UNITED STATES OF AMERICA

DEPARTMENT OF TRANSPORTATION

OFFICE OF THE SECRETARY

WASHINGTON, DC

Issued by the Department of Transportation on October 4, 2005

   NOTICE OF ACTION TAKEN -- DOCKET OST-2003-15699

________________________________________________________________________
_________________________________

This serves as notice to the public of the action described below, taken
by the Department official indicated (no additional confirming order
will be issued in this matter).

Joint Application of   NORTHWEST AIRLINES, INC. (Northwest) filed
6/21/05 for:

XX  Renewal of exemption for two years under 49 U.S.C. 40109 to provide
the following service:

Scheduled foreign air transportation of persons, property, and mail
between the terminal point Los Angeles, California, and the terminal
point Guadalajara, Mexico, and to combine this exemption authority with
all of Northwest’s existing certificate and exemption authority,
consistent with applicable international agreements.  Northwest states
that it requests renewal of this authority in order to continue to offer
service under a code-share arrangement with Alaska Airlines, Inc.
(Alaska), whereby Northwest places  its “NW*” code on flights
operated by Alaska in the market.

Applicant rep: Megan Rae Rosia<PHONE_NUMBER>  DOT Analyst: Linda
Lundell<PHONE_NUMBER>

D I S P O S I T I O N

XX	Granted (subject to conditions, see below)

The above action was effective when taken:  October 4, 2005, through
October 4, 2007 .

Action taken by:   Paul L. Gretch, Director

		      Office of International Aviation

XX  The authority granted is consistent with the aviation agreement
between the United States and Mexico.

Except to the extent exempted or waived, this authority is subject to
the terms, conditions, and limitations indicated:

	XX  The holder’s certificates of public convenience and necessity

	XX  Standard exemption conditions (attached)

Conditions:  The U.S.-Mexico exemption authority granted is subject to
the dormancy notice requirements set forth in condition 7 of Appendix A
of Order 88-10-2, and is limited to code-share services only.

The code-share operations conducted under this authorization are subject
to the following conditions:

The code-sharing operations conducted under this authority must comply
with 14 CFR 257 and with any amendment to the Department’s regulations
concerning code-share arrangements that may be adopted.  Notwithstanding
any provisions in the contract between the carriers, our approval here
is expressly conditioned upon the requirements that the subject foreign
air transportation be sold in the name of the carrier holding out such
service in computer reservation systems and elsewhere; that the carrier
selling such transportation (i.e., the carrier shown on the ticket)
accept responsibility for the entirety of the code-share journey for all
obligations established in its contract of carriage with the passenger;
and that the passenger liability of the operating carrier be unaffected;
and

The authority granted here is specifically conditioned so that neither
Northwest nor Alaska shall give any force or effect to any contractual
provisions between themselves that are contrary to these conditions.

The route integration authority granted is subject to the condition that
any service provided under this exemption shall be consistent with all
applicable agreements between the United States and the foreign
countries involved.  Furthermore, (a) nothing in award of the route
integration authority granted should be construed as conferring upon
Northwest rights (including fifth-freedom intermediate and/or beyond
rights) to serve markets where U.S. carrier entry is limited unless
Northwest notifies the Department of its intent to serve such a market
and unless and until the Department has completed any necessary carrier
selection procedures to determine which carrier(s) should be authorized
to exercise such rights; and (b) should there be a request by any
carrier to use the limited-entry route rights that are included in
Northwest’s authority by virtue of the route integration exemption
granted here, but that are not then being used by Northwest, the holding
of such authority by route integration will not be considered as
providing any preference for Northwest in a competitive carrier
selection proceeding to determine which carrier(s) should be entitled to
use the authority at issue.

________________________________________________________________________
______

On the basis of data officially noticeable under Rule 24(g) of the
Department's regulations, we found the applicant qualified to provide
the exemption services authorized.

Under authority assigned by the Department in its regulations, 14 CFR
Part 385, we found that (1) our action was consistent with Department
policy; (2) grant of the authority was consistent with the public
interest; and (3) grant of the authority would not constitute a major
regulatory action under the Energy Policy and Conservation Act of 1975.
To the extent not granted, we denied all requests in the referenced
Docket.  We may amend, modify, or revoke the authority granted in this
Notice at any time without hearing at our discretion.

Persons entitled to petition the Department for review of the action set
forth in this Notice under the Department’s regulations, 14 CFR
§385.30, may file their petitions within seven (7) days after the date
of issuance of this Notice.  This action was effective when taken, and
the filing of a petition for review will not alter such effectiveness.

An electronic version of this document is available on the World Wide
Web at:

  HYPERLINK "http://dms.dot.gov//reports/reports_aviation.asp"
http://dms.dot.gov//reports/reports_aviation.asp

				APPENDIX

U.S. Carrier Exemption Conditions

In the conduct of the operations authorized, the U.S. carrier
applicant(s) shall:

(1)  Hold at all times effective operating authority from the government
of each country served;

(2)  Comply with applicable requirements concerning oversales contained
in 14 CFR 250 (for scheduled operations, if authorized);

(3)  Comply with the requirements for reporting data contained in 14 CFR
241;

(4)  Comply with requirements for minimum insurance coverage, and for
certifying that coverage to the Department, contained in 14 CFR 205;

(5)  Except as specifically exempted or otherwise provided for in a
Department Order, comply with the requirements of 14 CFR 203, concerning
waiver of Warsaw Convention liability limits and defenses;

(6)  Comply with all applicable requirements of the Federal Aviation
Administration and with all applicable U.S. Government requirements
concerning security, including, but not limited to, 49 CFR Part 1544.
To assure compliance with all applicable U.S. Government requirements
concerning security, the holder shall, before commencing any new service
(including charter flights) to or from a foreign airport, contact its
International Principal Security Inspector (IPSI) to advise the IPSI of
its plans and to find out whether the Transportation Security
Administration has determined that security is adequate to allow such
airport(s) to be served; and

(7)  Comply with such other reasonable terms, conditions, and
limitations required by the public interest as may be prescribed by the
Department of Transportation, with all applicable orders and regulations
of other U.S. agencies and courts, and with all applicable laws of the
United States.

The authority granted shall be effective only during the period when the
holder is in compliance with the conditions imposed above.

05/2004

   We note here that Northwest also holds authority to serve the Los
Angeles-Guadalajara market pursuant to a code-share arrangement with
Delta Air Lines, Inc. (Delta), whereby Northwest places its “NW*”
code on Delta flights on the route (see Docket OST-2003-15507).


[Federal Register Volume 77, Number 26 (Wednesday, February 8, 2012)]
[Notices]
[Pages 6554-6555]
[FR Doc No: 2012-2857]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. EL12-22-000]

Zephyr Power Transmission, LLC; Pathfinder Power Transmission,
LLC; Duke-American Transmission Company, LLC; Notice of Petition for
Declaratory Order

    Take notice that on January 30, 2012, pursuant to the Rules of
Practice and Procedure of the Federal Energy Regulatory Commission
(Commission), 18 CFR 381.302, Zephyr Power Transmission, LLC (Zephyr),
Pathfinder Power Transmission, LLC (PPT), and Duke-American
Transmission Company, LLC (D-ATC) filed a Petition for Declaratory
Order, requesting that the Commission grant its request: (1) For
Declaratory Order confirming Zephyr's right to continue to exercise its
negotiated rate authority for Zephyr Power Transmission Project; (2)
that Pathfinder Renewable Wind Energy, LLC (PWE) and Zephyr may enter
into the New Precedent Agreement as an anchor customer agreement
pursuant to an amendment to Zephyr's negotiated rate authority; (3) in
the alternative, that PWE can continue to exercise its rights as a
successful bidder under the open season process held by Zephyr in 2009
and pursuant to the New Precedent Agreement; and (4) for waivers of
certain of the Commission's regulations.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211, 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed on or before the comment date. On or
before the comment date, it is not necessary to serve motions to
intervene or protests on persons other than the Applicant.

    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov. Persons unable to file electronically should submit an
original and 14 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street NE., Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the
``eLibrary'' link and is available for review in the Commission's
Public Reference Room in Washington, DC. There is an ``eSubscription''
link on the web site that enables subscribers to receive email
notification when a document is added to a subscribed docket(s). For
assistance with any FERC Online service, please email
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.
    Comment Date: 5 p.m. Eastern Time on February 21, 2012.

    Dated: February 2, 2012.
Kimberly D. Bose,
Secretary.
[FR Doc. 2012-2857 Filed 2-7-12; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: November 24, 2010 (Volume 75, Number 226)]
[Notices]
[Page 71685-71686]
[DOCID:fr24no10-75]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ID-6427-000]

Barfield, Jon E.; Notice of Filing

November 17, 2010.
    Take notice that on November 15, 2010, Jon E. Barfield filed an
Application for Authorization to Hold Interlocking Positions as
Director of Consumers Energy Company and Director of Motorola Mobility
Holdings, Inc., pursuant to Part 45 of Chapter 1 of Title 18 of the
Code of Federal Regulations, 18 CFR part 45 and section 305(b) of the
Federal Power Act.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211, 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to

the proceeding. Any person wishing to become a party must file a notice
of intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed on or before the comment date. On or
before the comment date, it is not necessary to serve motions to
intervene or protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://
www.ferc.gov. Persons unable to file electronically should submit an
original and 14 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the
``eLibrary'' link and is available for review in the Commission's
Public Reference Room in Washington, DC. There is an ``eSubscription''
link on the Web site that enables subscribers to receive e-mail
notification when a document is added to a subscribed docket(s). For
assistance with any FERC Online service, please e-mail
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.
    Comment Date: 5 p.m. Eastern Time on December 6, 2010.

Kimberly D. Bose,
Secretary.
[FR Doc. 2010-29572 Filed 11-23-10; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: July 18, 2006 (Volume 71, Number 137)]
[Notices]
[Page 40715-40716]
[DOCID:fr18jy06-56]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP01-229-003]

Trunkline LNG Company, LLC; Notice of Proposed Changes in FERC
Gas Tariff

July 12, 2006.
    Take notice that on July 7, 2006, Trunkline LNG Company, LLC
(Trunkline LNG) tendered for filing, as part of its FERC Gas Tariff,
Second Revised Volume No. 1-A, the following tariff sheets to become
effective April 5, 2006 and July 8, 2006, respectively:

Second Revised Sheet No. 6
Third Revised Sheet No. 6

    Trunkline LNG states that the purpose of this filing is to reflect
the implementation of negotiated rate transactions.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211 and

385.214). Protests will be considered by the Commission in determining
the appropriate action to be taken, but will not serve to make
protestants parties to the proceeding. Any person wishing to become a
party must file a notice of intervention or motion to intervene, as
appropriate. Such notices, motions, or protests must be filed in
accordance with the provisions of section 154.210 of the Commission's
regulations (18 CFR 154.210). Anyone filing an intervention or protest
must serve a copy of that document on the Applicant. Anyone filing an
intervention or protest on or before the intervention or protest date
need not serve motions to intervene or protests on persons other than
the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov.
 Persons unable to file electronically should submit an

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

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

TTY, call<PHONE_NUMBER>.

Magalie R. Salas,
Secretary.
[FR Doc. E6-11355 Filed 7-17-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 86, Number 105 (Thursday, June 3, 2021)]
[Notices]
[Pages 29849-29852]
[FR Doc No: 2021-11686]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-92070; File No. SR-CTA/CQ-2021-01]

Consolidated Tape Association; Order Approving the Thirty-Sixth
Substantive Amendment to the Second Restatement of the CTA Plan and the
Twenty-Seventh Substantive Amendment to the Restated CQ Plan

May 28, 2021.

I. Introduction

    On February 3, 2021,\1\ the Consolidated Tape Association (``CTA'')
Plan participants \2\ filed with the Securities and Exchange Commission
(``SEC'' or ``Commission''), pursuant to Section 11A of the Securities
Exchange Act of 1934 (``Act'') \3\ and Rule 608 of Regulation National
Market System (``NMS'') thereunder,\4\ a proposal to amend the Second
Restatement of the CTA Plan and the Restated Consolidated Quotation
(``CQ'') Plan (collectively ``CTA/CQ Plans'' or ``Plans'').\5\ These
amendments represent the Thirty-Sixth Substantive Amendment to the
Second Restatement of the CTA Plan and the Twenty-Seventh Substantive
Amendment to the Restated CQ Plan (``Amendments'').
---------------------------------------------------------------------------

    \1\ See Letter from Robert Books, Chair, CTA/CQ Operating
Committee, to Vanessa Countryman, Secretary, Commission (Feb. 3,
2021). The Amendments were posted to the Plans' website on February
12, 2021. See Email from James P. Dombach, Counsel to the Plans, to
Michael E. Coe, Assistant Director, Commission (Feb. 12, 2021).
    \2\ These participants are: Cboe BYX Exchange, Inc., Cboe BZX
Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc.,
Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc.,
The Investors' Exchange LLC, Long-Term Stock Exchange, Inc., MEMX
LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX,
Inc., The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE
American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE
National, Inc. (each a ``Participant,'' and collectively the
``Participants'').
    \3\ 15 U.S.C. 78k-1(a)(3).
    \4\ 17 CFR 242.608.
    \5\ The CTA Plan, pursuant to which markets collect and
disseminate last-sale price information for non-Nasdaq-listed
securities, is a ``transaction reporting plan'' under Rule 601 of
Regulation NMS, 17 CFR 242.601, and a ``national market system
plan'' under Rule 608 of Regulation NMS, 17 CFR 242.608. The CQ
Plan, pursuant to which markets collect and disseminate bid/ask
quotation information for non-Nasdaq-listed securities, is a
``national market system plan'' under Rule 608 under the Act, 17 CFR
242.608. See Securities Exchange Act Release Nos. 10787 (May 10,
1974), 39 FR at 17799 (May 20, 1974) (declaring the CTA Plan
effective); 15009 (July 28, 1978), 43 FR at 34851 (Aug. 7, 1978)
(temporarily authorizing the CQ Plan); and 16518 (Jan. 22, 1980), 45
FR at 6521 (Jan. 28, 1980) (permanently authorizing the CQ Plan).
The most recent restatement of both Plans was in 1995.
---------------------------------------------------------------------------

    The Amendments were published for comment in the Federal Register
on March 1, 2021.\6\ One comment letter was received.\7\ This order
approves the Amendments to the Plans.
---------------------------------------------------------------------------

    \6\ See Securities Exchange Act Release No. 91189 (Feb. 23,
2021), 86 FR 12038 (Mar. 1, 2021) (``Notice'').
    \7\ Comments received in response to the Notice are available at
https://www.sec.gov/comments/sr-ctacq-2021-01/srctacq202101.htm.
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II. Description of the Proposal

    The Amendments propose revisions to the Plans' provisions governing
Regulatory Halts \8\ and Operational Halts.\9\ The Participants state
that ``[t]he purpose of the amendments is to incorporate into the Plans
the same processes for Regulatory Halts that are proposed by the equity
exchanges.'' \10\
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    \8\ The Amendments would define ``Regulatory Halt'' as ``a halt
declared by the Primary Listing Market in trading in one or more
securities on all Trading Centers for regulatory purposes, including
for the dissemination of material news, news pending, suspensions,
or where otherwise necessary to maintain a fair and orderly market.
A Regulatory Halt includes a trading pause triggered by Limit Up
Limit Down, a halt based on Extraordinary Market Activity, a trading
halt triggered by a Market-Wide Circuit Breaker, and a SIP Halt.''
See Section XI(a)(i)(J) of the CTA Plan, as amended.
    \9\ The Amendments would define ``Operational Halt'' as ``a halt
in trading in one or more securities only on a Market declared by
such Participant and is not a Regulatory Halt.'' See Section
XI(a)(i)(G) of the CTA Plan, as amended.
    \10\ See Notice, supra note 6, 86 FR at 12039.
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A. Regulatory Halts

1. Declaration of a Regulatory Halt
    With respect to declaration of a Regulatory Halt, the Amendments
would provide that the Primary Listing Market \11\ may declare a
Regulatory Halt in trading for any security for which it is the Primary
Listing Market (1) as provided for in the rules of the Primary Listing
Market; \12\ (2) if it determines \13\ there is a SIP Outage,\14\
Material SIP Latency,\15\ or Extraordinary Market Activity; \16\ or (3)
in the event of

national, regional, or localized disruption that necessitates a
Regulatory Halt to maintain a fair and orderly market.\17\
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    \11\ The Amendments would define ``Primary Listing Market'' as
``the national securities exchange on which an Eligible Security is
listed. If an Eligible Security is listed on more than one national
securities exchange, Primary Listing Market means the exchange on
which the security has been listed the longest.'' See Section
XI(a)(i)(H) of the CTA Plan, as amended.
    \12\ See Section XI(a)(iii)(A)(1) of the CTA Plan, as amended.
    \13\ See Section XI(a)(iii)(A)(2) of the CTA Plan, as amended.
    \14\ The Amendments would define ``SIP Outage'' as ``a situation
in which the Processor has ceased, or anticipates being unable, to
provide updated and/or accurate quotation or last sale price
information in one or more securities for a material period that
exceeds the time thresholds for an orderly failover to backup
facilities established by mutual agreement among the Processor, the
Primary Listing Market for the affected securities, and the
Operating Committee unless the Primary Listing Market, in
consultation with the Processor and the Operating Committee,
determines that resumption of accurate data is expected in the near
future.'' See Section XI(a)(i)(M) of the CTA Plan, as amended.
    \15\ The Amendments would define ``Material SIP Latency'' as ``a
delay of quotation or last sale price information in one or more
securities between the time data is received by the Processor and
the time the Processor disseminates the data over the high speed
line or over the ``high speed line'' under the CQ Plan, which delay
the Primary Listing Market determines, in consultation with, and in
accordance with, publicly disclosed guidelines established by the
Operating Committee, to be (a) material and (b) unlikely to be
resolved in the near future.'' See Section XI(a)(i)(E) of the CTA
Plan, as amended.
    \16\ The Amendments would define ``Extraordinary Market
Activity'' as ``a disruption or malfunction of any electronic
quotation, communication, reporting, or execution system operated
by, or linked to, the Processor or a Trading Center or a member of
such Trading Center that has a severe and continuing negative
impact, on a market-wide basis, on quoting, order, or trading
activity or on the availability of market information necessary to
maintain a fair and orderly market. For purposes of this definition,
a severe and continuing negative impact on quoting, order, or
trading activity includes (i) a series of quotes, orders, or
transactions at prices substantially unrelated to the current market
for the security or securities; (ii) duplicative or erroneous
quoting, order, trade reporting, or other related message traffic
between one or more Trading Centers or their members; or (iii) the
unavailability of quoting, order, transaction information, or
regulatory messages for a sustained period.'' See Section
XI(a)(i)(A) of the CTA Plan, as amended.
    \17\ See Section XI(a)(iii)(A)(3) of the CTA Plan, as amended.
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    The Amendments would further provide that, in determining whether
to declare a Regulatory Halt, the Primary Listing Market will consider
the totality of information available concerning the severity of the
issue, its likely duration, and potential impact on Member Firms and
other market participants, and will make a good-faith determination
that the criteria to declare a Regulatory Halt have been satisfied and
that a Regulatory Halt is appropriate.\18\ The Amendments would also
provide that, the Primary Listing Market will consult, if feasible,
with the affected Trading Center(s), other Participants, or the
Processor, as applicable, regarding the scope of the issue and what
steps are being taken to address the issue, and that the Primary
Listing Market will continue to evaluate the circumstances to determine
when trading may resume in accordance with the rules of the Primary
Listing Market.\19\
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    \18\ See Section XI(a)(iii)(B) of the CTA Plan, as amended.
    \19\ See id. The Amendments would further provide that once a
Regulatory Halt has been declared, the Primary Listing Market will
continue to evaluate the circumstances to determine when trading may
resume in accordance with the rules of the Primary Listing Market.
See id.
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2. Initiating a Regulatory Halt

    The Amendments would specify procedures for initiating a Regulatory
Halt. Specifically, when initiating a Regulatory Halt, the start time
of a Regulatory Halt would be when the Primary Listing Market declares
the halt, regardless of whether an issue with communications impacts
the dissemination of the notice.\20\ The Amendments would further
provide that if the Processor is unable to disseminate notice of a
Regulatory Halt or the Primary Listing Market is not open for trading,
the Primary Listing Market will take reasonable steps to provide notice
of a Regulatory Halt, which shall include both the type and start time
of the Regulatory Halt, by dissemination through: (1) Proprietary data
feeds containing quotation and last sale price information that the
Primary Listing Market also sends to the Processor; (2) posting on a
publicly-available Participant website; or (3) system status
messages.\21\ The Amendments would further specify that a Participant
will halt trading for any security traded on its Market if the Primary
Listing Market declares a Regulatory Halt for the security.\22\
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    \20\ See Section XI(a)(iv)(A) of the CTA Plan, as amended.
    \21\ See Section XI(a)(iv)(B) of the CTA Plan, as amended. The
Amendments would further provide that, except in exigent
circumstances, the Primary Listing Market will not declare a
Regulatory Halt retroactive to a time earlier than the notice of
such halt. See Section XI(a)(iv)(C) of the CTA Plan, as amended.
    \22\ See Section XI(a)(vii) of the CTA Plan, as amended.
---------------------------------------------------------------------------

3. Resumption of Trading After a Regulatory Halt
    The Amendments would specify certain procedures for the resumption
of trading following (1) Regulatory Halts other than a SIP Halts and
(2) SIP Halts.\23\
---------------------------------------------------------------------------

    \23\ The Amendments would define ``SIP Halt'' as ``a Regulatory
Halt to trading in one or more securities that a Primary Listing
Market declares in the event of a SIP Outage or Material SIP
Latency.'' See Section XI(a)(i)(K) of the CTA Plan, as amended.
---------------------------------------------------------------------------

a. Resumption of Trading After a Regulatory Halt Other Than a SIP Halt
    With respect to the resumption of trading after a Regulatory Halt
other than a SIP Halt, the Amendments would provide that the Primary
Listing Market will declare a resumption of trading when it makes a
good-faith determination that trading may resume in a fair and orderly
manner and in accordance with its rules.\24\ The Amendments would
further provide that for a Regulatory Halt that is initiated by another
Participant that is a Primary Listing Market, a Participant may resume
trading after the Participant receives notification from the Primary
Listing Market that the Regulatory Halt has been terminated.\25\
---------------------------------------------------------------------------

    \24\ See Section XI(a)(v)(A) of the CTA Plan, as amended.
    \25\ See Section XI(a)(v)(B) of the CTA Plan, as amended.
---------------------------------------------------------------------------

b. Resumption of Trading After a SIP Halt

    With respect to the resumption of trading after a SIP Halt, the
Amendments would provide that the Primary Listing Market will determine
the SIP Halt Resume Time.\26\ The Amendments would further provide
that, in making such determination, the Primary Listing Market will
make a good-faith determination and consider the totality of
information to determine whether resuming trading would promote a fair
and orderly market, including input from the Processor, the Operating
Committee, or the operator of the system in question (as well as any
Trading Center(s) to which such system is linked), regarding
operational readiness to resume trading.\27\ The Amendments would also
provide that the Primary Listing Market retains discretion to delay the
SIP Halt Resume Time if it believes trading will not resume in a fair
and orderly manner.\28\ Also, with respect to termination of the SIP
Halt, the Amendments would provide that the Primary Listing Market will
terminate a SIP Halt with a notification that specifies a SIP Halt
Resume Time.\29\ The Amendments would further provide that the Primary
Listing Market shall provide a minimum notice of a SIP Halt Resume
Time, as specified by the rules of the Primary Listing Market, during
which period market participants may enter quotes and orders in the
affected securities.\30\ Under the Amendments, the Primary Listing
Market would be permitted to stagger the SIP Halt Resume Times for
multiple symbols in order to reopen in a fair and orderly manner.\31\
---------------------------------------------------------------------------

    \26\ See Section XI(a)(vi)(A) of the CTA Plan, as amended. The
Amendments would define ``SIP Halt Resume Time'' as ``the time that
the Primary Listing Market determines as the end of a SIP Halt.''
See Section XI(a)(i)(L) of the CTA Plan, as amended.
    \27\ See id.
    \28\ See id.
    \29\ See Section XI(a)(vi)(B) of the CTA Plan, as amended.
    \30\ See id. The Amendments would further provide that, during
regular Trading Hours, the last SIP Halt Resume Time before the end
of Regular Trading Hours shall be an amount of time as specified by
the rules of the Primary Listing Market. See id.
    \31\ See id.
---------------------------------------------------------------------------

    Finally, the Amendments would provide that during Regular Trading
Hours, if the Primary Listing Market does not open a security within
the amount of time as specified by the rules of the Primary Listing
Market after the SIP Halt Resume Time, a Participant may resume trading
in that security.\32\ Under the Amendments, a Participant may, outside
Regular Trading Hours, resume trading immediately after the SIP Halt
Resume Time.\33\
---------------------------------------------------------------------------

    \32\ See Section XI(a)(vi)(C) of the CTA Plan, as amended.
    \33\ See id.
---------------------------------------------------------------------------

B. Communications

    The Amendments address communications regarding trading halts.
Specifically, the Amendments would provide that, whenever in the
exercise of its regulatory functions the Primary Listing Market for an
Eligible Security determines it is appropriate to initiate a Regulatory
Halt, the Primary Listing

Market will notify all other Participants and the Processor of such
Regulatory Halt and will provide notice that a Regulatory Halt has been
lifted using such protocols and other emergency procedures as may be
mutually agreed to between the Operating Committee and the Primary
Listing Market.\34\ The Amendments would further provide that the
Processor shall disseminate to Participants notice of the Regulatory
Halt (as well as notice of the lifting of a Regulatory Halt) through
the high speed line or through the ``high speed line'' under the CQ
Plan, and (ii) any other means the Processor, in its sole discretion,
considers appropriate. Under the Amendments, each Participant would be
required to continuously monitor these communication protocols
established by the Operating Committee and the Processor during market
hours.\35\
---------------------------------------------------------------------------

    \34\ See Section XI(a)(viii) of the CTA Plan, as amended.
    \35\ See id. The Amendments would further provide that the
failure of a Participant to continuously monitor such communication
protocols as established by the Operating Committee and the
Processor during market hours will not prevent the Primary Listing
Market from initiating a Regulatory Halt in accordance with the
procedures specified in these Amendments. See id.
---------------------------------------------------------------------------

C. Operational Halts

    With respect to Operational Halts,\36\ the Amendments would provide
that a Participant must notify the Processor if it has concerns about
its ability to collect and transmit quotes, orders or last sale prices,
or where it has declared an Operational Halt or suspension of trading
in one or more Eligible Securities, pursuant to the procedures adopted
by the Operating Committee.\37\
---------------------------------------------------------------------------

    \36\ See supra note 9 and accompanying text.
    \37\ See Section XI(a)(ii) of the CTA Plan, as amended.
---------------------------------------------------------------------------

III. Discussion and Commission Findings

    After careful review, the Commission is approving the Amendments,
for the reasons discussed below. Section 11A of the Act authorizes the
Commission, by rule or order, to authorize or require the self-
regulatory organizations to act jointly with respect to matters as to
which they share authority under the Act in planning, developing,
operating, or regulating a facility of the national market system.\38\
Pursuant to this authority, the Commission adopted Regulation NMS.\39\
Rule 603 of Regulation NMS requires the SROs to act jointly pursuant to
NMS plans to ``disseminate consolidated information, including a
national best bid and national best offer, on quotations for and
transactions in NMS stocks.'' \40\ And Rule 608 of Regulation NMS
authorizes two or more SROs, acting jointly, to file with the
Commission a national market system plan (``NMS plan'') or a proposed
amendment to an effective NMS plan.\41\ Rule 608 further provides that
the Commission shall approve an amendment to an NMS plan if it finds
that the amendment is necessary or appropriate in the public interest,
for the protection of investors and the maintenance of fair and orderly
markets, to remove impediments to, and perfect the mechanisms of, a
national market system, or otherwise in furtherance of the purposes of
the Act.\42\
---------------------------------------------------------------------------

    \38\ See 15 U.S.C. 78k-1(a)(3)(B).
    \39\ 17 CFR 242.600-612; see also Regulation NMS, Securities
Exchange Act Release No. 51808 (June 9, 2005), 70 FR 37495, 37560
(June 29, 2005).
    \40\ 17 CFR 242.603(b).
    \41\ See 17 CFR 242.608.
    \42\ See 17 CFR 242.608(b)(2).
---------------------------------------------------------------------------

    As stated above, the Commission received one comment letter
regarding the proposed Amendments. The commenter states that the
Amendments should be approved as filed.\43\ According to the commenter,
the purpose of the Amendments is to incorporate into the Plans the same
processes for Regulatory and Operational Halts that are proposed by the
equity exchanges, including that the Primary Listing Market be vested
with the authority to determine when to initiate and end a Regulatory
Halt, consistent with its rules.\44\ The commenter states that the
Primary Listing Market would be enabled to declare a Regulatory Halt as
provided for in the Primary Listing Market's rules, if it determines
that there is a SIP Outage, Material SIP Latency, Extraordinary Market
Activity, or in the event of national, regional, or localized
disruption that necessitates a Regulatory Halt to maintain a fair and
orderly market. The commenter states that the Commission should thus
approve the Amendments because they are consistent with the Act and
Rule 608 thereunder.\45\
---------------------------------------------------------------------------

    \43\ See Letter from Elizabeth K. King, Chief Regulatory
Officer, ICE and General Counsel and Corporate Secretary, NYSE
Group, Inc., to Vanessa Countryman, Secretary, Commission, at 2
(Mar. 18, 2021) (``NYSE Letter'').
    \44\ See id.
    \45\ See id.
---------------------------------------------------------------------------

    The Commission agrees that the Amendments are consistent with the
Act and Rule 608 of Regulation NMS.\46\ The Commission believes that
the Amendments further the goals of Section 11A of the Act and of Rules
603 and 608 of Regulation NMS by establishing a clear and uniform
approach with respect to trading halts under various defined
circumstances. The Plans' provisions currently lack clarity with
respect to whether a Primary Listing Market may declare a Regulatory
Halt due to underlying problems at the SIP, as well as the standard and
process for calling a halt and resuming trading thereafter. The
Amendments--and in particular the revisions that address Regulatory
Halts in connection with SIP Outages, Material SIP Latency,
Extraordinary Market Activity, and national, regional, or localized
disruptions that necessitate a Regulatory Halt to maintain a fair and
orderly market--address this shortcoming by providing for uniform rules
governing how Participants will address, among other things, the
initiation, implementation, and communication of trading halts, as well
as the resumption of trading after a trading halt or SIP Halt, thereby
clarifying the procedures to be followed and the standards to be
applied, improving coordination and certainty among the Participants
and other market participants, and enhancing the resiliency and
integrity of market systems. Accordingly, the Commission believes that
the Amendments are in the public interest, support the protection of
investors, and help the maintenance of fair and orderly markets because
the Amendments are reasonably designed to assist market participants in
understanding the processes to be followed during circumstances
potentially warranting a regulatory halt, such as events involving the
loss, timeliness, or accuracy of information that is processed or
disseminated by the SIPs. Additionally, the Commission believes that
the Amendments are reasonably designed to enhance the resiliency of the
national market system by clearly memorializing the coordinated actions
to be taken by the Participants during such events so that trading may
resume in a fair and orderly manner.
---------------------------------------------------------------------------

    \46\ See 17 CFR 242.608.
---------------------------------------------------------------------------

    The Commission further believes that the proposed requirement for
Primary Listing Markets to make good-faith determinations \47\ in
consultation with other market participants, as may be applicable
concerning the appropriateness of declaring a regulatory halt and
resuming trading thereafter, should promote fairness and orderliness in
decision-making by the Primary Listing Markets. In particular, the
good-faith determination standard promotes fair and orderly markets and
the protection of investors because it addresses potential concerns
that

Primary Listing Markets may be subject to commercial pressures in
making decisions to call a Regulatory Halt and resuming trading
thereafter. Accordingly, the Commission believes that the good-faith-
determination standard encourages Primary Listing Markets to consider
the broader interests of the national market system with respect to
declaring trading halts and resuming trading thereafter, thereby
promoting the maintenance of fair and orderly markets and enhancing the
protection of investors.\48\
---------------------------------------------------------------------------

    \47\ See, e.g., Sections XI(a)(iii)(B); XI(a)(v)(A); and
XI(a)(vi)(A) of the CTA Plan, as amended.
    \48\ This commenter also urges the Commission to publish and
provide notice of any material changes that the Commission is
considering with respect to the Amendments. See NYSE Letter, supra
note 43, at 2. The Commission has determined to approve the
Amendments without modification.
---------------------------------------------------------------------------

    For the reasons discussed, the Commission finds that the Amendments
to the Plans, are consistent with the requirements of the Act and the
rules and regulations thereunder, and in particular, Section 11A of the
Act \49\ and Rule 608 \50\ thereunder in that the Amendments are
necessary or appropriate in the public interest, for the protection of
investors and the maintenance of fair and orderly markets, to remove
impediments to, and perfect the mechanisms of, a national market
system. Section 11A of the Act \51\ sets forth Congress' finding that
it is in the public interest and appropriate for the protection of
investors and the maintenance of fair and orderly markets to ensure the
prompt, accurate, reliable and fair collection, processing,
distribution, and publication of information with respect to quotations
for and transactions in such securities and the fairness and usefulness
of the form and content of such information. The Commission believes
that the Amendments further these goals set forth by Congress.
---------------------------------------------------------------------------

    \49\ 15 U.S.C. 78k-1.
    \50\ 17 CFR 242.608.
    \51\ 15 U.S.C. 78k-1(c)(1)(B).
---------------------------------------------------------------------------

IV. Conclusion

    It is therefore ordered, pursuant to Section 11A of the Act,\52\
and Rule 608(b)(2) thereunder,\53\ that the Amendments to the CTA and
CQ Plans (File No. SR-CTA/CQ-2021-01) are approved.
---------------------------------------------------------------------------

    \52\ 15 U.S.C. 78k-1.
    \53\ 17 CFR 242.608(b)(2).

    By the Commission.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-11686 Filed 6-2-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: September 25, 2009 (Volume 74, Number 185)]
[Notices]
[Page 48974]
[DOCID:fr25se09-85]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2009-N-0449]

Enforcement of General Tobacco Standard Special Rule for
Cigarettes

AGENCY:  Food and Drug Administration, HHS.

ACTION:  Notice.

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SUMMARY:  The Federal Food, Drug, and Cosmetic Act (the act), as
amended by the Family Smoking Prevention and Tobacco Control Act
(FSPTCA), establishes a tobacco standard special rule for cigarettes.
This special rule for cigarettes prohibits a cigarette or any of its
component parts (including the tobacco, filter, or paper) from
containing, as a constituent (including a smoke constituent) or
additive, an artificial or natural flavor (other than tobacco or
menthol) or an herb or spice, including strawberry, grape, orange,
clove, cinnamon, pineapple, vanilla, coconut, licorice, cocoa,
chocolate, cherry, or coffee, that is a characterizing flavor of the
tobacco product or tobacco smoke. The Food and Drug Administration
(FDA) is providing this notice to remind regulated industry that as of
the effective date identified in the FSPTCA, cigarettes that contain
certain characterizing flavors are considered adulterated under the
act. FDA is also providing in this notice contact information to which
individuals who observe violative products after the effective date of
the tobacco standard special rule may report their observations to FDA.

DATES:  Effective September 22, 2009.

ADDRESSES:  To report tobacco products that fail to comply with section
907(a)(1)(A) of the act after September 22, 2009, please contact the
Center for Tobacco Products, Food and Drug Administration, 9200
Corporate Blvd., Rockville, MD 20850-3229,<PHONE_NUMBER> or http://
www.fda.gov/flavoredtobacco.

FOR FURTHER INFORMATION CONTACT:  Michele Mital, Center for Tobacco
Products, Food and Drug Administration, 9200 Corporate Blvd.,
Rockville, MD 20850-3229,<PHONE_NUMBER><EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:  Smoking is the leading preventable cause of
death in the United States. An important way to reduce the death and
disease caused by smoking is to prevent children and adolescents from
starting to smoke. Congress has stated that flavors make cigarettes
more appealing to youth and often result in exposure to additional
carcinogens and other toxic constituents. The removal from the market
of cigarettes that contain certain characterizing flavors is an
important step in FDA's efforts to reduce the burden of illness and
death caused by tobacco products.
    The FSPTCA provides FDA with regulatory authority over the
manufacture, marketing, and distribution of tobacco products.
Specifically, section 907(a)(1)(A) of the act, as amended by the
FSPTCA, establishes a tobacco product standard special rule for
cigarettes that states in part: ``* * * a cigarette or any of its
component parts (including the tobacco, filter, or paper) shall not
contain, as a constituent (including a smoke constituent) or additive,
an artificial or natural flavor (other than tobacco or menthol) or an
herb or spice, including strawberry, grape, orange, clove, cinnamon,
pineapple, vanilla, coconut, licorice, cocoa, chocolate, cherry, or
coffee, that is a characterizing flavor of the tobacco product or
tobacco smoke.''
    This standard applies to all tobacco products that meet the
definition of a ``cigarette'' in section 900(3) of the act, as amended,
even if they are not labeled as ``cigarettes'' or are labeled as cigars
or as some other product.
    As of the September 22, 2009, effective date, cigarettes and their
component parts that fail to comply with the special rule established
under section 907 of the act, as amended, are deemed adulterated under
section 902 of the act, as amended. Under the act, adulterated products
sold or held for sale in the United States may be subject to seizure
under section 304 of the act (21 U.S.C. 334). In addition,
manufacturers, distributors, and retailers may be subject to injunction
actions, civil money penalties, and/or criminal prosecution for
violating the requirements of the act (sections 301, 302, and 303 of
the act (21 U.S.C. 331, 332, and 333, respectively)). FDA intends to
use the full range of enforcement tools within the agency's authority
to ensure compliance with the new requirement.
    FDA encourages individuals who observe violative products after
September 22, 2009, to report their observations to FDA. This
collection of information was approved under OMB control number 0910-
0647 and expires on March 31, 2010. Individuals may report products in
violation of this standard to FDA through the contact information
provided in the ADDRESSES section of this document.

    Dated: September 21, 2009.
David Horowitz,
Assistant Commissioner for Policy.
[FR Doc. E9-23144 Filed 9-22-09; 11:15 am]

BILLING CODE 4160-01-S


[Federal Register: July 25, 2007 (Volume 72, Number 142)]
[Notices]
[Page 40915-40917]
[DOCID:fr25jy07-106]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-56092; File No. SR-NASDAQ-2007-042]

Self-Regulatory Organizations; The NASDAQ Stock Market LLC;
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To
Modify the Entry and Annual Fees Paid by a Company That Lists on Nasdaq
Upon Emerging from Bankruptcy

July 18, 2007.
    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 April 13, 2007, The NASDAQ Stock Market LLC (``Nasdaq'' 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 substantially prepared by the
Exchange. The Exchange filed Amendment No. 1 to the proposed rule
change on June 28, 2007. The Commission is publishing this notice to
solicit comment on the proposed rule change, as amended, from
interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    Nasdaq proposes to modify the entry and annual fees paid by a
company that lists on Nasdaq upon emerging from bankruptcy. Nasdaq will
implement the proposed rule as of the date it filed this proposed
change.

    The text of the proposed rule change is set forth below. Proposed
new language is in italics.
* * * * *
IM-4500-6. Waiver of Fees for Companies Emerging from Bankruptcy
    (a) Entry Fees. Any company that lists on Nasdaq upon emerging from
bankruptcy is not required to pay the entry fee (including the
application fee) set forth in Rules 4510(a) and 4520(a).
    (b) Annual Fees.
    (1) The annual fee for any company that lists on the Nasdaq Global
Market (including the Nasdaq Global Select Market) upon emerging from
bankruptcy will be the minimum annual listing fee specified in Rule
4510(c)(1) for the first (pro rated) year that such a company is listed
and for each of the subsequent two full years.
    (2) Any company listing on Nasdaq upon emerging from bankruptcy
that relists during the same year that it had previously paid an annual
fee will not be subject to a second annual fee in that year.
* * * * *

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

    In its filing with the Commission, Nasdaq 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
    Nasdaq proposes to modify the fees charged to companies that list
upon emerging from bankruptcy. Specifically, Nasdaq proposes to waive
the entry fee (which includes a $5,000 non-refundable application fee)
that such companies would otherwise be required to pay. In addition,
for companies listing on the NASDAQ Global Market (including the NASDAQ
Global Select Market), Nasdaq proposes to charge the company the
minimum annual listing fee applicable to companies on that market
(currently $30,000) for the first (prorated) year that such a company
is listed \3\ and for each of the subsequent two full calendar
years.\4\ Finally, Nasdaq proposes that a company that emerges from
bankruptcy and relists during the same year that it has previously paid
an annual fee will not be required to pay a second annual fee for that
year.
---------------------------------------------------------------------------

    \3\ Nasdaq prorates the annual fee for the year a company lists,
based on the month in which the company lists.
    \4\ All domestic companies on the NASDAQ Capital Market pay the
same annual fee.
---------------------------------------------------------------------------

    Nasdaq believes that the proposed fees are justified by the unique
circumstances faced by companies emerging from bankruptcy. These
companies typically are not raising any new capital at the time of
listing, so the payment of initial listing fees is more burdensome than
for companies that are listing upon an initial public offering. Also,
because of the desire in bankruptcy proceedings to ensure that
creditors are paid as much as possible, these companies are much more
sensitive to both the initial and continued costs associated with
listing. As such, Nasdaq believes the proposed fees are reasonable and
equitably allocated.
    The proposed rule change will not affect Nasdaq's commitment of
resources to its regulatory oversight of the listing process or its
other regulatory programs. Specifically, Nasdaq historically has not
listed a large number of companies emerging from bankruptcy in any
given year.\5\ Further, Nasdaq will still conduct a complete review of
these companies for compliance with Nasdaq listing standards in the
same manner as any other company applying for listing on Nasdaq. The
company must successfully complete that review process and demonstrate
compliance with the initial listing requirements prior to being
approved for listing.
---------------------------------------------------------------------------

    \5\ Nasdaq listed four companies upon their emergence from
bankruptcy from January 1, 2006, through March 31, 2007.
---------------------------------------------------------------------------

2. Statutory Basis
    Nasdaq believes that the proposed rule change is consistent with
the provisions of Section 6 of the Act \6\ in general, and with Section
6(b)(4) of the Act \7\ in particular, which requires that Nasdaq's
rules provide for the equitable allocation of reasonable dues, fees,
and other charges among its issuers. Nasdaq believes that the proposed
waivers are equitable and reasonable in light of the unique
circumstances faced by companies emerging from bankruptcy.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78f.
    \7\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

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

    Nasdaq does not believe that the proposed rule change will result
in 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 Exchange consents, the Commission will:
    (A) By order approve the 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-Nasdaq-2007-042 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-Nasdaq-2007-042. 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 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-Nasdaq-2007-042 and should be submitted on or before
August 15, 2007.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\8\
---------------------------------------------------------------------------

    \8\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7-14315 Filed 7-24-07; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 85, Number 242 (Wednesday, December 16, 2020)]
[Notices]
[Pages 81553-81554]
[FR Doc No: 2020-27650]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2020-0028]

Qualification of Drivers; Exemption Applications; Hearing

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

ACTION: Notice of applications for exemption; request for comments.

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

SUMMARY: FMCSA announces receipt of applications from 20 individuals
for an exemption from the hearing requirement in the Federal Motor
Carrier Safety Regulations (FMCSRs) to operate a commercial motor
vehicle (CMV) in interstate commerce. If granted, the exemptions would
enable these hard of hearing and deaf individuals to operate CMVs in
interstate commerce.

DATES: Comments must be received on or before January 15, 2021.

ADDRESSES: You may submit comments identified by the Federal Docket
Management System (FDMS) Docket No. FMCSA-2020-0028 using any of the
following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov/docket?D=FMCSA-2020-0028. Follow the online
instructions for submitting comments.
     Mail: Dockets Operations; U.S. Department of
Transportation, 1200 New Jersey Avenue SE, West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery: West Building Ground Floor, Room W12-140,
1200 New Jersey Avenue SE, Washington, DC, between 9 a.m. and 5 p.m.,
ET, Monday through Friday, except Federal Holidays.
     Fax:<PHONE_NUMBER>.
    To avoid duplication, please use only one of these four methods.
See the ``Public Participation'' portion of the SUPPLEMENTARY
INFORMATION section for instructions on submitting comments.

FOR FURTHER INFORMATION CONTACT: Ms. Christine A. Hydock, Chief,
Medical Programs Division,<PHONE_NUMBER><EMAIL_ADDRESS>FMCSA,
Department of Transportation, 1200 New Jersey Avenue SE, Room W64-224,
Washington, DC 20590-0001. Office hours are 8:30 a.m. to 5 p.m., ET,
Monday through Friday, except Federal holidays. If you have questions
regarding viewing or submitting material to the docket, contact Dockets
Operations,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Public Participation

A. Submitting Comments

    If you submit a comment, please include the docket number for this
notice (Docket No. FMCSA-2020-0028), indicate the specific section of
this document to which each comment applies, and provide a reason for
each suggestion or recommendation. You may submit your comments and
material online or by fax, mail, or hand delivery, but please use only
one of these means. FMCSA recommends that you include your name and a
mailing address, an email address, or a phone number in the body of
your document so that FMCSA can contact you if there are questions
regarding your submission.
    To submit your comment online, go to http://www.regulations.gov/docket?D=FMCSA-2020-0028. Click on the ``Comment Now!'' button and type
your comment into the text box on the following screen. Choose whether
you are submitting your comment as an individual or on behalf of a
third party and then submit.
    If you submit your comments by mail or hand delivery, submit them
in an unbound format, no larger than 8\1/2\ by 11 inches, suitable for
copying and electronic filing. If you submit comments by mail and would
like to know that they reached the facility, please enclose a stamped,
self-addressed postcard or envelope.
    FMCSA will consider all comments and material received during the
comment period.

B. Viewing Documents and Comments

    To view comments, as well as any documents mentioned in this notice
as being available in the docket, go to http://www.regulations.gov/docket?D=FMCSA-2020-0028 and choose the document to review. If you do
not have access to the internet, you may view the docket online by
visiting Dockets Operations in Room W12-140 on the ground floor of the
DOT West Building, 1200 New Jersey Avenue SE, Washington, DC 20590,
between 9 a.m. and 5 p.m., ET, Monday through Friday, except Federal
holidays. To be sure someone is there to help you, please call (202)
366-9317 or<PHONE_NUMBER> before visiting Dockets Operations.

C. Privacy Act

    In accordance with 5 U.S.C. 553(c), DOT solicits comments from the
public to better inform its rulemaking process. DOT posts these
comments, without edit, including any personal information the
commenter provides, to www.regulations.gov, as described in the system
of records notice (DOT/ALL-14 FDMS), which can be reviewed at
www.transportation.gov/privacy.

II. Background

    Under 49 U.S.C. 31136(e) and 31315(b), FMCSA may grant an exemption
from the FMCSRs for no longer than a 5-year period if it finds such
exemption would likely achieve a level of safety that is equivalent to,
or greater than, the level that would be achieved absent such
exemption. The statute also allows the Agency to renew exemptions at
the end of the 5-year period. FMCSA grants medical exemptions from the
FMCSRs for a 2-year period to align with the maximum duration of a
driver's medical certification.
    The 20 individuals listed in this notice have requested an
exemption from the hearing requirement in 49 CFR 391.41(b)(11).
Accordingly, the Agency will evaluate the qualifications of each
applicant to determine whether granting the exemption will achieve the
required level of safety mandated by statute.
    The physical qualification standard for drivers regarding hearing
found in Sec.  391.41(b)(11) states that a person is physically
qualified to drive a CMV if that person first perceives a forced
whispered voice in the better ear at not

less than 5 feet with or without the use of a hearing aid or, if tested
by use of an audiometric device, does not have an average hearing loss
in the better ear greater than 40 decibels at 500 Hz, 1,000 Hz, and
2,000 Hz with or without a hearing aid when the audiometric device is
calibrated to American National Standard (formerly ASA Standard) Z24.5-
1951.
    This standard was adopted in 1970 and was revised in 1971 to allow
drivers to be qualified under this standard while wearing a hearing
aid, 35 FR 6458, 6463 (April 22, 1970) and 36 FR 12857 (July 3, 1971).
    On February 1, 2013, FMCSA announced in a Notice of Final
Disposition titled, ``Qualification of Drivers; Application for
Exemptions; National Association of the Deaf,'' (78 FR 7479), its
decision to grant requests from 40 individuals for exemptions from the
Agency's physical qualification standard concerning hearing for
interstate CMV drivers. Since that time the Agency has published
additional notices granting requests from hard of hearing and deaf
individuals for exemptions from the Agency's physical qualification
standard concerning hearing for interstate CMV drivers.

III. Qualifications of Applicants

Hassan Abdi

    Mr. Abdi, 30, holds a class A CPL in Minnesota.

Matthew Acken

    Mr. Acken, 35, holds a class D license in Utah.

Ryan Bailey

    Mr. Bailey, 28, holds a class E license in Florida.

Gage Burchett

    Mr. Burchett, 28, holds a class D license in Virginia.

Andrew Cho

    Mr. Cho, 26, holds a class D license in New York.

Jeffrey Daniel

    Mr. Daniel, 52, holds a class C license in Nevada.

Tyler Davis

    Mr. Davis, 25, holds a class C license in Texas.

Gabriel Despanie

    Mr. Despanie, 61, holds a class A license in Louisiana.

Zachrey Gill

    Mr. Gill, 23, holds a class E license in Michigan.

Nicholas Grabanski

    Mr. Grabanski, 27, holds a class C license in Texas.

Michael Hartman

    Mr. Hartman, 56, holds a class D license in Oklahoma.

Andrew Hatch

    Mr. Hatch, 41, holds a class D license in Iowa.

Joshua Johnson

    Mr. Johnson, 28, holds a class R license in Colorado.

William Lavender

    Mr. Lavender, 64, holds a class A license in Ohio.

MarcKenzie Loriston

    Mr. Loriston, 31, holds a class E license in Florida.

Ronald Pridgen

    Mr. Pridgen, 57, holds a class C license in North Carolina.

Zachary Reagan

    Mr. Reagan, 40, holds a class C license in Texas.

Michael L. Smith

    Mr. Smith, 66, holds a class A license in North Carolina.

Carlos Sotelo Sanchez

    Mr. Sanchez, 26, holds a class C license in California.

Matthew Spainhoward

    Mr. Spainhoward, 34, holds a class D license in Kentucky.

IV. Request for Comments

    In accordance with 49 U.S.C. 31136(e) and 31315(b), FMCSA requests
public comment from all interested persons on the exemption petitions
described in this notice. We will consider all comments received before
the close of business on the closing date indicated under the DATES
section of the notice.

Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2020-27650 Filed 12-15-20; 8:45 am]
BILLING CODE 4910-EX-P


[Federal Register Volume 85, Number 76 (Monday, April 20, 2020)]
[Notices]
[Page 21873]
[FR Doc No: 2020-08218]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-4491-DR; Docket ID FEMA-2020-0001]

Maryland; Major Disaster and Related Determinations

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This is a notice of the Presidential declaration of a major
disaster for the State of Maryland (FEMA-4491-DR), dated March 26,
2020, and related determinations.

DATES: The declaration was issued March 26, 2020.

FOR FURTHER INFORMATION CONTACT: Dean Webster, Office of Response and
Recovery, Federal Emergency Management Agency, 500 C Street SW,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Notice is hereby given that, in a letter
dated March 26, 2020, the President issued a major disaster declaration
under the authority of the Robert T. Stafford Disaster Relief and
Emergency Assistance Act, 42 U.S.C. 5121 et seq. (the ``Stafford
Act''), as follows:

    I have determined that the emergency conditions in the State of
Maryland resulting from the Coronavirus Disease 2019 (COVID-19)
pandemic beginning on January 20, 2020, and continuing, are of
sufficient severity and magnitude to warrant a major disaster
declaration under the Robert T. Stafford Disaster Relief and
Emergency Assistance Act, 42 U.S.C. 5121 et seq. (the ``Stafford
Act''). Therefore, I declare that such a major disaster exists in
the State of Maryland.
    In order to provide Federal assistance, you are hereby
authorized to allocate from funds available for these purposes such
amounts as you find necessary for Federal disaster assistance and
administrative expenses.
    You are authorized to provide assistance for emergency
protective measures (Category B), including direct Federal
assistance, under the Public Assistance program throughout the
State. Consistent with the requirement that Federal assistance be
supplemental, any Federal funds provided under the Stafford Act for
Public Assistance will be limited to 75 percent of the total
eligible costs.
    Further, you are authorized to make changes to this declaration
for the approved assistance to the extent allowable under the
Stafford Act.

    The Federal Emergency Management Agency (FEMA) hereby gives notice
that pursuant to the authority vested in the Administrator, under
Executive Order 12148, as amended, MaryAnn Tierney, of FEMA is
appointed to act as the Federal Coordinating Officer for this major
disaster.
    The following areas of the State of Maryland have been designated
as adversely affected by this major disaster:

    Emergency protective measures (Category B) not authorized under
other Federal statutes, including direct Federal assistance, under
the Public Assistance program at 75 percent federal funding for all
areas in the State of Maryland.

(The following Catalog of Federal Domestic Assistance Numbers (CFDA)
are to be used for reporting and drawing funds: 97.030, Community
Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling;
97.033, Disaster Legal Services; 97.034, Disaster Unemployment
Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048,
Disaster Housing Assistance to Individuals and Households In
Presidentially Declared Disaster Areas; 97.049, Presidentially
Declared Disaster Assistance--Disaster Housing Operations for
Individuals and Households; 97.050, Presidentially Declared Disaster
Assistance to Individuals and Households--Other Needs; 97.036,
Disaster Grants--Public Assistance (Presidentially Declared
Disasters); 97.039, Hazard Mitigation Grant.)

Pete Gaynor,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2020-08218 Filed 4-17-20; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register Volume 83, Number 47 (Friday, March 9, 2018)]
[Notices]
[Pages 10542-10543]
[FR Doc No: 2018-04787]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-82809; File No. SR-NYSEAMER-2018-06]

Self-Regulatory Organizations; NYSE American LLC; Notice of
Filing and Immediate Effectiveness of Proposed Change To Modify the
NYSE American Options Fee Schedule

March 6, 2018.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on February 23, 2018, NYSE American LLC (the ``Exchange''
or ``NYSE American'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as described in Items I,
II, and III below, which Items have been prepared by the self-
regulatory organization. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 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 modify the NYSE American Options Fee
Schedule (``Fee Schedule''). The Exchange proposes to implement the fee
change effective March 1, 2018. The proposed change is available on the
Exchange's website at www.nyse.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 self-regulatory organization
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 those 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 purpose of this filing is to modify the Fee Schedule, effective
March 1, 2018. Specifically, the Exchange proposes to modify the
Messages to Contracts Traded Ratio Fees by modifying the number of
messages permitted by an ATP holder before excessive messages are
charged.
    The Exchange proposes to modify the calculation basis for the
Messages to Contracts Traded Ratio Fees (``Messages Fee''), which are
assessed as part of the Monthly Excessive Bandwidth Utilization
Fees.\4\ Currently, the Exchange charges $0.005 per 1,000 messages
(including orders or quotes) in excess of 1.5 billion messages in a
calendar month if the ATP Holder does not execute at least 1 contract
for every 1,500-5,000 messages entered, as determined by the
Exchange.\5\ The Exchange proposes to modify the threshold and to
charge for messages in excess of 3 billion messages per calendar month.
---------------------------------------------------------------------------

    \4\ See Fee Schedule, Section II (Monthly Excessive Bandwidth
Utilization Fees) (``EBUF) (describing both the Order to Trade Ratio
Fee (Section II.A) and the Messages to Contracts Traded Ratio Fee
(Section II.B), which comprises the EBUF, and noting that if an ATP
Holder is liable for either or both fees in a given month, that firm
would only be charged the greater of the two fees). The Exchange is
not proposing to modify the Order to Trade Ratio Fees.
    \5\ Currently, the Exchange has set the ratio at 1 contract for
every 5,000 messages.
---------------------------------------------------------------------------

    During the period of recent volatility and activity, the Exchange
noted a significantly higher number of messages generated without a
proportional amount of executed volume, especially in less active-
option issues. Concurrently, the Exchange saw no degradation in system
performance because of prudent upgrades and expansion of the trading
system in the past year. Thus, the Exchange believes that the proposal
to increase the threshold to incur the monthly Messages Fee would
continue to encourage market participants to be rational and efficient
in the use of the Exchange's system capacity. The Exchange believes
that the increased threshold should also reduce the possibility of
charging ATP Holders a Messages Fee for messages designed to help
maintain accurate and liquid markets with more narrow spreads.

2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\6\ in general, and furthers the
objectives of Sections 6(b)(4) and (5) of the Act,\7\ in particular,
because it provides for the equitable allocation of reasonable dues,
fees, and other charges among its members, issuers and other persons
using its facilities and does not unfairly discriminate between
customers, issuers, brokers or dealers.
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    \6\ 15 U.S.C. 78f(b).
    \7\ 15 U.S.C. 78f(b)(4) and (5).
---------------------------------------------------------------------------

    The Exchange believes that the proposed modification to the
Messages Fees is reasonable, equitable, and not unfairly discriminatory
because it should still encourage market participants to be rational
and efficient in the use of the Exchange's system capacity, which
benefits all market participants. The proposed calculation basis is
reasonable because it would apply to all market participants that are
subject to the Messages Fee.

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

    In accordance with Section 6(b)(8) of the Act,\8\ the Exchange does
not believe that the proposed rule change would impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Act. The Exchange believes the proposed changes to the
Messages Fees would not place an unfair burden on competition as it
would continue to encourage efficient use of Exchange bandwidth and
would apply to all market participants that are subject to the Messages
Fee.
---------------------------------------------------------------------------

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

    To the extent that these purposes are achieved, the Exchange
believes that the proposed changes would enhance the quality of the
Exchange's markets and increase the volume of orders directed to the
Exchange. In turn, all the Exchange's market participants would benefit
from the improved market liquidity. If the proposed changes make the
Exchange a more attractive marketplace for market participants at other
exchanges, such market participants are welcome to become ATP Holders.
    The Exchange notes that it operates in a highly competitive market
in which market participants can readily favor competing venues. In
such an environment, the Exchange must continually review, and consider
adjusting, its fees and credits to remain competitive with other
exchanges. For the reasons described above, the Exchange believes that
the proposed rule change reflects this competitive environment.

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

    The foregoing rule change is effective upon filing pursuant to
Section 19(b)(3)(A) \9\ of the Act and subparagraph (f)(2) of Rule 19b-
4 \10\ thereunder, because it establishes a due, fee, or other charge
imposed by the Exchange.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

    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) \11\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \11\ 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 protected]. Please include
File Number SR-NYSEAMER-2018-06 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEAMER-2018-06. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSEAMER-2018-06 and should be submitted
on or before March 30, 2018.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
Eduardo A. Aleman,
Assistant Secretary.
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    \12\ 17 CFR 200.30-3(a)(12).
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[FR Doc. 2018-04787 Filed 3-8-18; 8:45 am]
 BILLING CODE 8011-01-P