designated a longer period within
which to approve the proposed rule change, disapprove the proposed rule
change, or institute proceedings to determine whether the proposed rule
change should be disapproved.\4\ The Commission received eleven comment
letters on the proposed rule change, including a response from the
Exchange.\5\ On May 22, 2017, the Commission instituted proceedings
under Section 19(b)(2)(B) of the Exchange Act \6\ to determine whether
to approve or disapprove the proposed rule change.\7\ Since then, the
Commission has received six more comment letters, including a response
from the Exchange.\8\
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 80041 (February 14,
2017), 82 FR 11252 (``Notice'').
    \4\ See Securities Exchange Act Release No. 80364, 82 FR 17065
(April 7, 2017).
    \5\ See letters from: (1) Ryan Hitch, Head of Equities Trading,
XR Securities LLC, dated February 24, 2017; (2) Douglas A. Cifu,
Chief Executive Officer, Virtu Financial LLC, dated February 27,
2017; (3) Joanna Mallers, Secretary, FIA Principal Traders Group,
dated March 13, 2017; (4) Adam Nunes, Head of Business Development,
Hudson River Trading LLC, dated March 13, 2017; (5) R.T.
Leuchtkafer, dated March 14, 2017; (6) Stephen John Berger, Managing
Director, Government & Regulatory Policy, Citadel Securities, dated
March 14, 2017; (7) Tyler Gellasch, Executive Director, Healthy
Markets Association, March 17, 2017; (8) Elizabeth K. King, General
Counsel and Corporate Secretary, New York Stock Exchange, dated
March 20, 2017; (9) James G. Ongena, Executive Vice President and
General Counsel, CHX, dated March 24, 2017; (10) Steve Crutchfield,
Head of Market Structure, CTC Trading Group, LLC, dated April 4,
2017; and (11) Theodore R. Lazo, Managing Director and Associate
General Counsel, Securities Industry and Financial Markets
Association, dated May 17, 2017. All comments on the proposed rule
change are available at: https://www.sec.gov/comments/sr-chx-2017-04/chx201704.htm.
    \6\ 15 U.S.C. 78s(b)(2)(B).
    \7\ See Securities Exchange Act Release No. 80740, 82 FR 24412
(May 26, 2017).
    \8\ See letters from: (1) R. T. Leuchtkafer, dated June 15,
2017; (2) Stephen Berger, Managing Director, Government and
Regulatory Policy, Citadel Securities, dated June 16, 2017; (3)
Joanna Mallers, Secretary, FIA Principal Traders Group, dated June
16, 2017; (4) James G. Ongena, Executive Vice President, General
Counsel, CHX, dated June 30, 2017; (5) R. T. Leuchtkafer, dated July
7, 2017; and (6) R. T. Leuchtkafer, dated July 10, 2017.
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    Section 19(b)(2) of the Act \9\ provides that, after initiating
proceedings, the Commission shall issue an order approving or
disapproving the proposed rule change not later than 180 days after the
date of publication of notice of filing of the proposed rule change.
The Commission may, however, extend the period for issuing an order
approving or disapproving the proposed rule change by not more than 60
days if the Commission determines that a longer period is appropriate
and publishes the reasons for such determination. The proposed rule
change was published for notice and comment in the Federal Register on
February 21, 2017.\10\ August 20, 2017 is 180 days from that date, and
October 19, 2017 is 240 days from that date.
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    \9\ 15 U.S.C. 78s(b)(2).
    \10\ See supra text accompanying note 3.
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    The Commission finds it appropriate to designate a longer period
within which to issue an order approving or disapproving the proposed
rule change so that it has sufficient time to consider the proposed
rule change, the issues raised in the comment letters that have been
submitted in connection therewith, and the Exchange's responses to the
comments. Accordingly, the Commission, pursuant to Section 19(b)(2) of
the Act,\11\ designates October 19, 2017 as the date by which the
Commission should either approve or disapprove the proposed rule change
(File No. SR-CHX-2017-04).
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    \11\ 15 U.S.C. 78s(b)(2).
    \12\ 17 CFR 200.30-3(a)(57).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-17806 Filed 8-22-17; 8:45 am]
BILLING CODE 8011-01-P