[Federal Register Volume 85, Number 128 (Thursday, July 2, 2020)]
[Notices]
[Pages 39943-39945]
[FR Doc No: 2020-14233]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-89166; File No. SR-PEARL-2020-07]

Self-Regulatory Organizations; MIAX PEARL, LLC.; Notice of Filing
and Order Granting Accelerated Approval of a Proposed Rule Change, As
Modified by Amendment No. 1, To Add the Consolidated Audit Trail
Industry Member Compliance Rules to Exchange Rule 1014, Imposition of
Fines for Minor Rule Violations

June 26, 2020.
    On June 18, 2020, MIAX PEARL, LLC (``MIAX PEARL'' or the
``Exchange'') filed with the Securities and Exchange Commission (the
``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ a
proposed rule change to add the Consolidated Audit Trail Industry
Member Compliance Rules to Exchange Rule 1014. On June 23, 2020, the
Exchange filed Amendment No. 1 to the proposed rule change, which
partially amended the proposed rule change. The proposed rule change,
as modified by Amendment No. 1, is described in Items I and II 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, as modified by Amendment No. 1, from interested
persons, and is approving the proposed rule change, as modified by
Amendment No. 1, on an accelerated basis.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. The Exchange's Description of the Proposed Rule Change, as Modified
by Amendment No. 1

    The Exchange is filing a proposal to add the Consolidated Audit
Trail (``CAT'') industry member compliance rules to the list of minor
rule violations in Rule 1014.
    The text of the proposed rule change is available on the Exchange's
website at http://www.miaxoptions.com/rule-filings/pearl at MIAX
PEARL's principal office, 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 Exchange proposes to add its CAT industry member compliance
rules (the ``CAT Compliance Rules'') to the list of minor rule
violations in Rule 1014. This proposal is based upon the Financial
Industry Regulatory Authority, Inc. (``FINRA'') filing to amend FINRA
Rule 9217 in order to add FINRA's corresponding CAT Compliance Rules to
FINRA's list of rules that are eligible for minor rule violation plan
treatment.\3\ This proposal is also based upon the New York Stock
Exchange, Inc. (``NYSE'') filing to amend NYSE Rule 9217 in order to
add NYSE's corresponding CAT Compliance Rules to NYSE's list of rules
that are eligible for minor rule violation plan treatment.\4\
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    \3\ See Securities Exchange Act Release Nos. 88870 (May 14,
2020), 85 FR 30768 (May 20, 2020) (SR-FINRA-2020-013).
    \4\ See SR-NYSE-2020-51.
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Proposed Rule Change
    The Exchange recently adopted the CAT Compliance Rules under
Chapter XVII in order to implement the National Market System Plan
Governing the Consolidated Audit Trail (the ``CAT NMS Plan'' or
``Plan'').\5\ The CAT NMS Plan was filed by the Plan Participants to
comply with Rule 613 of Regulation NMS under the Exchange Act,\6\ and
each Plan Participant accordingly has adopted the same compliance rules
in the Exchange's Chapter XVII. The common compliance rules adopted by
each Plan Participant are designed to require industry members to
comply with the provisions of the CAT NMS Plan, which broadly calls for
industry members to record and report timely and accurately customer,
order, and trade information relating to activity in NMS Securities and
OTC Equity Securities.
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    \5\ See Securities Exchange Act Release No. 80256 (March 15,
2017), 82 FR 14526 (March 21, 2017) (SR-PEARL-2017-04).
    \6\ 17 CFR 242.613.
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    Rule 1014 sets forth the list of rules under which a member may be
subject to a fine. Rule 1014 permits the Exchange to impose a fine of
up to $5,000 on any member or a person associated with or employed by a
member for a minor violation of an eligible rule. The Exchange proposes
to amend Rule 1014 to add the CAT Compliance Rules under Chapter XVII
to the list of rules eligible for disposition pursuant to a minor fine
under Rule 1014.\7\
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    \7\ FINRA's maximum fine for minor rule violations under FINRA
Rule 9216(b) is $2,500. The Exchange will apply an identical maximum
fine amount for eligible violations of Chapter XVII to achieve
consistency with FINRA and also to amend its minor rule violation
plan (``MRVP'') to include such fines. Like FINRA, the Exchange
would be able to pursue a fine greater than $2,500 for violations of
Chapter XVII in a regular disciplinary proceeding or Letter of
Consent under Rule 1003 as appropriate. Any fine imposed in excess
of $2,500 or not otherwise covered by Rule 19d-1(c)(2) of the Act
would be subject to prompt notice to the Commission pursuant to Rule
19d-1 under the Act. As noted below, in assessing the
appropriateness of a minor rule fine with respect to CAT Compliance
Rules, the Exchange will be guided by the same factors that FINRA
utilizes. See text accompanying notes 9-10, infra.
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    The Exchange is coordinating with FINRA and other Plan Participants
to promote harmonized and consistent enforcement of all the Plan
Participants' CAT Compliance Rules. The Commission recently approved a
Rule 17d-2 Plan under which the regulation of CAT Compliance Rules will
be allocated among Plan Participants to reduce regulatory duplication
for industry members that are members of more than one Participant
(``common members'').\8\ Under the Rule 17d-2 Plan, the regulation of
CAT Compliance Rules with respect to common members that are members of
FINRA is allocated to FINRA. Similarly, under the Rule 17d-2 Plan,
responsibility for common members of multiple other Plan Participants
and not a member of FINRA will be allocated among those other Plan
Participants, including to the Exchange. For those non-common members
who are allocated to the Exchange pursuant to the Rule 17d-2 Plan, the
Exchange and FINRA entered into a Regulatory Services Agreement
(``RSA'') pursuant to which FINRA will conduct surveillance,
investigation, examination, and enforcement activity in connection with
the CAT Compliance Rules on the Exchange's behalf. We expect that the
other exchanges would be entering into a similar RSA.
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    \8\ See Securities Exchange Act Release No. 88366 (March 12,
2020), 85 FR 15238 (March 17, 2020) (File No. 4-618).
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    In order to achieve consistency with FINRA and the other Plan
Participants, the Exchange proposes to adopt fines up to $2,500 in
connection with minor rule fines for violations of the CAT Compliance
Rules under Chapter XVII

under Rule 1014 and the Exchange's MRVP.
    FINRA, in connection with its proposed amendment to FINRA Rule 9217
to make FINRA's CAT Compliance Rules MRVP eligible, has represented
that it will apply the minor fines for CAT Compliance Rules in the same
manner that FINRA has for its similar existing audit trail-related
rules.\9\ Accordingly, in order to promote regulatory consistency, the
Exchange plans to do the same. Specifically, application of a minor
rule fine with respect to CAT Compliance Rules will be guided by the
same factors that FINRA referenced in its filing. However, more formal
disciplinary proceedings may be warranted instead of minor rule
dispositions in certain circumstances such as where violations prevent
regulatory users of the CAT from performing their regulatory functions.
Where minor rule dispositions are appropriate, the following factors
help guide the determination of fine amounts:
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    \9\ See SR-FINRA-2020-013; see also FINRA Notice to Members 04-
19 (March 2004) (providing specific factors used to inform
dispositions for violations of OATS reporting rules).
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     Total number of reports that are not submitted or
submitted late;
     The timeframe over which the violations occur;
     Whether violations are batched;
     Whether the violations are the result of the actions of
one individual or the result of faulty systems or procedures;
     Whether the firm has taken remedial measures to correct
the violations;
     Prior minor rule violations within the past 24 months;
     Collateral effects that the failure has on customers; and
     Collateral effects that the failure has on the Exchange's
ability to perform its regulatory function.\10\
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    \10\ See id.
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    Upon effectiveness of this rule change, the Exchange will publish a
regulatory bulletin notifying its member organizations of the rule
change and the specific factors that will be considered in connection
with assessing minor rule fines described above.
    For the foregoing reasons, the Exchange believes that the proposed
rule change will result in a coordinated, harmonized approach to CAT
compliance rule enforcement across Plan Participants that will be
consistent with the approach FINRA has taken with the CAT rules.
2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the
Act,\11\ in general, and furthers the objectives of Section
6(b)(5),\12\ in particular, 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, 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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    \11\ 15 U.S.C. 78f(b).
    \12\ 15 U.S.C. 78f(b)(5).
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    Minor rule fines provide a meaningful sanction for minor or
technical violations of rules when the conduct at issue does not
warrant stronger, immediately reportable disciplinary sanctions. The
inclusion of a rule in the Exchange's MRVP does not minimize the
importance of compliance with the rule, nor does it preclude the
Exchange from choosing to pursue violations of eligible rules through a
Letter of Consent if the nature of the violations or prior disciplinary
history warrants more significant sanctions. Rather, the Exchange
believes that the proposed rule change will strengthen the Exchange's
ability to carry out its oversight and enforcement responsibilities in
cases where full disciplinary proceedings are unwarranted in view of
the minor nature of the particular violation. Rather, the option to
impose a minor rule sanction gives the Exchange additional flexibility
to administer its enforcement program in the most effective and
efficient manner while still fully meeting the Exchange's remedial
objectives in addressing violative conduct. Specifically, the proposed
rule change is designed to prevent fraudulent and manipulative acts and
practices because it will provide the Exchange the ability to issue a
minor rule fine for violations of the CAT Compliance Rules under
Chapter XVII where a more formal disciplinary action may not be
warranted or appropriate consistent with the approach of other Plan
Participants for the same conduct.
    In connection with the fine level specified in the proposed rule
change, adding language that minor rule fines for violations of the CAT
Compliance Rules under Chapter XVII shall not exceed $2,500 would
further the goal of transparency and add clarity to the Exchange's
rules. Adopting the same cap as FINRA for minor rule fines in
connection with the CAT Compliance Rules would also promote regulatory
consistency across self-regulatory organizations.
    The Exchange further believes that the proposed amendments to Rule
1014 are consistent with Section 6(b)(6) of the Act,\13\ which provides
that members and persons associated with members shall be appropriately
disciplined for violation of the provisions of the rules of the
exchange, by expulsion, suspension, limitation of activities,
functions, and operations, fine, censure, being suspended or barred
from being associated with a member, or any other fitting sanction. As
noted, the proposed rule change would provide the Exchange ability to
sanction minor or technical violations of Chapter XVII pursuant to the
Exchange's rules.
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    \13\ 15 U.S.C. 78f(b)(6).
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    Finally, the Exchange also believes that the proposed changes are
designed to provide a fair procedure for the disciplining of members
and persons associated with members, consistent with Sections 6(b)(7)
and 6(d) of the Act.\14\ Rule 1014 does not preclude a member or a
person associated with or employed by a member from contesting an
alleged violation and receiving a hearing on the matter with the same
procedural rights through a litigated disciplinary proceeding.
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    \14\ 15 U.S.C. 78f(b)(7) and 78f(d).
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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. The proposed rule change is
not intended to address competitive issues but rather is concerned
solely with making the CAT Compliance Rules under Chapter XVII eligible
for a minor rule fine disposition, thereby strengthening the Exchange's
ability to carry out its oversight and enforcement functions and deter
potential violative conduct.

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

    Written comments were neither solicited nor received.

III. Solicitation of Comments on the Proposed Rule Change, as Modified
by Amendment No. 1

    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-PEARL-2020-07 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-PEARL-2020-07. 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-PEARL-2020-07 and should be submitted on
or before July 23, 2020.

IV. Commission's Findings and Order Granting Accelerated Approval of
Proposed Rule Change, as Modified by Amendment No. 1 \15\
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    \15\ In Amendment No. 1, the Exchange revised the Exhibit 5 to
reflect that the proposed text adding the Exchange's Consolidated
Audit Trail industry member compliance rules under Chapter XVII to
the list of minor rule violations would be included under paragraph
(14) to Exchange Rule 1014, rather than paragraph (15). Further, the
revised Exhibit 5 reflects that no changes are proposed to be made
to paragraphs (1) through (13) of Exchange Rule 1014.
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    The Commission finds that the proposed rule change, as modified by
Amendment No. 1, is consistent with the requirements of the Act and the
rules and regulations thereunder applicable to a national securities
exchange.\16\ In particular, the Commission finds that the proposed
rule change, as modified by Amendment No. 1, is consistent with Section
6(b)(5) of the Act,\17\ which requires that the rules of an exchange be
designed to promote just and equitable principles of trade, to remove
impediments and to perfect the mechanism of a free and open market and
a national market system, and, in general, to protect investors and the
public interest. The Commission also believes that the proposal, as
modified by Amendment No. 1, is consistent with Sections 6(b)(1) and
6(b)(6) of the Act \18\ which require that the rules of an exchange
enforce compliance with, and provide appropriate discipline for,
violations of Commission and Exchange rules. Finally, the Commission
finds that the proposal, as modified by Amendment No.1, is consistent
with the public interest, the protection of investors, or otherwise in
furtherance of the purposes of the Act, as required by Rule 19d-1(c)(2)
under the Act,\19\ which governs minor rule violation plans.
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    \16\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
    \17\ 15 U.S.C. 78f(b)(5).
    \18\ 15 U.S.C. 78f(b)(1) and 78f(b)(6).
    \19\ 17 CFR 240.19d-1(c)(2).
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    As stated above, the Exchange proposes to add the CAT Compliance
Rules to the list of minor rule violations in Rule 1014 to be
consistent with the approach FINRA has taken for minor violations of
its corresponding CAT Compliance Rules.\20\ The Commission has already
approved FINRA's treatment of CAT Compliance Rules violations when it
approved the addition of CAT Compliance Rules to FINRA's MRVP.\21\ As
noted in that order, and similarly herein, the Commission believes that
Exchange's treatment of CAT Compliance Rules violations as part of its
MRVP provides a reasonable means of addressing violations that do not
rise to the level of requiring formal disciplinary proceedings, while
providing greater flexibility in handling certain violations. However,
the Commission expects that, as with FINRA, the Exchange will continue
to conduct surveillance with due diligence and make determinations
based on its findings, on a case-by-case basis, regarding whether a
sanction under the rule is appropriate, or whether a violation requires
formal disciplinary action. Accordingly, the Commission believes the
proposal, as modified by Amendment No. 1, raises no novel or
significant issues.
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    \20\ As discussed above, the Exchange has entered into a Rule
17d-2 Plan and an RSA with FINRA with respect to the CAT Compliance
Rules. The Commission notes that, unless relieved by the Commission
of its responsibility, as may be the case under the Rule 17d-2 Plan,
the Exchange continues to bear the responsibility for self-
regulatory conduct and liability for self-regulatory failures, not
the self-regulatory organization retained to perform regulatory
functions on the Exchange's behalf pursuant to an RSA. See
Securities Exchange Release No. 61419 (January 26, 2010), 75 FR 5157
(February 1, 2010) (SR-BATS-2009-031), note 93 and accompanying
text.
    \21\ See supra note 3.
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    For the same reasons discussed above, the Commission finds good
cause, pursuant to Section 19(b)(2) of the Act,\22\ for approving the
proposed rule change, as modified by Amendment No. 1, prior to the
thirtieth day after the date of publication of the notice of the filing
thereof in the Federal Register. The proposal merely adds the CAT
Compliance Rules to the Exchange's MRVP and harmonizes its application
with FINRA's application of CAT Compliance Rules under its own MRVP.
Accordingly, the Commission believes that a full notice-and-comment
period is not necessary before approving the proposal, as modified by
Amendment No. 1.
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    \22\ 15 U.S.C. 78s(b)(2).
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V. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the Act
\23\ and Rule 19d-1(c)(2) thereunder,\24\ that the proposed rule change
(SR-PEARL-2020-07), as modified by Amendment No. 1, be, and hereby is,
approved on an accelerated basis.
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    \23\ 15 U.S.C. 78s(b)(2).
    \24\ 17 CFR 240.19d-1(c)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\25\
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    \25\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-14233 Filed 7-1-20; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 83 (Friday, April 29, 2011)]
[Notices]
[Pages 24022-24023]
[FR Doc No: 2011-10347]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA--New England Region I-EPA-R01-OW-2011-0364; FRL-9299-6]

Massachusetts Marine Sanitation Device Standard--Receipt of
Petition

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice--receipt of petition.

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SUMMARY: Notice is hereby given that a petition has been received from
the Commonwealth of Massachusetts requesting a determination by the
Regional Administrator, U.S. Environmental Protection Agency, that
adequate facilities for the safe and sanitary removal and treatment of
sewage from all vessels are reasonably available for the waters of
Chatham, Orleans, Eastham, Wellfleet, Truro, and Provincetown,
collectively termed the Outer Cape Cod for the purpose of this notice.

DATES: Comments must be submitted by May 31, 2011.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-R01-
OW-2011-0364, by one of the following methods: http://www.regulations.gov, Follow the on-line instructions for submitting
comments.
     E-mail<EMAIL_ADDRESS>     Fax:<PHONE_NUMBER>
    Mail and hand delivery: U.S. Environmental Protection Agency--New
England Region, Five Post Office Square, Suite 100, OEP06-1, Boston, MA
02109-3912. Deliveries are only accepted during the Regional Office's
normal hours of operation (8 a.m.-5 p.m., Monday through Friday,
excluding legal holidays), and special arrangements should be made for
deliveries of boxed information.
    Instructions: Direct your comments to Docket ID No. EPA-R01-OW-
2011-0364. EPA's policy is that all comments received will be included
in the public docket without change and may be made available online at
http://www.regulations.gov, including any personal information
provided, unless the comment includes information claimed to be
Confidential Business Information (CBI) or other information whose
disclosure is restricted by statute. Do not submit information that you
consider to be CBI or otherwise protected through http://www.regulations.gov, or e-mail. The www.regulations.gov Web site is an
``anonymous access'' system, which means EPA will not know your
identity or contact information unless you provide it in the body of
your comment. If you send an e-mail comment directly to EPA without
going through http://www.regulations.gov your e-mail address will be
automatically captured and included as part of the comment that is
placed in the public docket and made available on the Internet. If you
submit an electronic comment, EPA recommends that you include your name
and other contact information in the body of your comment and with any
disk or CD-ROM you submit. If EPA cannot read your comment due to
technical difficulties and cannot contact you for clarification, EPA
may not be able to consider your comment. Electronic files should avoid
the use of special characters, any form of encryption, and be free of
any defects or viruses.
    Docket: All documents in the docket are listed in the
www.regulations.gov index. Although listed in the index, some
information is not publicly available, e.g., CBI or other information
whose disclosure is restricted by statute. Certain other material, such
as copy-righted material, will be publicly available only in hard copy.
Publicly available docket materials are available either electronically
in http://www.regulations.gov or in hard copy at the U.S. Environmental
Protection Agency--New England Region, Five Post Office Square, Suite
100, OEP06-01, Boston, MA 02109-3912. Such deliveries are only accepted
during the Regional Office's normal hours of operation, and special
arrangements should be made for deliveries of boxed information. The
Regional Office is open from 8 a.m.-5 p.m., Monday through Friday,
excluding legal holidays. The telephone number is<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Ann Rodney, U.S. Environmental
Protection Agency--New England Region, Five Post Office Square, Suite
100, OEP06-01, Boston, MA 02109-3912. Telephone:<PHONE_NUMBER>, Fax
number:<PHONE_NUMBER>; e-mail address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:
    Notice is hereby given that a petition has been received from the
Commonwealth of Massachusetts requesting a determination by the
Regional Administrator, U.S. Environmental Protection Agency, pursuant
to Section 312(f)(3) of Public Law 92-500 as amended by Public Law 95-
217 and Public Law 100-4, that adequate facilities for the safe and
sanitary removal and treatment of sewage from all vessels are
reasonably available for the Outer Cape Cod area.
    The Outer Cape Cod No Discharge Area will encompass the tidal
waters for Chatham, Orleans, Eastham, Wellfleet, Truro, and
Provincetown, and from mean high water out to the State/Federal
boundary. Within Nauset Harbor, the NDA covers all tidal waters and all
embayments including: Nauset Bay, Salt Pond, Salt Pond Bay, Woods Cove,
Rachel Cove, and Mill Pond.
    The proposed No Discharge Area for the Outer Cape Cod:

----------------------------------------------------------------------------------------------------------------
    Waterbody/general area        From longitude       From latitude         To longitude         To latitude
----------------------------------------------------------------------------------------------------------------
The westernmost landward       69[deg]59'0'' W      41[deg]39'26'' N     69[deg]59'0'' W      41[deg]37'20'' N
 boundary of the NDA starting
 on the south side of Chatham
 is an imaginary line drawn
 between the western part of
 the outlet of Stage Harbor
 and the northern tip of
 Monomoy Island (All state
 waters east of Monomoy
 Island are included in this
 NDA).
The southwestern boundary      70[deg]0'36'' W      41[deg]32'30'' N     70[deg]0'11'' W      41[deg]29'15'' N
 then continues from the
 southern tip of Monomoy
 Island through two
 navigational aids to the
 state/federal waters
 boundary.
The landward boundary of the   69[deg]56'36'' W     41[deg]39'40'' N     69[deg]56'6'' W      41[deg]40'56'' N
 NDA follows the mean high
 water line from Chatham to
 Provincetown except at an
 imaginary line drawn
 between: (This imaginary
 line is across the mouth of
 Pleasant Bay, which is
 already an NDA).

The westernmost boundary on    70[deg]10'0'' W      42[deg]7'59'' N      70[deg]10'0'' W      42[deg]4'47'' N
 the northern side of Cape
 Cod is an imaginary line
 drawn from three miles off
 shore to the mean high water
 line in Provincetown (This
 imaginary line is contiguous
 with the Cape Cod Bay NDA).
The eastern edge of the
 boundary is contiguous with
 the state/federal line also
 known as the Submerged Lands
 Act boundary line and
 Territorial Sea boundary.
----------------------------------------------------------------------------------------------------------------

    The boundaries were chosen based on easy line-of-sight locations
and generally represent all navigational waters.
    There is only one harbor within the proposed Outer Cape Cod NDA,
which is Nauset Harbor. Small skiffs owned by the residents of the area
are the primary users of Nauset Harbor. Other vessels that would use
the harbor would most likely come from Provincetown Harbor, Pleasant
Bay, or Chatham Harbor, all of which are currently NDAs and have
pumpout facilities for these boaters. Massachusetts has certified that
there is one landside pumpout facility at Goose Hummock Marine in
Orleans within the proposed area available to the boating public. The
location, contact information, hours of operation, and water depth are
provided at the end of this petition.
    Massachusetts has provided documentation indicating that the total
vessel population is estimated to be 519 in the proposed area. It is
estimated that 91 of the total vessel population may have a Marine
Sanitation Device (MSD) of some type.
    The majority of coastline of the proposed area is the Cape Cod
National Seashore, a 43,500 acre park established by Congress in 1961
to, ``preserve the nationally significant and special cultural and
natural features, distinctive patterns of human activity, and ambience
that characterize the Outer Cape, along with the associated scenic,
cultural, historic, scientific, and recreational values'', and to,
``provide opportunities for current and future generations to
experience, enjoy, and understand these features and values.''
    The various beaches, marshes, and harbors and their recreational
opportunities attract thousands of visitors to Cape Cod every year. On
the eastern shore of Cape Cod, from Chatham to Provincetown there are
24 bathing beaches covering over thirty miles of coastline.
    The area contains known habitat for soft shelled clam, surf clam,
sea scallop, quahog, ocean quahog, and blue mussel; all important
recreational and commercial species.

                               Pumpout Facility Within Proposed No Discharge Area
                                                [Outer Cape Cod]
----------------------------------------------------------------------------------------------------------------
                                                                                Mean low water
              Name                     Location          Contact info.           Hours               depth
----------------------------------------------------------------------------------------------------------------
Goose Hummock Marine, Nauset      13 Old County Rd,<PHONE_NUMBER> VHF    On call...........  3 ft.
 Harbor.                           Orleans, MA.        16.
----------------------------------------------------------------------------------------------------------------

    Dated: April 20, 2011.
Ira W. Leighton,
Acting Regional Administrator, New England Region.
[FR Doc. 2011-10347 Filed 4-28-11; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 74, Number 79 (Monday, April 27, 2009)]
[Rules and Regulations]
[Pages 18990-18992]
[FR Doc No: E9-9537]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2009-0119]
RIN 1625-AA00

Safety Zone; Red Bull Air Races; San Diego Bay, San Diego, CA

AGENCY: Coast Guard, DHS.

ACTION: Temporary final rule.

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SUMMARY: The Coast Guard is establishing a temporary safety zone on the
navigable waters of the San Diego Bay in support of the Red Bull Air
Races. The safety zone is necessary to provide for the safety of the
crew, spectators, participants and other vessels and users of the
waterway. Persons and vessels will be prohibited from entering into,
transiting through, or anchoring within this safety zone unless
authorized to do so by the Captain of the Port or his designated
representative.

DATES: This rule is effective from 10 a.m. on May 7, 2009 through 6
p.m. on May 10, 2009.

ADDRESSES: Documents indicated in this preamble as being available in
the docket are part of docket USCG-2009-0119 and are available Online
by going to http://www.regulations.gov, selecting the Advanced Docket
Search option on the right side of the screen, inserting USCG-2009-0119
in the Docket ID box, pressing Enter, and then clicking on the item in
the Docket ID column. They are also available for inspection or copying
at two locations: the Docket Management Facility (M-30), U.S.
Department of Transportation, West

Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE.,
Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays, and the U.S. Coast Guard Sector San Diego,
2710 N. Harbor Dr., San Diego, CA 92101 between 8 a.m. and 3 p.m.,
Monday through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: If you have questions on this
temporary rule, call Petty Officer Kristen Beer, USCG, Waterways
Management, U.S. Coast Guard Sector San Diego at<PHONE_NUMBER>. If you
have questions on viewing the docket, call Renee V. Wright, Program
Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Regulatory Information

    The Coast Guard is issuing this temporary final rule without prior
notice and opportunity to comment pursuant to authority under section
4(a) of the Administrative Procedure Act (APA) (5 U.S.C. 553(b)). This
provision authorizes an agency to issue a rule without prior notice and
opportunity to comment when the agency for good cause finds that those
procedures are ``impracticable, unnecessary, or contrary to the public
interest.'' Under 5 U.S.C. 553(b)(B), the Coast Guard finds that good
cause exists for not publishing a notice of proposed rulemaking (NPRM)
with respect to this rule because immediate action is necessary to
ensure the safety of spectators, crew, participants, and other users
and vessels of the waterway in the vicinity of the event on the dates
and times this rule will be in effect and delay would be contrary to
the public interest.
    Under 5 U.S.C. 553(d)(3), for the same reasons as stated above, the
Coast Guard finds that good cause exists for making this rule effective
less than 30 days after publication in the Federal Register.

Background and Purpose

    The Coast Guard is establishing a temporary safety zone on the
navigable waters of the San Diego Bay in support of the Red Bull Air
Races. This safety zone is necessary to provide for the safety of the
crew, spectators, participants, and other users and vessels of the
waterway.

Discussion of Rule

    The Coast Guard is establishing a temporary safety zone that will
be enforced from 10 a.m. on May 7, 2009 to 6 p.m. on May 10, 2009. This
safety zone is necessary to provide for the safety of the crew,
spectators, participants, and other users and vessels of the waterway.
Persons and vessels will be prohibited from entering into, transiting
through, or anchoring within the safety zone unless authorized to do so
by the Captain of the Port or his designated representative. The limits
of the safety zone include all navigable waters within the following
coordinates: 32[deg]42.69' N, 117[deg]10.54' W; 32[deg]41.95' N,
117[deg]09.55' W; 32[deg]41.75' N, 117[deg]09.91' W; thence north along
the shoreline to 32[deg]42.18' N, 117[deg]10.85' N; 32[deg]42.44' N,
117[deg]10.93' W; 32[deg]42.69' N, 117[deg]10.54' W.
    Coast Guard personnel will enforce this safety zone. The Coast
Guard may be assisted by other Federal, State, or local agencies,
including the Coast Guard Auxiliary. Vessels or persons violating this
section will be subject to both criminal and civil penalties.

Regulatory Analyses

    We developed this rule after considering numerous statutes and
executive orders related to rulemaking. Below we summarize our analyses
based on 13 of these statutes or executive orders.

Regulatory Planning and Review

    This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866, Regulatory Planning and Review, and does not
require an assessment of potential costs and benefits under section
6(a)(3) of that Order. The Office of Management and Budget has not
reviewed it under that Order.
    We expect the economic impact of this proposed rule to be so
minimal that a full Regulatory Evaluation is unnecessary. This
determination is based on the size and location of the safety zone.
Recreational vessels will not be allowed to transit through the
established safety zone during the specified times unless authorized to
do so by the Captain of the Port or his designated representative.

Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this rule would have a significant economic impact
on a substantial number of small entities. The term ``small entities''
comprises small businesses, not-for-profit organizations that are
independently owned and operated and are not dominant in their fields,
and governmental jurisdictions with populations of less than 50,000.
    The Coast Guard certifies under 5 U.S.C. 605(b) that this rule will
not have a significant economic impact on a substantial number of small
entities.
    This rule will affect the following entities, some of which may be
small entities: The owners or operators of vessels intending to transit
or anchor in a portion of the San Diego Bay from 10 a.m. on May 7, 2009
to 6 p.m. on May 10, 2009.
    This safety zone will not have a significant economic impact on a
substantial number of small entities for the following reasons.
Although the safety zone will apply to the entire width of the bay,
traffic will be allowed to pass through the zone with the permission of
the Coast Guard patrol commander. Before the effective period, the
Coast Guard will publish a local notice to mariners (LNM) and broadcast
notice to mariners (BNM) via marine channel 16.

Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we offer to assist small
entities in understanding the rule so that they can better evaluate its
effects on them and participate in the rulemaking process.
    Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247). The Coast Guard will not retaliate against small
entities that question or complain about this rule or any policy or
action of the Coast Guard.

Collection of Information

    This rule calls for no new collection of information under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

Federalism

    A rule has implications for Federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on State or local
governments and would either preempt State law or impose a substantial
direct cost of compliance on them. We have analyzed this rule under
that Order and have determined that it does not have implications for
Federalism.

Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires

Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 or more in any
one year. Though this rule will not result in such an expenditure, we
do discuss the effects of this rule elsewhere in this preamble.

Taking of Private Property

    This rule will not effect a taking of private property or otherwise
have taking implications under Executive Order 12630, Governmental
Actions and Interference with Constitutionally Protected Property
Rights.

Civil Justice Reform

    This rule meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988, Civil Justice Reform, to minimize litigation,
eliminate ambiguity, and reduce burden.

Protection of Children

    We have analyzed this rule under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. This rule
is not an economically significant rule and does not create an
environmental risk to health or risk to safety that may
disproportionately affect children.

Indian Tribal Governments

    This rule does not have tribal implications under Executive Order
13175, Consultation and Coordination with Indian Tribal Governments,
because it does not have a substantial direct effect on one or more
Indian tribes, on the relationship between the Federal Government and
Indian tribes, or on the distribution of power and responsibilities
between the Federal Government and Indian tribes.

Energy Effects

    We have analyzed this rule under Executive Order 13211, Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that order because it is not a ``significant
regulatory action'' under Executive Order 12866 and is not likely to
have a significant adverse effect on the supply, distribution, or use
of energy. The Administrator of the Office of Information and
Regulatory Affairs has not designated it as a significant energy
action. Therefore, it does not require a Statement of Energy Effects
under Executive Order 13211.

Technical Standards

    The National Technology Transfer and Advancement Act (NTTAA) (15
U.S.C. 272 note) directs agencies to use voluntary consensus standards
in their regulatory activities unless the agency provides Congress,
through the Office of Management and Budget, with an explanation of why
using these standards would be inconsistent with applicable law or
otherwise impractical. Voluntary consensus standards are technical
standards (e.g., specifications of materials, performance, design, or
operation; test methods; sampling procedures; and related management
systems practices) that are developed or adopted by voluntary consensus
standards bodies. This rule does not use technical standards.
Therefore, we did not consider the use of voluntary consensus
standards.

Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 0023.1 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have concluded
that this action is one of a category of actions which do not
individually or cumulatively have a significant effect on the human
environment. This rule is categorically excluded, under figure 2-1,
paragraph (34)(g), of the Instruction from further environmental
documentation. An environmental analysis checklist and a categorical
exclusion determination are available in the docket where indicated
under ADDRESSES.

List of Subjects in 33 CFR Part 165

    Harbors, Marine safety, Navigation (water), Reporting and
recordkeeping requirements, Security measures, Waterways.

0
For the reasons discussed in the preamble, the Coast Guard amends 33
CFR part 165 as follows:

PART 165--REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS

0
1. The authority citation for part 165 continues to read as follows:

    Authority: 33 U.S.C. 1226, 1231; 46 U.S.C. Chapter 701, 3306,
3703; 50 U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1, 6.04-6, 160.5; Pub.
L. 107-295, 116 Stat. 2064; Department of Homeland Security
Delegation No. 0170.1.

0
2. Add a new temporary zone Sec.  165.T11-156 to read as follows:

Sec.  165.T11-156  Safety Zone; Red Bull Air Races; San Diego Bay, San
Diego, CA.

    (a) Location. The limits of the safety zone include all navigable
waters within the following coordinates: 32[deg]42.69' N,
117[deg]10.54' W; 32[deg]41.95' N, 117[deg]09.55' W; 32[deg]41.75' N,
117[deg]09.91' W; thence north along the shoreline to 32[deg]42.18' N,
117[deg]10.85' N; 32[deg]42.44' N, 117[deg]10.93' W; 32[deg]42.69' N,
117[deg]10.54' W.
    (b) Enforcement Period. This section will be enforced from 10 a.m.
to 6 p.m. on May 7, 2009 through May 10, 2009. If the event concludes
prior to the scheduled termination time, the Captain of the Port will
cease enforcement of this safety zone and will announce that fact via
Broadcast Notice to Mariners.
    (c) Definitions. The following definition applies to this section:
designated representative, means any commissioned, warrant, and petty
officers of the Coast Guard on board Coast Guard, Coast Guard
Auxiliary, and local, state, and Federal law enforcement vessels who
have been authorized to act on the behalf of the Captain of the Port.
    (d) Regulations. (1) Entry into, transit through or anchoring
within this safety zone is prohibited unless authorized by the Captain
of the Port of San Diego or his designated on-scene representative.
    (2) Mariners requesting permission to transit through the safety
zone may request authorization to do so from the Patrol Commander
(PATCOM). The PATCOM may be contacted on VHF-FM Channel 16.
    (3) All persons and vessels shall comply with the instructions of
the Coast Guard Captain of the Port or the designated representative.
    (4) Upon being hailed by U.S. Coast Guard patrol personnel by
siren, radio, flashing light, or other means, the operator of a vessel
shall proceed as directed.
    (5) The Coast Guard may be assisted by other Federal, state, or
local agencies.

    Dated: April 13, 2009.
T.H. Farris,
Captain, U.S. Coast Guard, Captain of the Port San Diego.
[FR Doc. E9-9537 Filed 4-24-09; 8:45 am]
BILLING CODE 4910-15-P