[Federal Register: July 9, 2008 (Volume 73, Number 132)]
[Notices]
[Page 39365-39367]
[DOCID:fr09jy08-114]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-58079; File No. SR-NYSEArca-2008-69]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Permit the Use
of a New Order Type Known as Price Improving Orders and Quotes

July 2, 2008.
    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 June 25, 2008, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I and II below, which Items
have been substantially prepared by the Exchange. NYSE Arca designated
the proposed rule change as ``non-controversial'' under Section
19(b)(3)(A)(iii) of the Act \3\ and Rule 19b-4(f)(6) thereunder,\4\
which renders the proposal effective upon filing with the Commission.
The Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \4\ 17 CFR 240.19b-4(f)(6).
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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 various rules to permit the use of a
new order type known as Price Improving Orders and Quotes that may be
submitted in increments as small as one cent, and to govern their use.
The text of the proposed rule change is available at the Exchange, the
Commission's Public Reference Room, and http://www.nyse.com.

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

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

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

1. Purpose
    The purpose of this rule change is to permit all authorized
Exchange participants to submit Price Improving Orders and Quotes in
increments smaller than the minimum price variation (``MPV'') in the
security. The Exchange will designate the classes/series eligible for
this penny pricing, and the penny pricing will be available
electronically and in open outcry.
    Price Improving Orders and Quotes will allow market participants to
submit an order priced between the MPV that will be rounded to the
nearest lower MPV bid or the nearest higher MPV offer for display, but
would maintain the one-cent increment limit for trade allocation
purposes. Without this order type, market participants would not be
able to submit orders priced between the disseminated MPV. However,
since the orders will be displayed in aggregate at the nearest MPV, the
order type will not ``take away'' transparency that would already
exist. Incoming market and marketable limit orders will receive price
improvement when executed against Price Improving Orders or Quotes
resting in the Consolidated Book. For example, where the NYSE Arca
market is 1.00-1.20 and an order is received to buy 10 contracts at
1.08, NYSE Arca would disseminate a 1.05 bid for 10 contracts, and any
subsequent sell market order received by the Exchange would trade at
1.08 for up to 10 contracts (after which the quote would revert back to
1.00-1.20).
    The Exchange also proposes to allow OTP Holders to execute Price
Improving Orders in open outcry in one-cent increments and to allow
Market Makers to respond to a call for a market with bids and offers in
one-cent increments. However, the Exchange will require OTP Holders,
prior to effecting any transactions in open outcry in one-cent
increments, to electronically ``sweep'' any Price Improving Orders or
Quotes in the NYSE Arca System. The ``sweep'' would ensure that better-
priced orders resting in one-cent increments are executed prior to the
open outcry transaction and would also ensure that same priced orders
receive executions consistent with existing rules governing priority of
orders in the Consolidated Book when trading with an order represented
in open outcry (NYSE Arca Rules 6.47 and 6.75).
    The applicability of split-price priority under NYSE Arca Rule
6.75(h) to transactions effected under proposed

NYSE Arca Rule 6.73(b) would be determined by the Exchange, and the
mechanics of split-price priority in those instances would be the same
as the mechanics of split-price priority in five- and ten-cent
increments.
    In addition, open outcry penny pricing would generally be available
in instances where a Floor Broker is attempting to cross an order
pursuant to NYSE Arca Rule 6.47(a) through (d). However, it would not
be available in those instances where a Floor Broker is utilizing the
Exchange's Size Quote Mechanism (NYSE Arca Rule 6.47(f)).
    The Exchange believes that this order type will provide investors
the opportunity to trade at a better price than otherwise would be
available--inside the disseminated best bid and offer for a security.
The Exchange also believes that this order type may serve to increase
liquidity to the extent that market participants find the order type
results in better executions. Further, market participants may be
incented to compete by putting forth their best price--priced in a
penny increment--to potentially match or better any other trading
interest resident in the system. This may result in more aggressive,
rather than less aggressive, trading interest.
    This rule change is based on Chapter VI, Section 1(e)(6) and
Section 5 of the NASDAQ Options Rules \5\ and Chicago Board Options
Exchange Rule 6.13B.\6\
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    \5\ See Securities Exchange Act Release No. 57478 (March 12,
2008) 73 FR 14521 (March 18, 2008) (order approving SR-NASDAQ-2007-
004, as modified by Amendment 2, and SR-NASDAQ-2007-080).
    \6\ See Securities Exchange Act Release No. 57716 (April 25,
2008), 73 FR 24329 (May 2, 2008) (SR-CBOE-2007-39) (order approving
CBOE-2007-39 as modified by Amendment No. 2).
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2. Statutory Basis
    The Exchange believes the proposed rule change is consistent with
and furthers the objectives of Section 6(b)(5) of the Act, in that it
is designed to promote just and equitable principles of trade, remove
impediments to and perfect the mechanisms of a free and open market and
a national market system and, in general, to protect investors and the
public interest.

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

    No written comments were solicited or received with respect to the
proposed rule change.

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

    Because the proposed rule change does not: (i) Significantly affect
the protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative for 30
days after the date of filing, or such shorter time as the Commission
may designate if consistent with the protection of investors and the
public interest, the proposed rule change has become effective pursuant
to Section 19(b)(3)(A) of the Act \7\ and subparagraph (f)(6) of Rule
19b-4 thereunder.\8\ As required under Rule 19b-4(f)(6)(iii),\9\ NYSE
Arca provided the Commission with written notice of its intent to file
the proposed rule change, along with a brief description and text of
the proposed rule change, at least 5 days prior to the filing of the
proposed rule change.
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    \7\ 15 U.S.C. 78s(b)(3)(A).
    \8\ 17 CFR 240.19b-4(f)(6).
    \9\ 17 CFR 240.19b-4(f)(6)(iii).
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    A proposed rule change filed under Rule 19b-4(f)(6) normally may
not become operative prior to the 30th day after the date of
filing.\10\ However, Rule 19b-4(f)(6)(iii) \11\ permits the Commission
to designate a shorter time if such action is consistent with the
protection of investors and the public interest. NYSE Arca requested
that the Commission waive the 30-day operative delay and make the
proposed rule change operative upon filing because the proposal is
similar to rules on the Chicago Board Options Exchange and the NASDAQ
Options Market,\12\ raises no new issues, and will allow NYSE Arca to
compete for Price Improving Orders and Quotes. For these reasons, the
Commission believes that waiving the 30-day operative delay is
consistent with the protection of investors and the public interest.
Accordingly, the Commission designates the proposed rule change
operative upon filing with the Commission.\13\
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    \10\ See id.
    \11\ Id.
    \12\ See supra notes 5 and 6.
    \13\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate the rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in furtherance of the purposes of the Act.

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-2008-69 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEArca-2008-69. 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, 100 F Street,
NE., Washington, DC 20549, on official business days between the hours
of 10 a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of the NYSE Arca. 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-2008-69 and

should be submitted on or before July 30, 2008.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\14\
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    \14\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Acting Secretary.
 [FR Doc. E8-15512 Filed 7-8-08; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 80, Number 125 (Tuesday, June 30, 2015)]
[Notices]
[Pages 37333-37335]
[FR Doc No: 2015-15982]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-75286; File No. SR-Phlx-2015-54]

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of
Filing and Immediate Effectiveness of a Proposed Rule Change Relating
to Extension of the Exchange's Penny Pilot Program and Replacement of
Penny Pilot Issues That Have Been Delisted

June 24, 2015.
    Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 \2\ thereunder, notice is hereby given
that on June 18, 2015, NASDAQ OMX PHLX LLC (``Phlx'' or ``Exchange'')
filed with the Securities and Exchange Commission (``SEC'' or
``Commission'') the proposed rule change as described in Items I and II
below, which Items have been prepared by the Exchange. The Commission
is publishing this notice to solicit comments on the proposed rule
change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange is filing with the Commission a proposal to amend Phlx
Rule 1034 (Minimum Increments) to extend through June 30, 2016 or the
date of permanent approval, if earlier, the Penny Pilot Program in
options classes in certain issues (``Penny Pilot'' or ``Pilot''), and
to change the date when delisted classes may be replaced in the Penny
Pilot.\3\
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    \3\ The Penny Pilot was established in January 2007 and was last
extended in 2014. See Securities Exchange Act Release Nos. 55153
(January 23, 2007), 72 FR 4553 (January 31, 2007)(SR-Phlx-2006-
74)(notice of filing and approval order establishing Penny Pilot);
and 73688 (November 25, 2014), 79 FR 71484 (December 2, 2014)(SR-
Phlx-2014-77)(notice of filing and immediate effectiveness extending
the Penny Pilot through June 30, 2015).
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    The text of the amended Exchange rule is set forth immediately
below.
    Proposed new language is in italics and proposed deleted language
is [bracketed].

NASDAQ OMX PHLX Rules

Options Rules

* * * * *

Rule 1034. Minimum Increments

    (a) Except as provided in sub-paragraphs (i)(B) and (iii) below,
all options on stocks, index options, and Exchange Traded Fund Shares
quoting in decimals at $3.00 or higher shall have a minimum increment
of $.10, and all options on stocks and index options quoting in
decimals under $3.00 shall have a minimum increment of $.05.
    (i)(A) No Change.
    (B) For a pilot period scheduled to expire June 30, [2015]2016 or
the date of permanent approval, if earlier (the ``pilot''), certain
options shall be quoted and traded on the Exchange in minimum
increments of $0.01 for all series in such options with a price of less
than $3.00, and in minimum increments of $0.05 for all series in such
options with a price of $3.00 or higher, except that options overlying
the PowerShares QQQ Trust (``QQQQ'')[supreg], SPDR S&P 500 Exchange
Traded Funds (``SPY''), and iShares Russell 2000 Index Funds (``IWM'')
shall be quoted and traded in minimum increments of $0.01 for all
series regardless of the price. A list of such options shall be
communicated to membership via an Options Trader Alert (``OTA'') posted
on the Exchange's Web site.
    The Exchange may replace any pilot issues that have been delisted
with the next most actively traded multiply listed options classes that
are not yet included in the pilot, based on trading activity in the
previous six months. The replacement issues may be added to the pilot
on the second trading day following July 1, 2015 and January 1,
[2015]2016.
    (C) No Change.
    (ii)-(v) No Change.
* * * * *
    The text of the proposed rule change is available on the Exchange's
Web site at http://nasdaqomxphlx.cchwallstreet.com, at the principal
office of the Exchange, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The purpose of this filing is to amend Phlx Rule 1034 to extend the
Penny Pilot through June 30, 2016 or the date of permanent approval, if
earlier, and to change the date when delisted classes may be replaced
in the Penny Pilot. The Exchange believes that extending the Penny
Pilot will allow for further analysis of the Penny Pilot and a
determination of how the program should be structured in the future.
    Under the Penny Pilot, the minimum price variation for all
participating options classes, except for the Nasdaq-100 Index Tracking
Stock (``QQQQ''), the SPDR S&P 500 Exchange Traded Fund (``SPY'') and
the iShares Russell 2000 Index Fund (``IWM''), is $0.01 for all
quotations in options series that are quoted at less than $3 per
contract and $0.05 for all quotations in options series that are quoted
at $3 per contract or greater. QQQQ, SPY and IWM are quoted in $0.01
increments for all options series. The Penny Pilot is currently
scheduled to expire on June 30, 2015.
    The Exchange proposes to extend the time period of the Penny Pilot
through June 30, 2016 or the date of permanent approval, if earlier,
and to provide a revised date for adding replacement issues to the
Penny Pilot. The Exchange proposes that any Penny Pilot Program issues
that have been delisted may be replaced on the second trading day
following July 1, 2015 and January 1, 2016. The replacement issues will
be selected based on trading activity in the previous six months.\4\
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    \4\ The replacement issues will be announced to the Exchange's
membership via an Options Trader Alert (OTA) posted on the
Exchange's Web site. The Exchange proposes in its Penny Pilot rule
that replacement issues will be selected based on trading activity
in the previous six months. The replacement issues would be
identified based on The Options Clearing Corporation's trading
volume data. For example, for the July replacement, trading volume
from December 1, 2014 through May 30, 2015 would be analyzed. The
month immediately preceding the replacement issues' addition to the
Pilot Program (i.e., June) would not be used for purposes of the
six-month analysis.
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    This filing does not propose any substantive changes to the Penny
Pilot Program; all classes currently participating in the Penny Pilot
will remain the same and all minimum increments will remain unchanged.
The Exchange believes the benefits to public customers and other market
participants who will be able to express their true prices to buy and
sell options have been demonstrated to outweigh the potential increase
in quote traffic.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with section
6(b) of the Act,\5\ in general, and furthers the objectives of section
6(b)(5) of the Act,\6\ in particular, in that it is designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to foster cooperation and coordination
with persons engaged in facilitating transactions in securities, and to
remove impediments to and perfect the mechanism of a free and open
market and a national market system and, in general, to protect
investors and the public interest.
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    \5\ 15 U.S.C. 78f(b).
    \6\ 15 U.S.C. 78f(b)(5).
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    In particular, the proposed rule change, which extends the Penny
Pilot for an additional twelve months through June 30, 2016 or the date
of permanent approval, if earlier, and changes the date for replacing
Penny Pilot issues that were delisted to the second trading day
following July 1, 2015 and January 1, 2016, will enable public
customers and other market participants to express their true prices to
buy and sell options for the benefit of all market participants. This
is consistent with the Act.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. To the contrary, this proposal
is pro-competitive because it allows Penny Pilot issues to continue
trading on the Exchange. Moreover, the Exchange believes that the
proposed rule change will allow for further analysis of the Pilot and a
determination of how the Pilot should be structured in the future; and
will serve to promote regulatory clarity and consistency, thereby
reducing burdens on the marketplace and facilitating investor
protection. The Pilot is an industry-wide initiative supported by all
other option exchanges. The Exchange believes that extending the Pilot
will allow for continued competition between market participants on the
Exchange trading similar products as their counterparts on other
exchanges, while at the same time allowing the Exchange to continue to
compete for order flow with other exchanges in option issues trading as
part of the Pilot.

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

    No written comments were either solicited or received.

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

    The Exchange has filed the proposed rule change pursuant to section
19(b)(3)(A)(iii) of the Act \7\ and Rule 19b-4(f)(6) thereunder.\8\
Because the proposed rule change does not: (i) Significantly affect the
protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative prior to
30 days from the date on which it was filed, or such shorter time as
the Commission may designate, if consistent with the protection of
investors and the public interest, the proposed rule change has become
effective pursuant to section 19(b)(3)(A) of the Act and Rule 19b-
4(f)(6)(iii) thereunder.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \8\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) \9\ normally
does not become operative prior to 30 days after the date of the
filing.\10\ However, pursuant to Rule 19b-4(f)(6)(iii),\11\ the
Commission may designate a shorter time if such action is consistent
with the protection of investors and the public interest. The Exchange
has asked the Commission to waive the 30-day operative delay so that
the proposal may become operative immediately upon filing. The
Commission believes that waiving the 30-day operative delay is
consistent with the protection of investors and the public interest
because doing so will allow the Pilot Program to continue without
interruption in a manner that is consistent with the Commission's prior
approval of the extension and expansion of the Pilot Program and will
allow the Exchange and the Commission additional time to analyze the
impact of the Pilot Program. Accordingly, the Commission designates the
proposed

rule change as operative upon filing with the Commission.\12\
---------------------------------------------------------------------------

    \9\ 17 CFR 240.19b-4(f)(6).
    \10\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change along with a
brief description and the text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied this pre-filing requirement.
    \11\ 17 CFR 240.19b-4(f)(6)(iii).
    \12\ For purposes only of waiving the operative delay for this
proposal, the Commission has considered the proposed rule's impact
on efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
section 19(b)(2)(B) \13\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-Phlx-2015-54 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-Phlx-2015-54. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549-1090 on official business days between the hours
of 10:00 a.m. and 3:00 p.m. Copies of the filing will also be available
for inspection and copying at the principal office 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-Phlx-2015-54 and should be
submitted on or before July 21, 2015.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\14\
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    \14\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-15982 Filed 6-29-15; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 75, Number 217 (Wednesday, November 10, 2010)]
[Notices]
[Pages 69152-69153]
[FR Doc No: 2010-28391]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Agency Information Collection Activities: Requests for Comments;
Clearance of a New Information Collection: AST Collection of Voluntary
Lessons Learned From External Sources

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 for a new information collection.
The Federal Register Notice with a 60-day comment period soliciting
comments on the following collection of information was published on
July 14, 2010, vol. 75, no. 134, page 40863. The FAA/AST will collect
lessons learned from members of the commercial space

industry in order to carry out the safety responsibilities in 49 U.S.C.
Chapter 701 Section 70103 (c).

DATES: Written comments should be submitted by December 10, 2010.

FOR FURTHER INFORMATION CONTACT: Carla Scott on<PHONE_NUMBER>, or by
e-mail at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:
    OMB Control Number: 2120-XXXX.
    Title: AST Collection of Voluntary Lessons Learned from External
Sources.
    Form Numbers: There are no FAA forms associated with this
collection.
    Type of Review: Clearance of a new information collection.
    Background: The FAA/AST collects lessons learned from members of
the commercial space industry in order to carry out the safety
responsibilities in 49 USC Chapter 701 Section 70103 (c). These
responsibilities include ``encourage, facilitate, and promote the
continuous improvement of the safety of launch vehicles designed to
carry humans.'' The FAA/AST collects and shares lessons learned between
members of the amateur rocket community, experimental permit holders,
licensed launch and reentry operators, and licensed launch and reentry
site operators to ensure the safe and successful outcome of launch
activities, allowing AST to meet our public safety goals without
creating a regulatory burden.
    Respondents: Approximately 20 members of the commercial space
industry.
    Frequency: Information is collected on occasion.
    Estimated Average Burden per Response: 1 hour.
    Estimated Total Annual Burden: 30 hours.

ADDRESSES: Interested persons are invited to submit written comments on
the proposed information collection to the Office of Information and
Regulatory Affairs, Office of Management and Budget. Comments should be
addressed to the attention of the Desk Officer, Department of
Transportation/FAA, and sent via electronic mail to<EMAIL_ADDRESS>or faxed to<PHONE_NUMBER>, or mailed to the
Office of Information and Regulatory Affairs, Office of Management and
Budget, Docket Library, Room 10102, 725 17th Street, NW., Washington,
DC 20503.
    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.

    Issued in Washington, DC, on November 4, 2010.
Carla Scott,
FAA Information Collection Clearance Officer, IT Enterprises Business
Services Division, AES-200.
[FR Doc. 2010-28391 Filed 11-9-10; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 87, Number 30 (Monday, February 14, 2022)]
[Rules and Regulations]
[Pages 8147-8150]
[FR Doc No: 2022-03012]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 25

[Docket No. FAA-2021-1023; Special Conditions No. 25-811-SC]

Special Conditions: The Boeing Company, Model 737-10 Airplane;
Dynamic Test Requirements for Single-Occupant, Oblique (Side-Facing)
Seats Installed at 49 Degrees With Airbag Devices and 3-Point
Restraints

AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).

ACTION: Final special conditions.

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SUMMARY: These special conditions are issued for The Boeing Company
(Boeing) Model 737-10 airplane. This airplane will have a novel or
unusual design feature when compared to the state of technology
envisioned in the airworthiness standards for transport-category
airplanes. This design feature is single-occupant oblique seats with
airbag devices and 3-point restraints, installed at 49 degrees relative
to the airplane cabin bow-to-stern centerline. The applicable
airworthiness regulations do not contain adequate or appropriate safety
standards for this design feature. These special conditions contain the
additional safety standards that the Administrator considers necessary
to establish a level of safety equivalent to that established by the
existing airworthiness standards.

DATES: Effective February 14, 2022.

FOR FURTHER INFORMATION CONTACT: John Shelden, Human Machine Interface
Section, AIR-626, Technical Innovation Policy Branch, Policy and
Innovation Division, Aircraft Certification Service, Federal Aviation
Administration, 2200 South 216th Street, Des Moines, Washington 98198;
telephone and fax<PHONE_NUMBER>; email [email protected].

SUPPLEMENTARY INFORMATION:

Background

    On January 30, 2019, Boeing applied for a change to Type
Certificate No. A16WE for the installation of single-occupant oblique
seats, with airbag devices and 3-point restraints, installed at 49
degrees relative to the airplane cabin bow-to-stern centerline in the
Boeing Model 737-10 airplane. The Boeing Model 737-10 airplane is a
twin-engine, transport-category airplane with seating for 230
passengers and a maximum takeoff weight of 197,900 pounds.

Type Certification Basis

    Under the provisions of 14 CFR 21.101, Boeing must show that the
Model 737-10 airplane, as changed, continues to meet the applicable
provisions of the regulations listed in Type Certificate No. A16WE, or
the applicable regulations in effect on the date of application for the
change, except for earlier amendments as agreed upon by the FAA.
    If the Administrator finds that the applicable airworthiness
regulations (e.g., 14 CFR part 25) do not contain adequate or
appropriate safety standards for the Boeing Model 737-10 airplane
because of a novel or unusual design feature, special conditions are
prescribed under the provisions of Sec.  21.16.
    Special conditions are initially applicable to the model for which
they are issued. Should the type certificate for that model be amended
later to include any other model that incorporates the same novel or
unusual design feature, or should any other model already included on
the same type certificate be modified to incorporate the same novel or
unusual design feature, these special conditions would also apply to
the other model under Sec.  21.101.
    In addition to the applicable airworthiness regulations and special
conditions, the Boeing Model 737-10 airplane must comply with the fuel-
vent and exhaust-emission requirements of 14 CFR part 34, and the
noise-certification requirements of 14 CFR part 36.
    The FAA issues special conditions, as defined in Sec.  11.19, in
accordance with Sec.  11.38, and they become part of the type
certification basis under Sec.  21.101.

Novel or Unusual Design Features

    The Boeing Model 737-10 airplane will incorporate the following
novel or unusual design feature:
    Single-occupant oblique seats, with airbag devices and 3-point
restraints, installed at 49 degrees relative to the airplane cabin bow-
to-stern centerline.

Discussion

    Section 25.785(d) requires that each occupant of a seat installed
at an angle of more than 18 degrees, relative to bow-to-stern airplane
cabin centerline, must be protected from head injury using a seatbelt
and an energy-absorbing rest that supports the arms, shoulders, head,
and spine; or using a seatbelt and shoulder harness designed to prevent
the head from contacting any injurious object.
    The Boeing Model 737-10 airplane single-occupant oblique seat
installation, with airbag devices and 3-point restraints, is novel such
that the current requirements do not adequately address airbag devices
and protection of the occupant's neck, spine, torso, and legs for
seating configurations that are positioned at an angle of 49 degrees
from the airplane centerline. The seating configuration installation
angle is beyond the installation-design limits of current special
conditions issued for seat positions at angles between 18 degrees and
45 degrees. For example, at these angles, lateral neck bending and
other injury mechanisms prevalent from a fully side-facing installation
become a concern. Although special conditions no. 25-552-SC was issued
for Boeing Model 787 airplane seats installed at 49 degrees in 2014,
that document is no longer applicable because they were issued prior to
the current oblique-seat special conditions that are based on the July
11, 2018, FAA policy statement PS-AIR-25-27, ``Technical Criteria for
Approving Oblique Seats.'' These special conditions are based on the
Boeing Model 787 airplane special conditions, with updates from that
policy statement, and to align with the fully side-facing-seat policy
statement PS-ANM-25-03-R1, ``Technical Criteria for Approving Side-
Facing Seats.''
    To provide a level of safety equivalent to that afforded to
occupants of forward- and aft-facing seats, additional airworthiness
standards, in the form of dynamic testing requirements, including both
the injury criteria limits from the oblique-seat policy and the fully
side-facing-seat policy through new special conditions, are necessary.
    The special conditions contain the additional safety standards that
the Administrator considers necessary to establish a level of safety
equivalent to that established by the existing airworthiness standards.

Discussion of Comments

    The FAA issued Notice of Proposed Special Conditions No. 25-21-05-
SC for the Boeing Model 737-10 airplane, which was published in the
Federal Register on December 15, 2021 (86 FR 71183). The FAA received
one comment from the Air Line Pilots Association, International, in
support of the special conditions.

Applicability

    As discussed above, these special conditions are applicable to the
Boeing Model 737-10 airplane. Should Boeing apply at a later date for a
change to the type certificate to include another model incorporating
the same novel or unusual design feature, these special conditions
would apply to that model as well.

Conclusion

    This action affects only a certain novel or unusual design feature
on one model of airplane. It is not a rule of general applicability.

List of Subjects in 14 CFR Part 25

    Aircraft, Aviation safety, Reporting and recordkeeping
requirements.

Authority Citation

    The authority citation for these special conditions is as follows:

    Authority: 49 U.S.C. 106(f), 106(g), 40113, 44701, 44702, 44704.

The Special Conditions

    Accordingly, pursuant to the authority delegated to me by the
Administrator, the following special conditions are issued as part of
the type certification basis for Boeing Model 737-10 airplanes.
    In addition to the requirements of Sec. Sec.  25.562 and 25.785,
passenger seats with airbag devices and 3-point restraints, installed
at an angle 49 degrees relative to the airplane cabin bow-to-stern
centerline, must meet the following:

a. Head Injury Criteria (HIC)

    HIC assessments are required only for head contact with the seat
and other structure.
    1. Compliance with Sec.  25.562(c)(5) is required, except that,
because an airbag device is present in addition to the 3-point
restraint system, when the anthropomorphic test dummy (ATD) has no
apparent contact with the seat and other structure but has contact with
the airbag, a HIC score in excess of 1000 is acceptable, provided the
HIC15 score (calculated in accordance with 49 CFR 571.208) for that
contact is less than 700.
    2. ATD head contact with the seat or other structure through the
airbag, or contact subsequent to contact with the airbag, requires an
HIC value not exceeding 1000.
    3. The HIC value must not exceed 1000 in any condition in which the
airbag does or does not deploy, up to the maximum severity pulse
specified by the existing requirements.
    4. To accommodate a range of occupant heights (5th percentile
female to 95th percentile male), any surface, airbag or otherwise, that
provides support for the occupant head, must provide that support in a
consistent manner regardless of occupant stature. Otherwise, additional
HIC assessment tests may be needed.

b. Body-to-Wall/Furnishing Contact

    If a seat is installed aft of structure, such as an interior wall
or furnishing that does not provide a homogenous contact surface for
the expected range of occupants and yaw angles, then additional
analysis and tests may be required to demonstrate that the injury
criteria are met for the area an occupant could contact. For example,
different yaw angles could result in different injury considerations
and airbag performance, and may require additional analysis, or
separate tests may be necessary to evaluate performance.

c. Neck Injury Criteria

    1. The seating system must protect the occupant from experiencing
serious neck injury. The assessment of neck injury must be conducted
with the airbag device activated, unless there is reason to also
consider that the neck injury potential would be higher for impacts
below the airbag-device deployment threshold.
    2. Rotation of the head about its vertical axis, relative to the
torso, is limited to 105 degrees in either direction from forward-
facing.
    3. The neck must not impact any surface that would produce
concentrated loading on the neck.
    4. Assess neck injury for fore and aft neck bending using the FAA
Hybrid III ATD, as described in SAE 1999-01-1609, ``A Lumbar Spine
Modification to the Hybrid III ATD for Aircraft Seat Tests,'' applying
the following criteria: The Nij, calculated in accordance
with 49 CFR 571.208, must be below 1.0, where Nij =
Fz/Fzc + My/Myc, and
Nij critical values are:

Fzc = 1,530 lbs (6805 N) for tension
Fzc = 1,385 lbs (6160 N) for compression
Myc = 229 lb-ft (301 Nm) in flexion
Myc = 100 lb-ft (136 Nm) in extension

    In addition, peak upper-neck Fz must be below 937 lbs
(4168 N) in tension and 899 lbs (3999 N) in compression.
    5. When lateral neck bending is present, assess it using an ES-2re
ATD as defined by 49 CFR part 572, subpart U. The data must be filtered
at channel frequency class (CFC) 600 as defined in SAE Recommended
Practice J211-1, ``Instrumentation for Impact Test Part 1--Electrionic
Instrumentation:''
    i. The upper-neck tension force at the occipital condyle (O.C.)
location must be less than 405 lbs (1,800 N).
    ii. The upper-neck compression force at the O.C. location must be
less than 405 lbs (1,800 N).
    iii. The upper-neck bending torque about the ATD x-axis at the O.C.
location must be less than 1,018 in-lbs (115 Nm).
    iv. The upper-neck resultant shear force at the O.C. location must
be less than 186 lbs (825 N).

d. Spine and Torso Injury Criteria

    1. The seating system must protect the occupant from experiencing
spine and torso injury. The assessment of spine and torso injury must
be conducted with the airbag device activated, unless it is necessary
to also consider that the occupant-injury potential would be higher for
impacts below the airbag-device deployment threshold.
    2. Assess spine and torso injury, for oblique torso bending, using
the FAA Hybrid III ATD, applying the following criteria:
    i. The lumbar spine tension (Fz) cannot exceed 1,200 lbs
(5338 N).
    ii. Significant concentrated loading on the occupant's spine, in
the area between the pelvis and shoulders during impact, including
rebound, is not acceptable. During this type of contact, the interval
for any rearward (X direction) acceleration exceeding 20g must be less
than 3 milliseconds, as measured by the thoracic instrumentation
specified in 49 CFR part 572, subpart E, filtered in accordance with
SAE Recommended Practice J211-1.
    3. When lateral torso bending is present, assess spine and torso
injury using an ES-2re ATD, applying the following criteria:
    i. Thoracic: The deflection of any of the ES-2re ATD upper, middle,
and lower ribs must not exceed 1.73 inches (44 mm). Process the data as
defined in Federal Motor Vehicle Safety Standards (FMVSS) 571.214,
title 49 of the CFR.
    ii. Abdominal: The sum of the measured ES-2re ATD front, middle,
and rear abdominal forces must not exceed 562 lbs (2,500 N). Process
the data as defined in FMVSS 571.214.
    iii. Upper-torso support: The lateral flexion of the ATD torso must
not exceed 40 degrees from the normal upright positions during impact.

e. Pelvic Criteria

    1. The seating system must protect the occupant from experiencing
pelvis injury.
    2. Any part of the load-bearing portion of the bottom of the ATD
pelvis must not translate beyond the edges of the seat bottom seat-
cushion supporting structure.
    3. When pelvis contact with the armrest or surrounding interior
components is present, assess it using an ES-2re ATD. The pubic
symphysis force measured by the ES-2re ATD must not exceed 1,350 lbs
(6,000 N). Process the data as defined in FMVSS 571.214.

f. Femur Criteria

    Limit axial rotations of the upper leg (about the z-axis of the
femur, per SAE Recommended Practice J211-1) to 35 degrees from the
nominal seated position. Evaluation during rebound does not need to be
considered.

g. ATD and Test Condition

    1. Perform longitudinal tests, conducted to measure the injury
criteria above, using the FAA Hybrid III ATD or using the ES-2re ATD.
Conduct the tests with the undeformed floor, at the most-critical yaw
cases for injury, and with all lateral structural supports (e.g.,
armrests or walls) installed.
    2. For longitudinal tests conducted in accordance with Sec.
25.562(b)(2), to show compliance with the seat-strength requirements of
Sec.  25.562(c)(7) and (8), and these special conditions, to ensure
proper loading of the seat by the occupant, the ATD pelvis must remain
supported by the seat pan, and the restraint system must remain on the
pelvis of the ATD until rebound begins. No injury criteria evaluation
is necessary for tests conducted only to assess seat-strength
requirements.
    3. If a seat installation includes adjacent items that are within
contact range of an occupant, assess the injury potential of that
contact. To make this assessment, tests may be conducted to include the
actual contact item, located and attached in a representative fashion.
Alternatively, the injury potential may be assessed through a
combination of tests with contact items having the same geometry as the
actual contact item, but having stiffness characteristics that would
create the worst case for injury, such as injuries due to both contact
with the item and lack of support from the item.
    4. Conduct the combined horizontal and vertical test, required by
Sec.  25.562(b)(1) and these special conditions, with the FAA Hybrid II
ATD (49 CFR part 572, subpart B, as specified in Sec.  25.562) or
equivalent.
    5. The design and installation of seatbelt buckles must prevent
unbuckling due to applied inertial forces, or impact from seat occupant
hands and arms, during an emergency landing.

h. Inflatable Airbag-Restraint System Special Conditions

    An inflatable airbag-restraint system will be installed, and must
meet the requirements of Special Conditions No. 25-386-SC, ``Boeing
Model 737-600/-700/-700C/-800/-900 and 900ER Series

Airplanes; Seats With Inflatable Lapbelts,'' applicable to Boeing Model
737-10 series airplanes.

i. General Test Guidelines

    1. The determination of the appropriate ATD to be used in assessing
occupant injury (FAA Hybrid III or ES-2re) is based on the occupant
kinematics at the selected test angle. At the +10-degree yaw angle, the
occupant kinematics show that occupant injury tests, using both ATDs,
are required.
    2. Conduct vertical tests with the Hybrid II ATD or equivalent,
with existing pass/fail criteria.
    3. Conduct longitudinal structural tests with the Hybrid II ATD or
equivalent, deformed floor, with 10 degrees yaw, and with all lateral
structural supports (e.g., armrests or walls) required to support the
occupant.
    4. Conduct longitudinal occupant-injury tests, as necessary, with
the FAA Hybrid III ATD or ES-2re ATD, undeformed floor, yaw, and with
all lateral structural supports (e.g., armrests or walls) critically
represented, and which are within contact range of the occupant.
    i. Pass/fail injury assessments:
    A. Perform HIC, fore and aft neck injury, spinal tension, and femur
evaluations using the FAA Hybrid III ATD.
    B. Perform lateral neck injury, thoracic, abdominal, pelvis, and
femur evaluations using the ES-2re ATD.
    5. For injury assessments accomplished by testing with the ES-2re
ATD for longitudinal tests conducted in accordance with Sec.
25.562(b)(2) and these special conditions, the ATDs must be positioned,
clothed, and have lateral instrumentation configured as follows:
    i. ES-2re ATD Lateral Instrumentation:
    The rib-module linear slides are directional (i.e., deflection
occurs in either a positive or negative ATD y-axis direction). Install
the modules such that the moving end of the rib module is toward the
front of the airplane. Install the three abdominal-force sensors such
that they are on the side of the ATD toward the front of the airplane.
    ii. ATD Clothing:
    Clothe each ATD in form-fitting cotton-stretch garments with short-
to full-length sleeves, mid-calf to full-length pants, and size 11E
(45) shoes weighing about 2.5 lbs (1.1 kg), and having a heel height of
about 1.5 inches (3.8 cm). The color of the clothing should be in
contrast to the color of the restraint system and the background. The
color of the clothing should be chosen to avoid overexposing the high-
speed images captured during the test. The ES-2re jacket is sufficient
for torso clothing, although a form-fitting shirt may be used in
addition, if desired.
    iii. ATD Positioning:
    A. Lower the ATD vertically into the seat while simultaneously:
    (1) Aligning the midsagittal plane (a vertical plane through the
midline of the body, dividing the body into right and left halves) to
approximately the middle of the seat place.
    (2) Keeping the upper legs horizontal by supporting them just
behind the knees.
    (3) Applying a horizontal x-axis direction (in the ES-2re ATD
coordinate system) force of about 20 lbs (89 N) to the bottom rib of
the ES-2re, to compress the seat-back cushion.
    B. After all lifting devices have been removed from the ATD:
    (1) Rock it slightly to settle it in the seat.
    (2) Bend the knees of the ATD.
    (3) Separate the knees by about 4 inches (100 mm).
    (4) Set the ATD's head at approximately the midpoint of the
available range of z-axis rotation (to align the head and torso
midsagittal planes).
    (5) Position the ATD's arms at the joints' mechanical detent, to
position them to an approximately 20- to 40-degree angle with respect
to the torso.
    (6) Position the feet such that the centerlines of the lower legs
are approximately parallel.

    Note: Seats installed via plinths or pallets must meet all
applicable requirements. Compliance with the guidance contained in
policy memorandum PS-ANM-100-2000-00123, ``Guidance for
Demonstrating Compliance with Seat Dynamic Testing for Plinths and
Pallets,'' dated February 2, 2000, is acceptable to the FAA.

    Issued in Kansas City, Missouri, on February 8, 2022.
Patrick R. Mullen,
Manager, Technical Innovation Policy Branch, Policy and Innovation
Division, Aircraft Certification Service.
[FR Doc. 2022-03012 Filed 2-11-22; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register: October 27, 2010 (Volume 75, Number 207)]
[Notices]
[Page 66183-66184]
[DOCID:fr27oc10-125]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-63147; File No. SR-BATS-2010-029]

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change by BATS
Exchange, Inc. To Amend BATS Rule 11.13, Entitled ``Order Execution''

October 21, 2010.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on October 13, 2010, BATS Exchange, Inc. (``BATS'' or the
``Exchange'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I and II
below, which Items have been prepared by the Exchange. The Commission
is publishing this notice to solicit comments on the proposed rule
change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend BATS Rule 11.13, entitled ``Order
Execution,'' to add certain new routing strategies and to modify the
description of certain existing Exchange routing strategies.

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

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

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

1. Purpose
    The Exchange proposes to amend Rule 11.13, which describes its
order routing processes, to add certain new routing strategies and to
modify the existing description of two Exchange routing strategies.
    Currently, various routing strategies are available through BATS,
including the CYCLE routing strategy, variations of the Parallel
routing strategy, DRT routing and Destination Specific Routing. The
Exchange proposes to offer two new routing strategies, which are
described below.
     TRIM. TRIM is a routing option under which an order will
check the System for available shares if so instructed by the entering
User and then will be sent to destinations on the System routing table.
     SLIM. SLIM is a routing option under which an order will
check the System for available shares, will be routed to BATS Y-
Exchange, Inc. (``BYX''),\3\ and then will be sent to destinations on
the System routing table.
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    \3\ BYX is a registered national securities exchange and
affiliate of the Exchange. See Securities Exchange Act Release No.
34-62716 (August 13, 2010), 75 FR 51295 (August 19, 2010) (order
approving application of BATS Y-Exchange, Inc. for registration as a
national securities exchange). BYX plans to commence operations on
October 15, 2010.
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    In addition to the addition of the TRIM and SLIM routing
strategies, the Exchange proposes modifying the description of the
Parallel T routing strategy to make clear that when checking the
Exchange's System for available shares, it will only check for
displayed shares prior to routing away from the Exchange. The Parallel
T routing strategy is intended to route only to Protected Quotations
and only for displayed size, and thus, the Exchange believes that
removal of only displayed size from its own System is most consistent
with this strategy.
    Exchange Rule 11.13(a)(3)(E) includes a definition of DRT routing,
which is routing option in which the entering firm instructs the System
to route to alternative trading systems included in the System routing
table. The definition of DRT currently states that it can be combined
with three specified routing strategies offered by the Exchange. The
Exchange proposes modifying the description of DRT routing to make
clear that it can be combined with all routing strategies, including
the new TRIM and SLIM routing strategies, unless otherwise specified.
In addition, because some routing strategies offered by the Exchange
might include DRT routing at a later stage, the Exchange proposes to
remove the word ``first'' from the definition of the DRT routing
strategy.
2. Statutory Basis
    The rule change proposed in this submission is consistent with the
requirements of the Act and the rules and regulations thereunder that
are applicable to a national securities exchange, and, in particular,
with the requirements of Section 6(b) of the Act.\4\ Specifically, the
proposed change is consistent with Section 6(b)(5) of the Act,\5\
because it is designed to prevent fraudulent and manipulative acts and
practices, to promote just and equitable principles of trade, to foster
cooperation and coordination with persons engaged in facilitating
transactions in securities, and to remove impediments to, and perfect
the mechanism of, a free and open market and a national market system.
The proposed change to introduce additional routing strategies and to
modify certain existing routing strategies will provide market
participants with greater flexibility in routing orders consistent with
Regulation NMS without developing

complicated order routing strategies on their own.
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    \4\ 15 U.S.C. 78f(b).
    \5\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change imposes
any burden on competition.

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

    The Exchange has neither solicited nor received written comments on
the proposed rule change.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \6\ and Rule 19b-
4(f)(6) thereunder.\7\
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    \6\ 15 U.S.C. 78s(b)(3)(A).
    \7\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
BATS has satisfied this requirement.
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    A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the
Act \8\ normally does not become operative for 30 days after the date
of its filing. However, Rule 19b-4(f)(6) \9\ permits the Commission to
designate a shorter time if such action is consistent with the
protection of investors and the public interest. BATS requests that the
Commission waive the 30-day operative delay in order to allow BATS to
immediately offer Exchange Users new routing strategies at or around
the time that its affiliated national securities exchange, BYX,
commences operations. Further, the Exchange believes that the proposed
TRIM and SLIM routing strategies are consistent with routing strategies
offered by the Nasdaq Stock Market (``NASDAQ'').\10\ In addition, the
Exchange believes that its proposed new routing strategies will benefit
market participants and their customers by allowing them greater
flexibility in their efforts to fill orders and minimize trading costs.
The Exchange expects to have technological changes for one or more of
the new routing strategies in place to support the proposed rule change
in the near future, and believes that benefits to Exchange Users
expected from the proposed rule change should not be delayed. In
addition, BATS states a delay to the implementation date would put the
Exchange at a competitive disadvantage to other markets that already
offer similar functionalities. The Commission believes that waiving the
30-day operative delay \11\ is consistent with the protection of
investors and the public interest and designates the proposal operative
upon filing.
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    \8\ 17 CFR 240.19b-4(f)(6).
    \9\ Id.
    \10\ See NASDAQ Rule 4758.
    \11\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.

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-BATS-2010-029 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-BATS-2010-029. 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,\12\ all subsequent amendments,
all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for Web site
viewing and printing in the Commission's Public Reference Room, on
official business days between the hours of 10 a.m. and 3 p.m. Copies
of the filing also will be available for inspection and copying at the
principal office of 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-BATS-2010-029 and should be submitted on or before
November 17, 2010.
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    \12\ The text of the proposed rule change is available on the
Commission's Web site at http://www.sec.gov/rules/sro.shtml.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\13\
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    \13\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-27142 Filed 10-26-10; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: September 28, 2005 (Volume 70, Number 187)]
[Notices]
[Page 56655]
[DOCID:fr28se05-60]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP05-445-001]

Enbridge Offshore Pipelines (UTOS) LLC; Notice of Compliance
Filings

September 16, 2005.
    Take notice that on September 14, 2005, Enbridge Offshore Pipelines
(UTOS) LLC, (UTOS) tendered for filing as part of its FERC Gas Tariff,
Fifth Revised Volume No. 1, the following revised tariff sheets, with
an effective date of September 1, 2005:

Substitute First Revised Sheet No. 107
Substitute First Revised Sheet No. 108
Substitute First Revised Sheet No. 117
Substitute Original Sheet No. 117A
Substitute Third Revised Sheet No. 121
Substitute Third Revised Sheet No. 122A
Substitute First Revised Sheet No. 137
Substitute First Revised Sheet No. 153
Substitute Fourth Revised Sheet No. 164

    UTOS states that it had inadvertently not included WGQ standard
1.3.2(v) verbatim in its FERC Gas Tariff as required, and thus tenders
Substitute Third Revised Sheet No. 121 to incorporate such standard in
its FERC Gas Tariff, Fifth Revised Volume No. 1.
    UTOS states that complete copies of its filing are being mailed to
all of the parties on the Commission's official service list, all of
its jurisdictional customers, and applicable State commissions.
    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 Section 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. E5-5222 Filed 9-27-05; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register: August 2, 2010 (Volume 75, Number 147)]
[Notices]
[Page 45130-45131]
[DOCID:fr02au10-76]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2009-D-0125]

Guidance for Industry and Researchers on the Radioactive Drug
Research Committee: Human Research Without an Investigational New Drug
Application; Availability

AGENCY:  Food and Drug Administration, HHS.

ACTION:  Notice.

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SUMMARY:  The Food and Drug Administration (FDA) is announcing the
availability of a guidance for industry and researchers entitled ``The
Radioactive Drug Research Committee: Human Research Without an
Investigational New Drug Application.'' This guidance provides
information to those using radioactive drugs for certain research
purposes to help determine whether research studies may be conducted
under an FDA-approved radioactive drug research committee, or

whether research studies must be conducted under an investigational new
drug application (IND). It also offers answers to frequently asked
questions on conducting research with radioactive drugs, and provides
information on the membership, functions, and reporting requirements of
a radioactive drug research committee approved by FDA.

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

ADDRESSES:  Submit written requests for single copies of this guidance
to the Division of Drug Information, Center for Drug Evaluation and
Research, Food and Drug Administration, 10903 New Hampshire Ave., Bldg.
51, rm. 2201, Silver Spring, MD 20993-0002. Send one self-addressed
adhesive label to assist that office in processing your requests. See
the SUPPLEMENTARY INFORMATION section for electronic access to the
guidance document.
    Submit electronic comments on the guidance to http://
www.regulations.gov. Submit written comments to the Division of Dockets
Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane,
rm. 1061, Rockville, MD 20852.

FOR FURTHER INFORMATION CONTACT: Orhan Suleiman, Center for Drug
Evaluation and Research, Food and Drug Administration, 10901 New
Hampshire Ave., Bldg. 22, rm. 2202, Silver Spring, MD 20993-0002, 301-
796-1471.

SUPPLEMENTARY INFORMATION:

I. Background

    FDA is announcing the availability of a guidance for industry and
researchers entitled ``The Radioactive Drug Research Committee: Human
Research Without an Investigational New Drug Application.''
    In a document published in the Federal Register on July 25, 1975
(40 FR 31298), FDA changed the conditions under which new radioactive
drug and biological products could be used. First, the Agency
terminated a 1963 order from the Commissioner of Food and Drugs (28 FR
183, January 8, 1963) that had exempted radioactive new drug and
biological products for investigational use in humans from new drug
requirements (21 CFR part 312), as long as they were shipped consistent
with regulations issued by the then Atomic Energy Commission (AEC). FDA
and AEC had agreed that all radioactive drugs and biological products
should now become subject to the same requirements for investigational
use as other new drugs under section 505 of the Federal Food, Drug, and
Cosmetic Act (21 U.S.C. 355) and section 351 of the Public Health
Service Act (42 U.S.C. 262). Simultaneously, the Agency issued
regulations (Sec.  361.1 (21 CFR 361.1)) explaining when radioactive
drugs for basic science and medical research would not be subject to
the same requirements for investigational use as other new drugs.
    Today, research studies with a radioactive drug or biological
product may be conducted in a number of ways: (1) Under an IND (part
312), (2) exempt from IND requirements (Sec.  312.2), or (3) under
certain conditions, with the supervision and approval of an FDA-
approved Radioactive Drugs Research Committee (RDRC) (Sec.  361.1).
    This guidance discusses the conditions under which research with a
radioactive drug may be conducted under Sec.  361.1. Appendices to the
guidance answer frequently asked questions about those conditions and
provide additional information on RDRCs. Appendix A of the guidance
answers questions on basic science research with radioactive drugs.
Appendix B addresses approval by the RDRC and the information that must
be submitted by investigators to the RDRC. Appendix C discusses the
limits on the pharmacological dose, and Appendix D discusses the limits
on the radiation dose. Each of these appendices also includes a summary
of the regulations. Appendix E provides information on the membership,
functions, and reports of an RDRC. The final appendix, Appendix F, is
an RDRC review criteria checklist, indicating the areas on which the
RDRC will focus when considering a proposed research study.
    In the Federal Register of June 3, 2009 (74 FR 26703), FDA
announced the availability of a draft guidance for industry and
researchers entitled ``The Radioactive Drug Research Committee: Human
Research Without an Investigational New Drug Application.'' The notice
gave interested persons an opportunity to comment by September 1, 2009.
We received comments from seven institutions, organizations, and
individuals. We have carefully considered the comments and, where
appropriate, have made corrections, added information, or clarified the
information in the guidance in response to the comments or on our own
initiative.
    This guidance is being issued consistent with FDA's good guidance
practices regulation (21 CFR 10.115). The guidance represents the
agency's current thinking on determining whether human research with a
radioactive drug can be conducted under a radioactive drug research
committee. It does not create or confer any rights for or on any person
and does not operate to bind FDA or the public. An alternative approach
may be used if such approach satisfies the requirements of the
applicable statutes and regulations.

II. Comments

    Interested persons may submit to the Division of Dockets Management
(see ADDRESSES) either electronic or written comments regarding this
document. It is only necessary to send one set of comments. It is no
longer necessary to send two copies of mailed comments. Identify
comments with the docket number found in brackets in the heading of
this document. Received comments may be seen in the Division of Dockets
Management between 9 a.m. and 4 p.m., Monday through Friday.

III. Electronic Access

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

    Dated: July 27, 2010.
Leslie Kux,
Acting Assistant Commissioner for Policy.
[FR Doc. 2010-18853 Filed 7-30-10; 8:45 am]
BILLING CODE 4160-01-S


[Federal Register Volume 82, Number 48 (Tuesday, March 14, 2017)]
[Proposed Rules]
[Page 13572]
[FR Doc No: 2017-04674]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

14 CFR Part 399

[Docket No. DOT-OST-2017-0007]
RIN 2105-AE56

Transparency of Airline Ancillary Service Fees

AGENCY: Office of the Secretary (OST), U.S. Department of
Transportation (DOT).

ACTION: Suspension of comment period.

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SUMMARY: The DOT is suspending the public comment period for the
supplemental notice of proposed rulemaking (SNPRM) on Transparency of
Airline Ancillary Service Fees. The DOT published the SNPRM on January
19, 2017, and the comment period was scheduled to close on March 20,
2017. The suspension of the comment period will allow the President's
appointees the opportunity to review and consider this action.

DATES: The comment period for the SNPRM published January 19, 2017 (82
FR 7536) is indefinitely suspended effective March 14, 2017.

ADDRESSES: Docket: For access to the docket to read background
documents and comments received, go to http://www.regulations.gov or to
the street address listed above. Follow the online instructions for
accessing the docket.

FOR FURTHER INFORMATION CONTACT: Kimberly Graber or Blane A. Workie,
Office of the Assistant General Counsel for Aviation Enforcement and
Proceedings, U.S. Department of Transportation, 1200 New Jersey Ave.
SE., Washington, DC 20590,<PHONE_NUMBER> (phone),
<EMAIL_ADDRESS>or<EMAIL_ADDRESS>(email).

    Issued this 2nd day of March 2017, in Washington, DC.
Judith S. Kaleta,
Deputy General Counsel.
[FR Doc. 2017-04674 Filed 3-13-17; 8:45 am]
 BILLING CODE 4910-9X-P


[Federal Register Volume 86, Number 185 (Tuesday, September 28, 2021)]
[Notices]
[Pages 53648-53649]
[FR Doc No: 2021-21014]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 2530-057]

Brookfield White Pine Hydro LLC; Notice of Availability of Draft
Environmental Assessment

    In accordance with the National Environmental Policy Act of 1969
and the Federal Energy Regulatory Commission's (Commission)
regulations, 18 CFR part 380, the Office of Energy Projects has
reviewed the application for new license for the Hiram Hydroelectric
Project, located on the Saco River in Oxford and Cumberland Counties,
Maine, and has prepared a Draft Environmental Assessment (DEA) for the
project. No federal land is occupied by project works or located within
the project boundary.
    The DEA contains staff's analysis of the potential environmental
impacts of the project and concludes that licensing the project, with
appropriate environmental protective measures, would not constitute a
major federal action that would significantly affect the quality of the
human environment.

    The Commission provides all interested persons with an opportunity
to view and/or print the EA via the internet through the Commission's
Home Page (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. At this time, the Commission has
suspended access to the Commission's Public Reference Room, due to the
proclamation declaring a National Emergency concerning the Novel
Coronavirus Disease (COVID-19), issued by the President on March 13,
2020. For assistance, contact FERC Online Support at
<EMAIL_ADDRESS>or toll-free at<PHONE_NUMBER>, or for TTY,
(202) 502-8659.
    You may also register online at https://ferconline.ferc.gov/eSubscription.aspx to be notified via email of new filings and
issuances related to this or other pending projects. For assistance,
contact FERC Online Support.
    Any comments should be filed within 30 days from the date of this
notice.
    The Commission strongly encourages electronic filing. Please file
comments using the Commission's eFiling system at https://ferconline.ferc.gov/eFiling.aspx. Commenters can submit brief comments
up to 6,000 characters, without prior registration, using the eComment
system at https://ferconline.ferc.gov/QuickComment.aspx. You must
include your name and contact information at the end of your comments.
For assistance, please contact FERC Online Support. In lieu of
electronic filing, you may submit a paper copy. Submissions sent via
the U.S. Postal Service must be addressed to: Kimberly D. Bose,
Secretary, Federal Energy Regulatory Commission, 888 First Street NE,
Room 1A, Washington, DC 20426. Submissions sent via any other carrier
must be addressed to: Kimberly D. Bose, Secretary, Federal Energy
Regulatory Commission, 12225 Wilkins Avenue, Rockville, Maryland 20852.
The first page of any filing should include docket number P-2530-057.
    For further information, contact Dianne Rodman at<PHONE_NUMBER>,
or by email at<EMAIL_ADDRESS>
    Dated: September 22, 2021.
Kimberly D. Bose,
Secretary.
[FR Doc. 2021-21014 Filed 9-27-21; 8:45 am]
BILLING CODE 6717-01-P