[Federal Register Volume 81, Number 106 (Thursday, June 2, 2016)]
[Notices]
[Pages 35349-35350]
[FR Doc No: 2016-12993]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:

Filings Instituting Proceedings

    Docket Numbers: RP12-609-000.
    Applicants: Texas Gas Transmission, LLC.
    Description: Report Filing: 2015 Operational Purchases and Sales
Report to be effective N/A.
    Filed Date: 4/29/16.
    Accession Number: 20160429-5073.
    Comments Due: 5 p.m. ET 6/3/16.

    Docket Numbers: RP13-212-000.
    Applicants: Boardwalk Storage Company, LLC.
    Description: Report Filing: 2015 Operational Purchases and Sales
Report to be effective N/A.
    Filed Date: 4/29/16.
    Accession Number: 20160429-5077.
    Comments Due: 5 p.m. ET 6/3/16.

    Docket Numbers: RP16-968-000.
    Applicants: Texas Eastern Transmission, LP.

    Description: Section 4(d) rate filing per 154.204: Negotiated
Rates--June 2016 Chevron TEAM 2014 Releases to be effective 6/1/2016.
    Filed Date: 5/26/16.
    Accession Number: 20160526-5047.
    Comments Due: 5 p.m. ET 6/7/16.

    Docket Numbers: RP16-969-000.
    Applicants: Equitrans, L.P.
    Description: Section 4(d) rate filing per 154.204: FTSS and GSS
Rate Schedule Clarifications to be effective 6/26/2016.
    Filed Date: 5/26/16.
    Accession Number: 20160526-5071.
    Comments Due: 5 p.m. ET 6/7/16.

    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: May 26, 2016.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2016-12993 Filed 6-1-16; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 142 (Friday, July 24, 2015)]
[Notices]
[Pages 44170-44172]
[FR Doc No: 2015-18128]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-75494; File No. SR-NYSEArca-2015-38]

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a
Proposed Rule Change Adopting New Equity Trading Rules Relating to
Trading Sessions, Order Ranking and Display, and Order Execution To
Reflect the Implementation of Pillar, the Exchange's New Trading
Technology Platform

July 20, 2015.

I. Introduction

    On April 30, 2015, NYSE Arca, Inc. (the ``Exchange'' or ``Arca'')
filed with the Securities and Exchange Commission (``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
adopt new equity trading rules relating to Trading Sessions, Order
Ranking and Display, and Order Execution to reflect the implementation
of Pillar, the Exchange's new trading technology platform. The proposed
rule change was published for comment in the Federal Register on May
19, 2015.\3\ The Commission received no comment letters on the proposed
rule change. On June 23, 2015, pursuant to section 19(b)(2) of the
Act,\3\ the Commission designated a longer period within which to
approve the proposed rule change, disapprove the proposed rule change,
or institute proceedings to determine whether to approve or disapprove
the proposed rule change.\4\ This order approves the proposed rule
change.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4
    \3\ See Securities Exchange Act Release No. 74951 (May 13,
2015), 80 FR 28721 (``Notice'').
    \3\ 15 U.S.C. 78s(b)(2).
    \4\ See Securities Exchange Act Release No. 75273, 80 FR 37033
(June 29, 2015).
---------------------------------------------------------------------------

II. Description of the Proposed Rule Change

    The Exchange proposes to adopt new equity trading rules relating to
the implementation of Pillar, the Exchange's new trading technology
platform. The Exchange proposes to adopt the following new Pillar
rules: (1) NYSE

Arca Equities Rule 7.34P (``Rule 7.34P'') related to trading session;
(2) NYSE Arca Equities Rule 7.36P (``Rule 7.36P'') related to order
ranking and display; and NYSE Arca Equities Rule 7.37P (``Rule 7.37P'')
related to order execution. According to the Exchange, these three
rules would set forth the foundation of the Exchange's equity trading
model in Pillar, including the hours of operation, how orders would be
ranked and displayed, and how orders would be executed.\5\
---------------------------------------------------------------------------

    \5\ See Notice at 28722.
---------------------------------------------------------------------------

A. Background

    The Exchange represents that Pillar is an integrated trading
technology platform designed to use a single specification for
connecting to the equities and options markets operated by Arca and its
affiliates, New York Stock Exchange LLC and NYSE MKT LLC. NYSE Arca
Equities will be the first trading system to migrate to Pillar.\6\ The
Exchange states that during the first phase of Pillar implementation,
it will roll out the new technology platform over a period of time
based on a range of symbols.\7\ Because orders entered in symbols not
yet migrated to Pillar would continue to operate under current rules,
the Exchange will keep its current rules, pending complete migration of
symbols to Pillar and retirement of the current trading system, and
will add new rules that would be applicable to symbols that trade on
the Pillar trading platform.\8\
---------------------------------------------------------------------------

    \6\ See Notice at 28722; see also Trader Update dated January
29, 2015, available here: http://www1.nyse.com/pdfs/Pillar_Trader_Update_Jan_2015.pdf.
    \7\ See Notice at 28722.
    \8\ Id.
---------------------------------------------------------------------------

    As proposed, the new rules governing trading on Pillar would have
the same numbering as current rules, but with the modifier ``P''
appended to the rule number. The Exchange proposes that rules with a
``P'' modifier would operate for symbols that are trading on the Pillar
trading platform. If a symbol is trading on the Pillar trading
platform, a rule with the same number as a rule with a ``P'' modifier
would no longer operate for that symbol and the Exchange would announce
by Trader Update when symbols are trading on the Pillar trading
platform. Definitions that do not have a companion version with a ``P''
modifier would continue to operate for all symbols. The Exchange has
stated that once all symbols have migrated to the Pillar platform, it
will file a rule proposal to delete rules that are no longer
operative.\9\
---------------------------------------------------------------------------

    \9\ Id.
---------------------------------------------------------------------------

B. Proposed Modifications

    The Exchange represents that it is not proposing that the core
functionality of rules applicable to trading on Pillar would be
different from rules applicable to trading on the current NYSE Arca
Equities trading system.\10\ As described in detail in the Notice,
Rules 7.34P, 7.36P, and 7.37P incorporate much of the substance of
current NYSE Arca Rules 7.34, 7.36, and 7.37, respectively. However,
with Pillar, the Exchange would introduce new terminology, reorganize
and redraft certain provisions to improve clarity, and provide
additional detail to other current provisions being redesignated.\11\
The Exchange also proposes to make several changes that are more
substantive in nature, as follows:
---------------------------------------------------------------------------

    \10\ Id.
    \11\ See id. at 28723-31.
---------------------------------------------------------------------------

     The Core Open Auction would occur during the Core Trading
Session, rather than during Early Trading Session; \12\
---------------------------------------------------------------------------

    \12\ See proposed rule 7.34P(a)(2); see also Notice at 28723.
---------------------------------------------------------------------------

     Tracking Orders would now be permitted to participate in
the Early Trading Session; \13\
---------------------------------------------------------------------------

    \13\ See current rule 7.34(d)(1)(C), which would not be carried
over to proposed 7.34P; see also Notice at 28724.
---------------------------------------------------------------------------

     during the Early Trading Session, for securities that are
not eligible for an auction on the Exchange, all Market Orders
designated for the Core Trading Session and Auction-Only Orders would
be routed to the primary listing market on arrival (unless the market
is not accepting orders), whereas currently this only occurs if orders
include a ``Primary Only'' designation; \14\
---------------------------------------------------------------------------

    \14\ See proposed rule 7.34P(c)(1)(D); see also Notice at 28724.
---------------------------------------------------------------------------

     Market Orders in securities that are not eligible for the
Core Open Auction will be routed to the primary listing market until
the first print of any size (the current rule does not specify that the
first opening print can include an odd-lot transaction) on the primary
listing market, and the Exchange would now stop routing Market Orders
to the primary listing market and begin processing those orders on the
Exchange at 10am EST; \15\
---------------------------------------------------------------------------

    \15\ See proposed rule 7.34P(c)(2)(A); see also Notice at 28725.
---------------------------------------------------------------------------

     during the Core Trading Session, Auction-Only Orders in
securities that are not eligible for an auction on Arca would be
accepted and routed directly to the primary listing market,\16\ whereas
currently this only occurs if orders include a ``Primary Only''
designation;
---------------------------------------------------------------------------

    \16\ See proposed rule 7.34P(c)(2)(B); see also Notice at 28725.
---------------------------------------------------------------------------

     Tracking Orders would now be eligible to participate in
the Late Trading Session; \17\ and
---------------------------------------------------------------------------

    \17\ See current rule 7.34(d)(3)(C), which would not be carried
over to proposed 7.34P; see also Notice at 28725.
---------------------------------------------------------------------------

     an order marked ``short'' when a short sale price test
restriction is in effect would not be routed and would be repriced or
cancelled.\18\
---------------------------------------------------------------------------

    \18\ See proposed rule 7.37P(b)(8); see also Notice at 28730.
---------------------------------------------------------------------------

III. Discussion and Commission Findings

    After careful review, the Commission finds that the proposed rule
change is consistent with the requirements of the Act \19\ and the
rules and regulations thereunder applicable to a national securities
exchange.\20\ In particular, the Commission finds that the proposed
rule change is consistent with section 6(b)(5) of the Act,\21\ which
requires, among other things, that the rules of a national securities
exchange be 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 and that the
rules are not designed to permit unfair discrimination between
customers, issuers, brokers, or dealers.
---------------------------------------------------------------------------

    \19\ 15 U.S.C. 78f.
    \20\ 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).
    \21\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Commission notes that the Exchange believes that the proposed
rules would remove impediments to and perfect the mechanism of a free
and open market because the proposed rule set would promote
transparency by simplifying the structure of Exchange rules and using
consistent terminology governing equities trading, and by clearly
denoting the rules that govern once a symbol has been migrated to the
Pillar platform.\22\ With respect to proposed Rule 7.34P, the Exchange
represents that it believes that the proposed changes to functionality
would remove impediments to and perfect the mechanism of a fair and
orderly market.\23\ With respect to proposed Rules 7.36P and 7.37P, the
Exchange stated that it believes that the

proposed rule text promotes transparency through the use of consistent
terminology that will serve as the foundation for additional Pillar-
related rule proposals, and by providing notice of when orders would be
accepted, routed, rejected, cancelled, or be assigned a working time by
the Exchange.\24\
---------------------------------------------------------------------------

    \22\ See Notice at 28732.
    \23\ See id.
    \24\ See id.
---------------------------------------------------------------------------

    Based on the Exchange's representations, the Commission believes
that the proposed rule change does not raise any novel regulatory
considerations and should provide greater specificity with respect to
the functionality available on the Exchange as symbols are migrated to
the Pillar platform. For these reasons, the Commission believes that
the proposal should help to prevent fraudulent and manipulative acts
and practices, promote just and equitable principles of trade, remove
impediments to and perfect the mechanism of a free and open market and
a national market system, and, in general, protect investors and the
public interest.

IV. Conclusion

    It is therefore ordered, pursuant to section 19(b)(2) of the
Act,\25\ that the proposed rule change (SR-NYSEArca-2015-38) be, and
hereby is, approved.
---------------------------------------------------------------------------

    \25\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\26\
---------------------------------------------------------------------------

    \26\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-18128 Filed 7-23-15; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 67 (Monday, April 8, 2013)]
[Proposed Rules]
[Pages 20855-20856]
[FR Doc No: 2013-08118]

=======================================================================
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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-HQ-OAR-2012-0322; FRL-9799-7]
RIN 2060-AR68

State Implementation Plans: Response to Petition for Rulemaking;
Findings of Substantial Inadequacy; and SIP Calls To Amend Provisions
Applying to Excess Emissions During Periods of Startup, Shutdown, and
Malfunction

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of extension of public comment period.

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SUMMARY: The EPA is announcing an extension of the public comment
period for its proposal titled, ``State Implementation Plans: Response
to Petition for Rulemaking; Findings of Substantial Inadequacy; and SIP
Calls to Amend Provisions Applying to Excess Emissions During Periods
of Startup, Shutdown, and Malfunction.'' The EPA has received numerous
requests for extension of the comment period beyond the current
deadline of April 11, 2013, and one request that it not extend the
comment period by an additional 60 to 90 days, and in response to those
requests the EPA is extending the comment period by an additional 30
days.

DATES: Comments on the proposed rule published February 22, 2013 (78 FR
12460) must be received on or before May 13, 2013.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OAR-2012-0322, by one of the following methods:
     http://www.regulations.gov: Follow the online instructions
for submitting comments.
     Email<EMAIL_ADDRESS>     Fax:<PHONE_NUMBER>.
     Mail: Attention Docket ID No. EPA-HQ-OAR-2012-0322, U.S.
Environmental Protection Agency, EPA West (Air Docket), 1200
Pennsylvania Avenue NW., Mail Code: 6102T, Washington, DC 20460. Please
include a total of two copies.
     Hand Delivery: U.S. Environmental Protection Agency, EPA
West (Air Docket), 1301 Constitution Avenue, Northwest, Room 3334,
Washington, DC 20004, Attention Docket ID No. EPA-HQ-OAR-2012-0322.
Such deliveries are only accepted during the Docket's normal hours of
operation, and special arrangements should be made for deliveries of
boxed information.
    Instructions. Direct your comments to Docket ID No. EPA-HQ-OAR-
2012-0322. The EPA's policy is that all comments received will be
included in the public docket without change and may be made available
online at 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 www.regulations.gov
or email. The www.regulations.gov Web site is an ``anonymous access''
system, which means the EPA will not know your identity or contact
information unless you provide it in the body of your comment. If you
send an email comment directly to the EPA without going through
www.regulations.gov, your email 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, the EPA recommends that you include your name and other
contact information in the body of your comment and with any CD you
submit. If the EPA cannot read your comment due to technical
difficulties and cannot contact you for clarification, the EPA may not
be able to consider your comment. Electronic files should avoid the use
of special characters, avoid any form of encryption, and be free of any
defects or viruses. For additional information about the EPA's public
docket visit the EPA Docket Center homepage at www.epa.gov/epahome/dockets.htm. For additional instructions on submitting comments, go to
section I.A of the SUPPLEMENTARY INFORMATION section of this document.
    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., Confidential Business
Information (CBI) or other information whose disclosure is restricted
by statute. Certain other material, such as copyrighted material, will
be publicly available only in hard copy. Publicly available docket
materials are available either electronically at www.regulations.gov or
in hard copy at the U.S. Environmental Protection Agency, Air Docket,
EPA/DC, EPA West Building, Room 3334, 1301 Constitution Ave. NW.,
Washington, DC The Public Reading Room is open from 8:30 a.m. to 4:30
p.m., Monday through Friday, excluding legal holidays. The telephone
number for the Public Reading Room is

(202) 566-1744, and the telephone number for the Air Docket is (202)
566-1742.

FOR FURTHER INFORMATION CONTACT: Questions concerning this action
should be addressed to Ms. Lisa Sutton, U.S. EPA, Office of Air Quality
Planning and Standards, State and Local Programs Group, (C539-01),
Research Triangle Park, NC 27711, telephone number<PHONE_NUMBER>,
email at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. What should I consider as I prepare my comments?

1. Submitting CBI. Do not submit this information to the EPA through
www.regulations.gov or email. Clearly mark the part or all of the
information that you claim to be CBI. For CBI information in CD that
you mail to the EPA, mark the outside of the CD as CBI and then
identify electronically within the CD the specific information that is
claimed as CBI. In addition to one complete version of the comment that
includes information claimed as CBI, a copy of the comment that does
not contain the information claimed as CBI must be submitted for
inclusion in the public docket. Information so marked will not be
disclosed except in accordance with procedures set forth in 40 CFR part
2. Send or deliver information identified as CBI only to the following
address: Roberto Morales, OAQPS Document Control Officer (C404-02),
U.S. EPA, Research Triangle Park, NC 27711, Attention Docket ID No.
EPA-HQ-OAR-2012-0322.
    2. Tips for preparing your comments. When submitting comments,
remember to:
     Identify the rulemaking by docket number and other
identifying information (subject heading, Federal Register date, and
page number).
     Follow directions--The agency may ask you to respond to
specific questions or organize comments by referencing a Code of
Federal Regulations (CFR) part or section number.
     Explain why you agree or disagree; suggest alternatives
and substitute language for your requested changes.
     Describe any assumptions and provide any technical
information and/or data that you used.
     If you estimate potential costs or burdens, explain how
you arrived at your estimate in sufficient detail to allow for it to be
reproduced.
     Provide specific examples to illustrate your concerns, and
suggest alternatives.
     Explain your views as clearly as possible, avoiding the
use of profanity or personal threats.

Make sure to submit your comments by the comment period deadline
identified.

B. Where can I get a copy of this document and other related
information?

    In addition to being available in the docket, an electronic copy of
this notice will also be available on the World Wide Web. Following
signature, a copy of this notice will be posted on the EPA's Web site,
under SSM SIP Call 2013, at www.epa.gov/air/urbanair/sipstatus. In
addition to this notice, other relevant documents are located in the
docket, including the proposal notice and comments received on the
proposed rulemaking so far, including requests for extension of the
comment period.

II. Background

    The purpose of this notice is to extend the public comment period
on the EPA's recently proposed rulemaking titled, ``State
Implementation Plans: Response to Petition for Rulemaking; Findings of
Substantial Inadequacy; and SIP Calls to Amend Provisions Applying to
Excess Emissions During Periods of Startup, Shutdown, and
Malfunction.'' The proposal was published in the Federal Register on
February 22, 2013, with an original deadline of March 25, 2013, for
receipt of comments. However, as provided in the proposal, because a
public hearing on the proposal was requested and this hearing was held
on March 12, 2013, the deadline for receipt of comments was
automatically extended to 30 days after the date of the public hearing.
Accordingly, the public comment period for the proposal has already
been extended to April 11, 2013.
    The EPA has received numerous requests to extend the end date of
the comment period for the proposed rulemaking beyond April 11, 2013.
Those requesting additional time include industry, industry trade
associations, and state and local air pollution agencies in potentially
affected states. These requestors claim that because the proposal is
complex and far-reaching, with unique state-specific issues, they need
extra time during which to review existing SIP provisions in light of
the proposed actions and to provide meaningful and comprehensive
comments on all aspects of the proposal.
    The EPA has also received, to date, one request that it not extend
the comment period for the proposed rulemaking. This request was from
the environmental group that submitted the petition at issue to the
EPA. This requestor opposes requests to extend the comment period by an
additional 60 to 90 days, given the seriousness of public health issues
at stake and the already extended period of time it will take to
address any necessary SIP revisions as a result of the proposed
rulemaking, and because the justifications offered for extension of the
comment period are not relevant to the specific issues in the
rulemaking.
    The EPA has carefully evaluated these competing requests regarding
the length of the public comment period for the proposed rulemaking. In
response to these requests, the EPA by this notice is extending the
comment period for an additional 30 days, that is, until May 13, 2013.
Accordingly, the EPA notes, commenters thus have a comment period of 80
days from the date the proposed rulemaking was published in the Federal
Register and 89 days from the date the proposed rulemaking was posted
on the EPA's Web site. The EPA believes that this length of comment
period is reasonable and appropriate, considering the issues addressed
in the proposed rulemaking.

    Dated: April 2, 2013.
Mary E. Henigin,
Acting Director, Office of Air Quality Planning and Standards.
[FR Doc. 2013-08118 Filed 4-5-13; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register: September 28, 2005 (Volume 70, Number 187)]
[Notices]
[Page 56660]
[DOCID:fr28se05-75]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP05-656-000]

Northern Border Pipeline Company; Notice of Proposed Changes in
FERC Gas Tariff

September 19, 2005.
    Take notice that on September 2, 2005, Northern Border Pipeline
Company (Northern Border) tendered for filing as part of its FERC Gas
Tariff, First Revised Volume No. 1, Third Revised Sheet No. 260E, with
an effective date of October 2, 2005.
    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 on or before the date as indicated
below. 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 online 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: September 26, 2005.

Magalie R. Salas,
Secretary.
[FR Doc. E5-5237 Filed 9-27-05; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 88, Number 88 (Monday, May 8, 2023)]
[Proposed Rules]
[Pages 29555-29557]
[FR Doc No: 2023-09641]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2023-0934; Project Identifier AD-2022-01443-T]
RIN 2120-AA64

Airworthiness Directives; The Boeing Company Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: The FAA proposes to adopt a new airworthiness directive (AD)
for all The Boeing Company Model 747-8F and 747-8 series airplanes.
This proposed AD was prompted by a report of cracks in stringers,
common to the end fittings, on the aft side of the bulkhead at station
2598. This proposed AD would require detailed inspections of the
stringers, common to the end fittings, forward and aft of the bulkhead
at a certain station for cracking and applicable on-condition actions.
The FAA is proposing this AD to address the unsafe condition on these
products.

DATES: The FAA must receive comments on this proposed AD by June 22,
2023.

ADDRESSES: You may send comments, using the procedures found in 14 CFR
11.43 and 11.45, by any of the following methods:
     Federal eRulemaking Portal: Go to regulations.gov. Follow
the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE, Washington, DC 20590.
     Hand Delivery: Deliver to Mail address above between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    AD Docket: You may examine the AD docket at regulations.gov under
Docket No. FAA-2023-0934; or in person at Docket Operations between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays. The AD
docket contains this NPRM, any comments received, and other
information. The street address for Docket Operations is listed above.
    Material Incorporated by Reference:
     For service information identified in this NPRM, contact
Boeing Commercial Airplanes, Attention: Contractual & Data Services
(C&DS), 2600 Westminster Blvd., MC 110-SK57, Seal Beach, CA 90740-5600;
telephone<PHONE_NUMBER>; website myboeingfleet.com.
     You may view this service information at the FAA,
Airworthiness Products Section, Operational Safety Branch, 2200 South
216th St., Des Moines, WA. For information on the availability of this
material at the FAA, call<PHONE_NUMBER>. It is also available at
regulations.gov by searching for and locating Docket No. FAA-2023-0934.

FOR FURTHER INFORMATION CONTACT: Stefanie Roesli, Aerospace Engineer,
Airframe Section, FAA, Seattle ACO Branch, 2200 South 216th St., Des
Moines, WA 98198; phone and fax:<PHONE_NUMBER>; email:
[email protected].

SUPPLEMENTARY INFORMATION:

Comments Invited

    The FAA invites you to send any written relevant data, views, or
arguments about this proposal. Send your comments to an address listed
under ADDRESSES. Include ``Docket No. FAA-2023-0934; Project Identifier
AD-2022-01443-T'' at the beginning of your comments. The most helpful
comments reference a specific portion of the proposal, explain the
reason for any recommended change, and include supporting data. The FAA
will consider all comments received by the closing date and may amend
this proposal because of those comments.
    Except for Confidential Business Information (CBI) as described in
the following paragraph, and other information as described in 14 CFR
11.35, the FAA will post all comments received, without change, to
regulations.gov, including any personal information you provide. The
agency will also post a report summarizing each substantive verbal
contact received about this NPRM.

Confidential Business Information

    CBI is commercial or financial information that is both customarily
and actually treated as private by its owner. Under the Freedom of
Information Act (FOIA) (5 U.S.C. 552), CBI is exempt from public
disclosure. If your comments responsive to this NPRM contain commercial
or financial information that is customarily treated as private, that
you actually treat as private, and that is relevant or responsive to
this NPRM, it is important

that you clearly designate the submitted comments as CBI. Please mark
each page of your submission containing CBI as ``PROPIN.'' The FAA will
treat such marked submissions as confidential under the FOIA, and they
will not be placed in the public docket of this NPRM. Submissions
containing CBI should be sent to Stefanie Roesli, Aerospace Engineer,
Airframe Section, FAA, Seattle ACO Branch, 2200 South 216th St., Des
Moines, WA 98198; phone and fax:<PHONE_NUMBER>; email:
[email protected]. Any commentary that the FAA receives that is
not specifically designated as CBI will be placed in the public docket
for this rulemaking.

Background

    The FAA has received a report indicating the presence of cracks in
stringers, common to the end fittings, at stringer location S-42L/R and
S-46L/R on the aft side of the bulkhead at station (STA) 2598. The
airplane had accumulated 5,517 total flight cycles and 32,468 total
flight hours at time the cracks were found. In addition, during foreign
object debris (FOD) inspections Boeing found five cracks in stringers,
common to the end fittings, at stringer locations S-2L, S-6L, S-8L, and
S-2R on the forward side and S-5L on the aft side of the bulkhead at
STA 2598 on two airplanes. The FAA has also received reports of similar
cracks found on additional airplanes. In all cases, the cracks were
found in the side walls of the stringers and had grown in longitudinal
and transverse directions, but there was no other damage or deformation
in the surrounding area. An investigation by Boeing found that during
airplane assembly, un-shimmed or incorrectly shimmed gaps that were
larger than engineering requirements caused excessive and sustained
internal tensile stresses and resulted in stress corrosion cracking in
the stringers. This condition, if not addressed, could lead to a
failure of the skin adjacent to the bulkhead at STA 2598, which could
adversely affect the structural integrity of the airplane.

FAA's Determination

    The FAA is issuing this NPRM after determining that the unsafe
condition described previously is likely to exist or develop on other
products of the same type design.

Related Service Information Under 1 CFR Part 51

    The FAA reviewed Boeing Alert Requirements Bulletin 747-53A2911 RB,
dated November 3, 2022. This service information specifies procedures
for repetitive detailed inspections of the stringers, common to the end
fittings, forward and aft of the bulkhead at STA 2598, for any crack,
and applicable on-condition actions. On-condition actions include
repair.
    This service information is reasonably available because the
interested parties have access to it through their normal course of
business or by the means identified in ADDRESSES.

Proposed AD Requirements in This NPRM

    This proposed AD would require accomplishing the actions specified
in the service information already described, except for any
differences identified as exceptions in the regulatory text of this
proposed AD. For information on the procedures and compliance times,
see this service information at regulations.gov under Docket No. FAA-
2023-0934.

Costs of Compliance

    The FAA estimates that this AD, if adopted as proposed, would
affect 42 airplanes of U.S. registry. The FAA estimates the following
costs to comply with this proposed AD:

                                                 Estimated Costs
----------------------------------------------------------------------------------------------------------------
                                                                                Cost on U.S.
             Action                    Labor cost         Parts cost      Cost per product        operators
----------------------------------------------------------------------------------------------------------------
Detailed inspection.............  91 work-hours x $85              $0   $7,735 per           $324,870 per
                                   per hour = $7,735                     inspection cycle.    inspection cycle.
                                   per inspection
                                   cycle.
----------------------------------------------------------------------------------------------------------------

    The FAA estimates the following costs to do any necessary repairs
that would be required based on the results of the proposed inspection.
The agency has no way of determining the number of aircraft that might
need these repairs:

                                               On-Condition Costs
----------------------------------------------------------------------------------------------------------------
                Action                            Labor cost              Parts cost        Cost per product
----------------------------------------------------------------------------------------------------------------
Repair................................  13 work-hours x $85 per hour             $600   $1,705 (per stringer).
                                         = $1,105.
----------------------------------------------------------------------------------------------------------------

    The FAA has included all known costs in its cost estimate.
According to the manufacturer, however, some or all of the costs of
this proposed AD may be covered under warranty, thereby reducing the
cost impact on affected operators.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. Subtitle VII: Aviation Programs,
describes in more detail the scope of the Agency's authority.
    The FAA is issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701: General requirements.
Under that section, Congress charges the FAA with promoting safe flight
of civil aircraft in air commerce by prescribing regulations for
practices, methods, and procedures the Administrator finds necessary
for safety in air commerce. This regulation is within the scope of that
authority because it addresses an unsafe condition that is likely to
exist or develop on products identified in this rulemaking action.

Regulatory Findings

    The FAA determined that this proposed AD would not have federalism
implications under Executive Order 13132. This proposed AD would not
have a substantial direct effect on the States, on the relationship
between the national Government and the States, or on the distribution
of power and responsibilities among the various levels of government.

    For the reasons discussed above, I certify this proposed
regulation:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866,
    (2) Would not affect intrastate aviation in Alaska, and
    (3) Would not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

The Proposed Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA proposes to amend 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

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

Sec.  39.13  [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new airworthiness
directive:

The Boeing Company: Docket No. FAA-2023-0934; Project Identifier AD-
2022-01443-T.

(a) Comments Due Date

    The FAA must receive comments on this airworthiness directive
(AD) by June 22, 2023.

(b) Affected ADs

    None.

 (c) Applicability

    This AD applies to all The Boeing Company Model 747-8F and 747-8
series airplanes, certificated in any category.

(d) Subject

    Air Transport Association (ATA) of America Code 53, Fuselage.

(e) Unsafe Condition

    This AD was prompted by a report of cracks in stringers, common
to the end fittings, on the aft side of the bulkhead at station
(STA) 2598. The FAA is issuing this AD to address stress corrosion
cracking in the stringers. This condition, if not addressed, could
lead to a failure of the skin adjacent to the bulkhead at STA 2598,
which could adversely affect the structural integrity of the
airplane.

(f) Compliance

    Comply with this AD within the compliance times specified,
unless already done.

(g) Required Actions

    Except as specified by paragraph (h) of this AD: At the
applicable times specified in the ``Compliance'' paragraph of Boeing
Alert Requirements Bulletin 747-53A2911 RB, dated November 3, 2022,
do all applicable actions identified in, and in accordance with, the
Accomplishment Instructions of Boeing Alert Requirements Bulletin
747-53A2911 RB, dated November 3, 2022.
    Note 1 to paragraph (g): Guidance for accomplishing the actions
required by this AD can be found in Boeing Alert Service Bulletin
747-53A2911, dated November 3, 2022, which is referred to in Boeing
Alert Requirements Bulletin 747-53A2911 RB, dated November 3, 2022.

(h) Exceptions to Service Information Specifications

    (1) Where the Compliance Time column of the table in the
``Compliance'' paragraph of Boeing Alert Requirements Bulletin 747-
53A2911 RB, dated November 3, 2022, uses the phrase ``the original
issue date of Requirements Bulletin 747-53A2911 RB,'' this AD
requires using ``the effective date of this AD.''
    (2) Where Boeing Alert Requirements Bulletin 747-53A2911 RB,
dated November 3, 2022, specifies contacting Boeing for repair
instructions: This AD requires doing the repair using a method
approved in accordance with the procedures specified in paragraph
(i) of this AD.

(i) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Seattle ACO Branch, FAA, has the authority to
approve AMOCs for this AD, if requested using the procedures found
in 14 CFR 39.19. In accordance with 14 CFR 39.19, send your request
to your principal inspector or responsible Flight Standards Office,
as appropriate. If sending information directly to the manager of
the certification office, send it to the attention of the person
identified in paragraph (j) of this AD. Information may be emailed
to: [email protected].
    (2) Before using any approved AMOC, notify your appropriate
principal inspector, or lacking a principal inspector, the manager
of the responsible Flight Standards Office.
    (3) An AMOC that provides an acceptable level of safety may be
used for any repair, modification, or alteration required by this AD
if it is approved by The Boeing Company Organization Designation
Authorization (ODA) that has been authorized by the Manager, Seattle
ACO Branch, FAA, to make those findings. To be approved, the repair
method, modification deviation, or alteration deviation must meet
the certification basis of the airplane, and the approval must
specifically refer to this AD.

(j) Related Information

    For more information about this AD, contact Stefanie Roesli,
Aerospace Engineer, Airframe Section, FAA, Seattle ACO Branch, 2200
South 216th St., Des Moines, WA 98198; phone and fax:<PHONE_NUMBER>;
email: [email protected].

(k) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) of the service information listed
in this paragraph under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) You must use this service information as applicable to do
the actions required by this AD, unless the AD specifies otherwise.
    (i) Boeing Alert Requirements Bulletin 747-53A2911 RB, dated
November 3, 2022.
    (ii) [Reserved]
    (3) For service information identified in this AD, contact
Boeing Commercial Airplanes, Attention: Contractual & Data Services
(C&DS), 2600 Westminster Blvd., MC 110-SK57, Seal Beach, CA 90740-
5600; telephone<PHONE_NUMBER>; website myboeingfleet.com.
    (4) You may view this service information at the FAA,
Airworthiness Products Section, Operational Safety Branch, 2200
South 216th St., Des Moines, WA. For information on the availability
of this material at the FAA, call<PHONE_NUMBER>.
    (5) You may view this service information that is incorporated
by reference at the National Archives and Records Administration
(NARA). For information on the availability of this material at
NARA, [email protected], or go to: www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued on April 13, 2023.
Christina Underwood,
Acting Director, Compliance & Airworthiness Division, Aircraft
Certification Service.
[FR Doc. 2023-09641 Filed 5-5-23; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register: August 17, 2009 (Volume 74, Number 157)]
[Notices]
[Page 41470-41472]
[DOCID:fr17au09-120]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-60462; File No. SR-FINRA-2009-050]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to
FINRA Rule 8312 (FINRA BrokerCheck Disclosure)

August 7, 2009.
    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 July 24, 2009, Financial Industry Regulatory Authority, Inc.
(``FINRA'') filed with the Securities and Exchange Commission (``SEC''
or ``Commission'') the proposed rule change as described in Items I,
II, and III below, which Items have been prepared by FINRA. 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\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

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

    FINRA is proposing to amend FINRA Rule 8312 (FINRA BrokerCheck
Disclosure) to retain and make publicly available in BrokerCheck
certain information about former associated persons of a member who
were the subject of a final regulatory action as defined in Form U4
that has been reported to the Central Registration Depository
(``CRD[supreg]'' or ``CRD System'') via a uniform registration form.\3\
---------------------------------------------------------------------------

    \3\ The uniform registration forms are Form BD (Uniform
Application for Broker-Dealer Registration), Form BDW (Uniform
Request for Broker-Dealer Withdrawal), Form U4 (Uniform Application
for Securities Industry Registration or Transfer), Form U5 (Uniform
Termination Notice for Securities Industry Registration), and Form
U6 (Uniform Disciplinary Action Reporting Form).
---------------------------------------------------------------------------

    The text of the proposed rule change is available on FINRA's Web
site at http://www.finra.org, at the principal office of FINRA 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, FINRA 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. FINRA 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
    FINRA Rule 8312 governs the information FINRA releases to the
public via BrokerCheck. FINRA established BrokerCheck (then known as
the Public Disclosure Program) in 1988 to provide the public with
information on the professional background, business practices, and
conduct of FINRA members and their associated persons. Via BrokerCheck,
FINRA releases to the public certain information reported on uniform
registration forms to the CRD System. The primary purpose of
BrokerCheck is to help investors make informed choices about the
individuals and firms with which they may wish to do business.
    Currently, as described in FINRA Rule 8312, BrokerCheck provides
information regarding current and former members, as well as current
associated persons and persons who were associated with a member within
the preceding two years. The proposed rule change would expand
BrokerCheck with respect to former associated persons to provide public
access to certain information about such persons, regardless of when
they were associated with a member, if they were the subject of any
final regulatory action as defined in Form U4 that has been reported to
CRD via a uniform registration form.\4\ For purposes of the proposed
rule change, a final regulatory action as defined in Form U4 may
include any final action, including any action that is on appeal, by
the SEC, Commodity Futures Trading Commission, a federal banking
agency, the National Credit Union Administration, another federal
regulatory agency, a state regulatory agency, a foreign financial
regulatory authority, or a self-regulatory organization (as those terms
are used in Form U4).\5\ To illustrate, actions that are delineated in
current Form U4 Questions 14C, 14D, or 14E would be considered ``final
regulatory actions.'' Similarly, actions that are detailed in current
Form U5 Question 7D, and have a status of ``final'' or ``on appeal,''
would be considered ``final regulatory actions'' as such actions are
also addressed in Form U4.\6\
---------------------------------------------------------------------------

    \4\ Because the information disclosed through BrokerCheck is
derived from the CRD System, BrokerCheck will only disclose
information regarding regulatory actions that have been reported to
CRD via a uniform registration form.
    \5\ A final regulatory action would not include any action
limited to the revocation or suspension of an individual's
authorization to act as an attorney, accountant or federal
contractor (current Form U4 Question 14F).
    \6\ FINRA staff also will review responses to all Regulatory
Action Disclosure questions and Disclosure Review Pages on the Forms
U4 and U5 (including the predecessor questions in this area), as
well as information filed on Form U6 to determine whether a former
associated person is subject to a final regulatory action and should
therefore be included in BrokerCheck pursuant to the proposed rule
change. Under the proposed rule change, FINRA may disclose a final
action that is reported by a regulator on a Form U6 even if that
action has not been reported by an individual on a Form U4 because,
for example, the individual was not registered at the time the final
regulatory action was reported.
---------------------------------------------------------------------------

    The proposed rule change would allow the public access to
information about formerly registered persons who, although no longer
in the securities industry in a registered capacity, may work in other
investment-related industries or attain other positions of trust and
about whom investors may wish to learn relevant disciplinary
information. Specifically, FINRA would disclose through BrokerCheck

information concerning any final regulatory action(s), as well as
certain administrative information (e.g., employment and registration
history) and information as to qualification examinations, if
available, regarding these formerly registered individuals. FINRA also
would provide the most recently submitted comment, if any, provided by
the subject person, presuming the comment is in the form and in
accordance with the procedures established by FINRA and relates to the
information provided through BrokerCheck. The proposed rule change
would not expand access to other information that may be part of the
CRD System regarding the former registered person, such as customer
complaints, bankruptcies, liens, criminal events or arbitration claims.
    FINRA notes that the amount and format of information made
available for this expanded category of individuals will depend in part
on when such individuals left the securities industry, and whether
their CRD data is available in Web-based format. Since FINRA launched
its Web-based CRD system (``Web CRD'') in 1999, it has used the
information in the Web CRD database to generate BrokerCheck reports.
The Web CRD database contains information regarding all persons that
have been registered with FINRA since the implementation of the Legacy
CRD system in 1981. The majority of those records contain
administrative and disclosure information and are in the Web CRD
format. However, two conditions apply to a small percentage of
individuals who were no longer registered at the time Web CRD was
established in 1999. First, not all of these individuals' records are
available in the Web CRD format; instead, their records exist in the
Legacy CRD format.\7\ Second, for a very small percentage of
individuals, certain administrative information is unavailable in
either the Web or Legacy CRD format.\8\
---------------------------------------------------------------------------

    \7\ For prudential reasons, FINRA did not convert into the Web
CRD format the data for all individuals whose FINRA registrations
were terminated prior to November 1996 (``Legacy CRD individuals'');
instead, these records were moved to Web CRD in their Legacy CRD
data format. As a result of the different data formats, and certain
technical and operational challenges associated with providing
information on eligible Legacy CRD individuals, FINRA expects to
implement the expanded program in two phases. Eligible individuals
whose records are in the Web CRD format will be available in the
first phase; eligible individuals whose records are in the Legacy
format will be available in the second phase.
    \8\ During the existence of the Legacy CRD system, FINRA removed
from the system administrative data for individuals who had ceased
being registered for a period of time to free up storage space on
the system. As a result, this data was not moved to Web CRD (in
either Legacy or Web CRD format) and is not available for display in
BrokerCheck.
---------------------------------------------------------------------------

    Consequently, FINRA expects that, for the large majority of the
individuals who will be subject to BrokerCheck as a result of the
proposed expansion, all of the information proposed to be disclosed
(i.e., information regarding final regulatory actions, employment and
registration history, qualification examinations, and most recent
comment) will be made available to the public. FINRA recognizes,
however, that for a limited number of individuals whose registration
with FINRA ceased prior to 1999, not all of the administrative data and
qualification information will be available. In such situations, only
the individual's name, information about any final regulatory actions,
and the most recent comment, if any, will be disclosed through
BrokerCheck.
    With respect to individuals whose records exist in the Legacy CRD
format, FINRA staff will manually prepare the BrokerCheck report (upon
request), convert the report to an electronic format, and make the
report available through BrokerCheck to a requester. FINRA staff will
endeavor to respond promptly to requests for information regarding
these persons. This protocol also will allow FINRA staff to review the
information to determine if the content is in the form and in
accordance with the procedures established by FINRA prior to making the
information available through BrokerCheck.\9\ Upon identifying or being
made aware of the inclusion in a BrokerCheck report of potentially
inappropriate information, including customer names, confidential
account information or possibly offensive or potentially defamatory
language, FINRA will continue to employ a balancing test to weigh the
value of the language in controversy for regulatory and investor
protection purposes against the objector's asserted privacy rights and/
or potential defamation claims. Based on this balancing, FINRA could
determine to redact the controversial language from BrokerCheck reports
on a case-by-case basis.\10\
---------------------------------------------------------------------------

    \9\ See, e.g., Securities Exchange Act Release No. 42402
(February 7, 2000), 65 FR 7582 (February 15, 2000) (Order Approving
SR-NASD-99-45).
    \10\ See, e.g., Securities Exchange Act Release No. 42402
(February 7, 2000), 65 FR 7582 (February 15, 2000) (Order Approving
SR-NASD-99-45).
---------------------------------------------------------------------------

    FINRA believes this measured expansion of BrokerCheck strikes a
balance between, on the one hand, investor protection interests, and on
the other hand, personal privacy and fairness to former registered
persons. In this regard, FINRA notes that much of the information that
would be subject to release pursuant to the proposed rule change (i.e.,
information concerning certain final regulatory actions) may be
available through other public sources. For example, FINRA provides
information about its disciplinary actions involving current and
formerly registered persons on its Web site; information about other
actions that would be considered final regulatory actions may be
available through other public sources, such as online search engines,
regulators' Web sites, and fee-based services such as Lexis or Westlaw.
Further, final regulatory actions are subject to procedures that allow
an opportunity for the subject person to present arguments to a fact-
finder about the allegations prior to the final disposition of the
matter. In addition, final regulatory actions may be relevant or
material to investors wishing to find out disciplinary information
about a formerly registered person. As a result, providing this
information through BrokerCheck would provide the public with a useful
method to discover information about former registered persons without
undue burden on formerly registered persons. As mentioned above, the
former registered person has the opportunity to submit a comment for
publication in BrokerCheck in response to information provided through
BrokerCheck, provided the comment is in the form and in accordance with
the procedures established by FINRA and relates to the information
provided through BrokerCheck.
    In further recognition of FINRA's attempt to strike a balance
between personal privacy and investor protection concerns, as noted
above, FINRA is not proposing to expand access to other information
that may be part of the CRD System regarding former registered persons
who have not been registered with a member for more than two years,
such as bankruptcies, liens, criminal events or arbitration claims. In
that regard, FINRA believes that these other categories of information
are more relevant to an investor or potential customer when the
individual is registered or was recently registered (i.e., within two
years). FINRA also notes that, unlike final regulatory actions,
arbitration claims may not be subject to procedures that allow an
opportunity for the subject person to present arguments to a fact-
finder about the allegations prior to final disposition (including,
e.g., arbitration claims filed at or near the time the subject person
left the industry). Further, a firm may

choose to settle an arbitration claim (e.g., for business reasons)
notwithstanding the desire of a subject person to contest the claim. In
addition, both criminal charges and convictions that are reported
subsequently may have a different disposition, which may significantly
change the meaning of the matter as originally reported (for example,
such charges or convictions may be dismissed or expunged). Finally,
FINRA does not view reportable financial matters (e.g., bankruptcies
and liens) as having the same degree of materiality as final regulatory
actions such that they should continue to be disclosed on a permanent
basis.
    FINRA will announce the effective date of the proposed rule change
in a Regulatory Notice to be published no later than 60 days following
Commission approval.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\11\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. The proposed rule change, among other things, would
enhance investor protection by providing access through the BrokerCheck
program to certain information about former associated persons of a
member who were the subject of a final regulatory action as defined in
Form U4 that has been reported to CRD on a uniform registration form.
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------

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

    FINRA 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 were neither solicited nor received.

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

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-FINRA-2009-050 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-FINRA-2009-050. This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/
rules/sro.shtml). Copies of the submission, all subsequent amendments,
all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for inspection
and copying in the Commission's Public Reference Room, 100 F Street,
NE., Washington, DC 20549, on official business days between the hours
of 10 a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of FINRA. 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-FINRA-2009-050 and should be
submitted on or before September 8, 2009.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
---------------------------------------------------------------------------

    \12\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-19571 Filed 8-14-09; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 79, Number 136 (Wednesday, July 16, 2014)]
[Notices]
[Pages 41546-41547]
[FR Doc No: 2014-16656]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. AD14-14-000]

Price Formation in Energy and Ancillary Services Markets Operated
by Regional Transmission Organizations and Independent System
Operators; Notice of Workshop

    As announced in the Notice issued on June 19, 2014, the Federal
Energy Regulatory Commission (Commission) directed its staff to convene
workshops as necessary to commence a discussion with industry on
existing market rules and operational practices affecting price
formation issues in energy and ancillary services markets operated by
Regional Transmission Organizations (RTOs) and Independent System
Operators (ISOs). The June 19 Notice listed four areas of interest:
Uplift payments, offer price mitigation and price caps, scarcity and
shortage pricing, and operator actions that affect prices. The first
workshop will focus on uplift payments in energy and ancillary services
markets operated by RTOs and ISOs and will be held on Monday, September
8, 2014 from 8:45 a.m. to 5:00 p.m. in the Commission Meeting Room at
the Federal Energy Regulatory Commission, 888 First Street NE.,
Washington, DC 20426. Commission members may participate in the
workshop.
    The September 8 workshop will focus on the technical, operational
and market issues that give rise to uplift payments and the levels of
transparency. The workshop will also preview the scope of the remaining
price formation topics of offer price mitigation and price caps,
scarcity and shortage pricing, and operator actions that affect prices.
As noted in the June 19 Notice, additional workshops will be announced
on these topics in the coming months.
    The workshop will be open for the public to attend. Advance
registration is not required, but is encouraged. Attendees may register
at the following Web page: https://www.ferc.gov/whats-new/registration/09-08-14-form.asp.
    Those wishing to participate in the program for this event should
nominate themselves through the on-line registration form no later than
July 30, 2014 at the following Web page: https://www.ferc.gov/whats-new/registration/09-08-14-speaker-form.asp. At this Web page, please
provide an abstract (1,500 character limit) of the issue(s) you propose
to address. Due to time constraints, we expect to not be able to
accommodate all those interested in speaking.
    Further details and a formal agenda will be issued prior to the
workshop.
    Information on this event will be posted on the Calendar of Events
on the Commission's Web site, www.ferc.gov, prior to the event. The
workshop will also be Webcast and transcribed. Anyone with Internet
access who desires to listen to this event can do so by navigating to
the Calendar of Events at www.ferc.gov and locating this event in the
Calendar. The event will contain a link to the webcast. The Capitol
Connection provides technical support for webcasts and offers the
option of listening to the meeting via phone-bridge for a fee. If you
have any questions, visit www.CapitolConnection.org or call 703-993-
3100.
    Commission workshops are accessible under section 508 of the
Rehabilitation Act of 1973. For accessibility accommodations, please
send an email to<EMAIL_ADDRESS>or call toll free 1-866-208-
3372 (voice) or<PHONE_NUMBER> (TTY), or send a FAX to<PHONE_NUMBER> with
the required accommodations.
    For further information on this workshop, please contact:

Sarah McKinley (Logistical Information), Office of External Affairs,
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426,<PHONE_NUMBER><EMAIL_ADDRESS>William Sauer (Technical Information), Office of Energy Policy and
Innovation, Federal Energy Regulatory Commission, 888 First Street NE.,
Washington, DC 20426,<PHONE_NUMBER><EMAIL_ADDRESS>

     Dated: July 9, 2014.
Kimberly D. Bose,
Secretary.
[FR Doc. 2014-16656 Filed 7-15-14; 8:45 am]
BILLING CODE 6717-01-P