[Federal Register Volume 80, Number 154 (Tuesday, August 11, 2015)]
[Notices]
[Pages 48125-48128]
[FR Doc No: 2015-19646]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-75613; File No. SR-NASDAQ-2015-059]

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order
Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2
Thereto, To List and Trade Shares of the Reaves Utilities ETF of ETFis
Series Trust I

August 5, 2015.

I. Introduction

    On June 2, 2015, The NASDAQ Stock Market LLC (``Exchange'') 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 list and
trade shares (``Shares'') of the Reaves Utilities ETF (``Fund'') of
ETFis Series Trust I (``Trust'') under Nasdaq Rule 5735. On June 12,
2015, the Exchange filed Amendment No. 1 to the proposed rule change.
The Commission published notice of the proposed rule change, as
modified by Amendment No. 1, in the Federal Register on June 22,
2015.\3\ On June 17, 2015, the Exchange filed Amendment No. 2 to the
proposed rule change.\4\ The Commission received no comments on the
proposal, as modified by Amendment No. 1. This order approves the
proposed rule change, as modified by Amendment Nos. 1 and 2.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 75178 (June 16,
2015), 80 FR 35682 (``Notice'').
    \4\ In Amendment No. 2, the Exchange clarified the term ``cash
equivalents'' in the Other Investments section means only money
market instruments, short duration repurchase agreements, and short
duration commercial paper. Amendment No. 2 is not subject to notice
and comment because it is a technical amendment that does not
materially alter the substance of the proposed rule change or raise
any novel regulatory issues.

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II. The Exchange's Description of the Proposal \5\
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    \5\ The Commission notes that additional information regarding
the Trust, the Fund, and the Shares, including investment
strategies, risks, net asset value (``NAV'') calculation, creation
and redemption procedures, fees, Fund holdings disclosure policies,
distributions, and taxes, among other information, is included in
the Notice and the Registration Statement, as applicable. Terms not
defined herein are defined in the Notice. See Notice and
Registration Statement, supra note 3 and infra note 6, respectively.
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General

    The Fund will be an actively-managed exchange-traded fund
(``ETF''). The Shares will be offered by the Trust, which was
established as a Delaware statutory trust on September 20, 2012. The
Trust is registered with the Commission as an investment company and
has filed a registration statement on Form N-1A (``Registration
Statement'') with the Commission.\6\ The Fund will be a series of the
Trust. Etfis Capital LLC will be the investment adviser (``Adviser'')
to the Fund, and W.H. Reaves & Co., Inc. (d/b/a Reaves Asset
Management) will be the investment sub-adviser (``Sub-Adviser'') to the
Fund.\7\ ETF Distributors LLC will be the principal underwriter and
distributor of the Fund's Shares. The Bank of New York Mellon (``BNY
Mellon'') will act as the administrator, accounting agent, custodian,
and transfer agent to the Fund.
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    \6\ See Registration Statement on Form N-1A for the Trust filed
on January 30, 2015 (File Nos. 333-187668 and 811-22819)
(``Registration Statement'').
    \7\ The Adviser is not registered as a broker-dealer; however
the Adviser is affiliated with a broker-dealer. The Sub-Adviser is
registered as a broker-dealer. The Adviser has implemented a fire
wall with respect to its broker-dealer affiliate, and the Sub-
Adviser has also implemented a firewall, regarding access to
information concerning the composition and/or changes to the
portfolio. In addition, personnel of both the Adviser and the Sub-
Adviser who make decisions on the Fund's portfolio composition will
be subject to procedures designed to prevent the use and
dissemination of material non-public information regarding the
Fund's portfolio. In the event (a) the Adviser registers as a
broker-dealer, or (b) any new adviser or sub-adviser is a registered
broker-dealer or becomes affiliated with a broker-dealer, it will
implement a fire wall with respect to its relevant personnel and/or
such broker-dealer affiliate, if applicable, regarding access to
information concerning the composition and/or changes to the
portfolio and will be subject to procedures designed to prevent the
use and dissemination of material non-public information regarding
such portfolio. See Notice, supra note 3, 80 FR at 35683.
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Principal Investments

    The Fund's investment objective will be to seek to provide total
return through a combination of capital appreciation and income. Under
normal market conditions, the Fund will invest not less than 80% of its
total assets in exchange-listed equity securities of companies in the
Utility Sector (``Utility Sector Companies''). The Fund considers a
company to be a ``Utility Sector Company'' if the company is a utility
or if at least 50% of the company's assets or customers are committed
to (or at least 50% of the company's revenues, gross income or profits
are derived from) the provision of products, services, or equipment for
the generation or distribution of electricity, gas, or water.

Other Investments

    To seek its investment objective, the Fund may hold cash and invest
in U.S. exchange-traded options overlying securities and securities
indexes and the following cash equivalents: money market instruments;
short-duration, high-quality repurchase agreements; \8\ and short
duration commercial paper.\9\ The Fund also may make short sales.
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    \8\ See id. at 35682, n.3.
    \9\ See Amendment No. 2, supra note 4.
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III. Discussion and Commission's Findings

    After careful review, the Commission finds that the proposed rule
change is consistent with the requirements of Section 6 of the Act \10\
and the rules and regulations thereunder applicable to a national
securities exchange.\11\ In particular, the Commission finds that the
proposal is consistent with Section 6(b)(5) of the Act,\12\ which
requires, among other things, that the Exchange's rules be designed to
promote just and equitable principles of trade, 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. The Commission notes that the Fund and the Shares must comply
with the initial and continued listing criteria in Nasdaq Rule 5735 for
the Shares to be listed and traded on the Exchange.
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    \10\ 15 U.S.C. 78f.
    \11\ 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).
    \12\ 15 U.S.C. 78f(b)(5).
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    The Commission finds that the proposal to list and trade the Shares
on the Exchange is consistent with Section 11A(a)(1)(C)(iii) of the
Act,\13\ which sets forth Congress' finding that it is in the public
interest and appropriate for the protection of investors and the
maintenance of fair and orderly markets to assure the availability to
brokers, dealers, and investors of information with respect to
quotations for, and transactions in, securities. Quotation and last-
sale information for the Shares and any underlying exchange-traded
products other than options will be available via Nasdaq proprietary
quote and trade services, as well as in accordance with the Unlisted
Trading Privileges and the Consolidated Tape Association plans for the
Shares. Quotation and last-sale information for options is available
via the Options Price Reporting Authority (``OPRA''). In addition, the
Intraday Indicative Value,\14\ as defined in Nasdaq Rule 5735(c)(3),
available on the NASDAQ OMX Information LLC proprietary index data
service, will be widely disseminated by one or more major market data
vendors at least every 15 seconds during the Regular Market
Session.\15\ On each business day, before commencement of trading in
Shares in the Regular Market Session \16\ on the Exchange, the Fund
will disclose on its Web site the identities and quantities of the
portfolio of securities and other assets (the ``Disclosed Portfolio''
as defined in Nasdaq Rule 5735(c)(2)) held by the Fund that will form
the basis for the Fund's calculation of NAV at the end of the business
day.\17\ BNY Mellon, through the National Securities Clearing
Corporation, will make available on each business day, prior to the
opening of business of the Exchange (currently 9:30 a.m., E.T.), the
list of the names and the quantity of each Deposit

Security to be included in the current Fund Deposit (based on
information at the end of the previous business day). The NAV of the
Fund will be determined as of the close of trading (normally 4:00 p.m.,
E.T.) on each day the New York Stock Exchange is open for business.\18\
Information regarding market price and trading volume of the Shares
will be continually available on a real-time basis throughout the day
on brokers' computer screens and other electronic services. Information
regarding the previous day's closing price and trading volume
information for the Shares will be published daily in the financial
section of newspapers. Price information regarding the equity
securities, options, money market instruments and money market funds
held by the Fund will be available through the U.S. exchanges trading
such assets, in the case of exchange-traded securities, as well as
automated quotation systems, published or other public sources, or on-
line information services such as Bloomberg or Reuters. Intra-day price
information for all assets held by the Fund will also be available
through subscription services, such as Bloomberg, Markit and Thomson
Reuters, which can be accessed by Authorized Participants and other
investors. The Fund's Web site will include a form of the prospectus
for the Fund and additional data relating to NAV and other applicable
quantitative information.
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    \13\ 15 U.S.C. 78k-1(a)(1)(C)(iii).
    \14\ The Intraday Indicative Value will be calculated using
estimated intraday values of the components of the Fund's Disclosed
Portfolio. For the definition of ``Disclosed Portfolio'', see infra
note 17 and accompanying text.
    \15\ Currently, the NASDAQ OMX Global Index Data Service
(``GIDS'') is the NASDAQ OMX global index data feed service. The
Exchange represents that GIDS offers real-time updates, daily
summary messages, and access to widely followed indexes and Intraday
Indicative Values for ETFs and that GIDS provides investment
professionals with the daily information needed to track or trade
NASDAQ OMX indexes, listed ETFs, or third-party partner indexes and
ETFs.
    \16\ See Nasdaq Rule 4120(b)(4) (describing the three trading
sessions on the Exchange: (1) Pre-Market Session from 4 a.m. to 9:30
a.m., E.T.; (2) Regular Market Session from 9:30 a.m. to 4:00 p.m.
or 4:15 p.m., E.T.; and (3) Post-Market Session from 4:00 p.m. or
4:15 p.m. to 8:00 p.m., E.T.).
    \17\ The Fund's disclosure of derivative positions in the
Disclosed Portfolio will include information that market
participants can use to value these positions intraday. On a daily
basis, the Fund will disclose on the Fund's Web site the following
information regarding each portfolio holding, as applicable to the
type of holding: Ticker symbol, CUSIP number or other identifier, if
any; a description of the holding (including the type of holding);
the identity of the security or other asset or instrument underlying
the holding, if any; for options, the option strike price; quantity
held (as measured by, for example, par value, notional value or
number of shares, contracts or units); maturity date, if any; coupon
rate, if any; effective date, if any; market value of the holding;
and the percentage weighting of the holding in the Fund's portfolio.
    \18\ NAV will be calculated for the Fund by taking the market
price of the Fund's total assets, including interest or dividends
accrued but not yet collected, less all liabilities, and dividing
this amount by the total number of Shares outstanding.
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    The Commission further believes that the proposal to list and trade
the Shares is reasonably designed to promote fair disclosure of
information that may be necessary to price the Shares appropriately and
to prevent trading when a reasonable degree of transparency cannot be
assured. The Exchange will obtain a representation from the issuer of
the Shares that the NAV per Share will be calculated daily and that the
NAV and the Disclosed Portfolio will be made available to all market
participants at the same time. Trading in the Shares will be halted
under the conditions specified in Nasdaq Rules 4120 and 4121, including
the trading pause provisions under Nasdaq Rules 4120(a)(11) and (12).
Trading in the Shares may be halted because of market conditions or for
reasons that, in the view of the Exchange, make trading in the Shares
inadvisable,\19\ and trading in the Shares will be subject to Nasdaq
Rule 5735(d)(2)(D), which sets forth circumstances under which trading
in the Shares may be halted. The Exchange states that it has a general
policy prohibiting the distribution of material, non-public information
by its employees. Further, the Commission notes that the Reporting
Authority \20\ that provides the Disclosed Portfolio must implement and
maintain, or be subject to, procedures designed to prevent the use and
dissemination of material, non-public information regarding the actual
components of the portfolio.\21\ In addition, the Exchange states that
the Adviser is not registered as a broker-dealer; however the Adviser
is affiliated with a broker-dealer, and the Sub-Adviser is registered
as a broker-dealer. The Adviser has implemented a fire wall with
respect to its broker-dealer affiliate, and the Sub-Adviser has also
implemented a firewall regarding access to information concerning the
composition and/or changes to the portfolio, and personnel who make
decisions on the Fund's portfolio composition will be subject to
procedures designed to prevent the use and dissemination of material
non-public information regarding the Fund's portfolio.\22\ The Exchange
represents that trading in the Shares will be subject to the existing
trading surveillances, administered by both Nasdaq and also FINRA on
behalf of the Exchange, which are designed to detect violations of
Exchange rules and applicable federal securities laws.\23\ The Exchange
further represents that these procedures are adequate to properly
monitor Exchange trading of the Shares in all trading sessions and to
deter and detect violations of Exchange rules and applicable federal
securities laws. Moreover, prior to the commencement of trading, the
Exchange states that it will inform its members in an Information
Circular of the special characteristics and risks associated with
trading the Shares.
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    \19\ These reasons may include: (1) The extent to which trading
is not occurring in the securities and/or the other assets
constituting the Disclosed Portfolio of the Fund; or (2) whether
other unusual conditions or circumstances detrimental to the
maintenance of a fair and orderly market are present. With respect
to trading halts, the Exchange may consider all relevant factors in
exercising its discretion to halt or suspend trading in the Shares.
    \20\ Nasdaq Rule 5730(c)(4) defines ``Reporting Authority.''
    \21\ See Nasdaq Rule 5735(d)(2)(B)(ii).
    \22\ See supra note 7. The Exchange states that an investment
adviser to an open-end fund is required to be registered under the
Investment Advisers Act of 1940.
    \23\ The Exchange states that FINRA surveils trading on the
Exchange pursuant to a regulatory services agreement and that the
Exchange is responsible for FINRA's performance under this
regulatory services agreement.
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    The Exchange represents that the Shares are deemed to be equity
securities, thus rendering trading in the Shares subject to the
Exchange's existing rules governing the trading of equity securities.
In support of this proposal, the Exchange has made representations,
including the following:
    (1) The Shares will be subject to Rule 5735, which sets forth the
initial and continued listing criteria applicable to Managed Fund
Shares.
    (2) The Exchange has appropriate rules to facilitate transactions
in the Shares during all trading sessions.
    (3) FINRA, on behalf of the Exchange, will communicate as needed
regarding trading in the Shares and other exchange-traded securities
and instruments held by the Fund with other markets and other entities
that are members of the Intermarket Surveillance Group (``ISG''),\24\
and FINRA may obtain trading information regarding trading in the
Shares and other exchange-traded securities and instruments held by the
Fund from such markets and other entities. In addition, the Exchange
may obtain information regarding trading in the Shares and other
exchange-traded securities and instruments held by the Fund from
markets and other entities that are members of ISG, or with which the
Exchange has in place a comprehensive surveillance sharing agreement.
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    \24\ For a list of the current members of ISG, see
www.isgportal.org. The Exchange notes that not all components of the
Disclosed Portfolio may trade on markets that are members of ISG or
with which the Exchange has in place a comprehensive surveillance
sharing agreement.
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    (4) Prior to the commencement of trading, the Exchange will inform
its members in an Information Circular of the special characteristics
and risks associated with trading the Shares. Specifically, the
Information Circular will discuss the following: (a) The procedures for
purchases and redemptions of Shares in creation units (and that Shares
are not individually redeemable); (b) Nasdaq Rule 2111A, which imposes
suitability obligations on Nasdaq members with respect to recommending
transactions in the Shares to customers; (c) how information regarding
the Intraday Indicative Value is disseminated; (d) the risks involved
in trading the Shares during the Pre-Market and Post-Market Sessions
when an updated Intraday Indicative Value will not be calculated or
publicly disseminated; (e) the requirement that members deliver a
prospectus to investors purchasing

newly issued Shares prior to or concurrently with the confirmation of a
transaction; and (f) trading information.
    (5) For initial and continued listing, the Fund must be in
compliance with Rule 10A-3 under the Act.\25\
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    \25\ See 17 CFR 240.10A-3.
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    (6) The Fund's net assets that are invested in exchange-traded
equities, including ETPs and common stock, will be invested in
instruments that trade in markets that are members of ISG or are
parties to a comprehensive surveillance sharing agreement with the
Exchange.
    (7) The Fund may hold up to an aggregate amount of 15% of its net
assets in illiquid securities and other illiquid assets (calculated at
the time of investment). The Fund will monitor its portfolio liquidity
on an ongoing basis to determine whether, in light of current
circumstances, an adequate level of liquidity is being maintained, and
will consider taking appropriate steps in order to maintain adequate
liquidity if, through a change in values, net assets, or other
circumstances, more than 15% of the Fund's net assets are held in
illiquid securities or other illiquid assets.
    (8) Under normal market conditions, the Fund will invest not less
than 80% of its total assets in exchange-listed equity securities of
companies in the utility sector.
    (9) Under normal market conditions, no more than 20% of the value
of the Fund's net assets will be invested in any combination of cash
and cash equivalents, which include only money market instruments,
short duration repurchase agreements, and short duration commercial
paper, and U.S. exchange-traded options on securities and securities
indexes.
    (10) The Fund's investments will be consistent with its investment
objective. The Fund does not presently intend to engage in any form of
borrowing for investment purposes, except in the case of short sales
and will not be operated as a ``leveraged ETF,'' i.e., it will not be
operated in a manner designed to seek a multiple of the performance of
an underlying reference index.
    (11) A minimum of 100,000 Shares will be outstanding at the
commencement of trading on the Exchange.
    This approval order is based on all of the Exchange's
representations, including those set forth above and in the Notice, and
the Exchange's description of the Fund.
    For the foregoing reasons, the Commission finds that the proposed
rule change is consistent with Section 6(b)(5) of the Act \26\ and the
rules and regulations thereunder applicable to a national securities
exchange.
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    \26\ 15 U.S.C. 78f(b)(5).
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IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\27\ that the proposed rule change (SR-NASDAQ-2015-059), as
modified by Amendment Nos. 1 and 2, be, and it hereby is, approved.
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    \27\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\28\
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    \28\ 17 CFR 200.30-3(a)(12).
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Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-19646 Filed 8-10-15; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 75, Number 215 (Monday, November 8, 2010)]
[Notices]
[Pages 68656-68657]
[FR Doc No: 2010-28184]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-63229; File No. SR-NYSE-2010-71]

Self-Regulatory Organizations; Notice of Filing and Immediate
Effectiveness of Proposed Rule Change by New York Stock Exchange LLC To
Increase the Maximum Order Size Accepted by Floor Broker Systems From
25,000,000 Shares to 99,000,000 Shares

November 2, 2010.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that on November 1, 2010, New York Stock Exchange LLC (``NYSE''
or the ``Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as described in Items I
and II below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend NYSE Rule 1000 regarding the maximum
order size accepted by Floor broker systems from 25,000,000 shares to
99,000,000 shares. The text of the proposed rule change is available at
the Exchange, on the Commission's Web site at http://www.sec.gov, at
the Commission's Public Reference Room, and http://www.nyse.com.

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

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

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

1. Purpose
    The Exchange proposes to amend Rule 1000 to provide that Floor
broker systems shall accept a maximum order size of 99,000,000, an
increase from the current 25,000,000 share limit.
a. Background
    Floor brokers receive orders from customers via telephone and
electronic delivery to Floor broker systems. Details of orders
delivered to Floor broker systems are automatically transmitted to a
designated Exchange database as required by Rule 123(e). Orders
delivered telephonically must be manually entered by the broker (or
clerk) into Exchange systems in order to capture the order details in
the designated Exchange database pursuant to Rule 123(e) before the
broker can represent these orders on the Exchange. Exchange systems
currently accept orders up to 25,000,000 shares. Exchange systems
include Display Book[reg], which is the Exchange's matching engine, and
Floor broker systems, which are the systems made available to Floor
brokers to accept orders from customers and if warranted, enter such
orders into the Display Book. There is no limit on the size of orders
that can be transmitted to a Floor broker telephonically. Customers who
wish to send orders in excess of 25,000,000 shares must break these
orders into smaller sizes to send electronically or submit these orders
by telephone to the broker. The broker (or clerk) must then enter these
telephonic orders in smaller quantities into Exchange systems.
b. Proposed Amendment to NYSE Amex Equities Rule 1000
    The Exchange proposes to amend Rule 1000 to state that Floor broker
systems shall accept a maximum order size up to 99,000,000 shares. This
enhancement would allow more efficient electronic processing of very
large orders sent to Floor brokers.
    Orders sent to Display Book by Floor brokers are subject to the
same maximum order size of 25,000,000 shares as all other market
participants.
    The Exchange notes that parallel changes are proposed to be made to
the rules of the NYSE Amex LLC.\4\
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    \4\ See SR-NYSEAmex-2010-102.
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    The Exchange will implement the systemic changes on or about
December 10, 2010 and will notify Floor brokers when the Floor broker
systems have been modified to accept a maximum order size up to
99,000,000 shares.
2. Statutory Basis
    The basis under the Securities Exchange Act of 1934 (the ``Act'')
\5\ for this proposed rule change is the requirement under Section
6(b)(5) \6\ that an exchange have rules that are designed to promote
just and equitable principles of trade, 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.
The Exchange believes that the proposed rule change accomplishes these
goals by providing efficient methods for customers to transmit orders
to Floor brokers.
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    \5\ 15 U.S.C. 78a.
    \6\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

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

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

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

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

    Because the foregoing proposed rule change does not significantly
affect the protection of investors or the public interest, does not
impose any significant burden on competition, and, by its terms, does
not become operative for 30 days from the date on which it was filed,
or such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \7\ and Rule 19b-
4(f)(6) thereunder.\8\
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    \7\ 15 U.S.C. 78s(b)(3)(A).
    \8\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change, along with a
brief description and text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied this requirement.
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-NYSE-2010-71 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-NYSE-2010-71. 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 Web site 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
a.m. and 3 p.m. Copies of the filing also will be available for
inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-NYSE-2010-71 and should be
submitted on or before November 29, 2010.
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    \9\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\9\
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-28184 Filed 11-5-10; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 82, Number 48 (Tuesday, March 14, 2017)]
[Notices]
[Pages 13722-13723]
[FR Doc No: 2017-05052]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket No. FRA-2014-0011-N-02]

Proposed Renewal of Agency Information Collection Activities

AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).

ACTION: Notice and request for comments.

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

SUMMARY: Under the Paperwork Reduction Act of 1995 (PRA), this notice
announces that FRA is forwarding the renewal and reinstatement of the
Information Collection Request (ICR) abstracted below to the Office of
Management and Budget (OMB) for review, comment, and approval. The ICR
describes the information collections and the expected burden. On
December 6, 2016, FRA published a notice providing a 60-day period for
public comment on the ICR.

DATES: Comments must be submitted on or before April 13, 2017.

FOR FURTHER INFORMATION CONTACT: Ms. Kim Toone, Information Collection
Clearance Officer, Office of Administration, Office of Information
Technology, RAD-20, Federal Railroad Administration, 1200 New Jersey
Avenue SE., Mail Stop 35, Washington, DC 20590 (Telephone: (202) 493-
6132).

SUPPLEMENTARY INFORMATION: The PRA, 44 U.S.C. 3501-3520, and its
implementing regulations, 5 CFR part 1320, require Federal agencies to
issue two notices seeking public comment on information collection
activities before OMB may approve paperwork packages. 44 U.S.C. 3506,
3507; 5 CFR 1320.5, 1320.8(d)(1), 1320.10, and 1320.12. On December 6,
2016, FRA published a 60-day notice in the Federal Register soliciting
comment on the ICR for which it is now seeking OMB approval. See 81 FR
88001. FRA received no comments in response to this notice. Before OMB
decides whether to approve these proposed collections of information,
it must provide 30 days for public comment. OMB must approve or
disapprove paperwork packages between 30 and 60 days after the 30-day
notice is published. 44 U.S.C. 3507(b)-(c); 5 CFR 1320.10(b),
1320.12(d). OMB believes the 30-day notice gives the regulated
community opportunity to file relevant comments and affords the agency
adequate time to digest public comments before it renders a decision.
60 FR 44983, Aug. 29, 1995. Therefore, respondents should submit
comments to OMB within 30 days of this notice's publication to ensure
their consideration. Id. The summary below describes the ICR and its
expected burden.
    Title: Generic Clearance for the Collection of Qualitative Feedback
on Agency Service Delivery.
    OMB Control Number: 2130-0593.
    Abstract: This collection of information is necessary to enable FRA
to garner customer and stakeholder feedback in an efficient and timely
manner, consistent with our commitment to improving service delivery.
The information collected from our customers and stakeholders will help
ensure users have an effective, efficient, and satisfying experience
with FRA's programs. This feedback will provide insights into customer
or stakeholder perceptions, experiences, and expectations, provide an
early warning of issues with service, and focus attention on areas
where communication, training or changes in operations might improve
delivery of products or services. These collections will allow ongoing,
collaborative, and actionable communications between FRA and its
customers and stakeholders. It also allows feedback to contribute
directly to the improvement of program management.
    Improving FRA's programs requires ongoing assessment of service
delivery, meaning a systematic review of the operation of a program
compared to a set of explicit or implicit standards as a means of
contributing to the continuous improvement of the program. FRA will
collect, analyze, and interpret information gathered through this
generic clearance to identify strengths and weaknesses of current
services and make improvements in service delivery based on feedback.
The solicitation of feedback will target areas such as: Timeliness,
appropriateness, accuracy of information, courtesy, efficiency of
service delivery, and resolution of issues with service delivery. FRA
will assess responses to plan and inform efforts to improve or maintain
the quality of service offered to the public. If this information is
not collected, vital feedback from customers and stakeholders on FRA's
services will be unavailable.
    Type of Request: Extension without change of a previously approved
collection.
    Affected Public: Individuals and Households, Business and
Organizations, State, Local, or Tribal Governments.
    Form(s): N/A.
    Total Estimated Annual Responses: 2100.
    Total Estimated Annual Burden: 354 hours.
    Addressee: Send comments regarding these information collections to
the Office of Information and Regulatory Affairs, Office of Management
and Budget, 725 17th Street NW., Washington, DC 20503, Attention: FRA
Desk Officer. Comments may also be sent via email to OMB at the
following address<EMAIL_ADDRESS>    Comments are invited on the following: Whether the proposed
collections of information are necessary for DOT to properly perform
its functions, including: (1) Whether the information will have
practical utility; (2) the accuracy of DOT's estimates of the burden of
the proposed information collections; (3) ways to enhance the quality,
utility, and clarity of the information to be collected; and (4) ways
to minimize the burden of the collections of information on
respondents, including the use of automated collection techniques or
other forms of information technology.
    A comment to OMB is best assured of having its full effect if OMB
receives it within 30 days of publication of this notice in the Federal
Register.

    Authority: 44 U.S.C. 3501-3520; E.O. 12862, 58 FR 48257, Sep.
11, 1993; E.O. 13571, 76 FR 24339, April 27, 2011.

Sarah L. Inderbitzin,
Acting Chief Counsel.
[FR Doc. 2017-05052 Filed 3-13-17; 8:45 am]
 BILLING CODE 4910-06-P


[Federal Register: December 3, 2008 (Volume 73, Number 233)]
[Proposed Rules]
[Page 73629-73630]
[DOCID:fr03de08-16]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 60, 61, and 63

[EPA-HQ-OAR-2006-0640; FRL-8748-1]
RIN 2060-AJ86

Performance Specification and Quality Assurance Requirements for
Continuous Parameter Monitoring Systems and Amendments to Standards of
Performance for New Stationary Sources; National Emission Standards for
Hazardous Air Pollutants; and National Emission Standards for Hazardous
Air Pollutants for Source Categories

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of extension of comment period.

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

SUMMARY: EPA is announcing that the comment period on the proposed rule
for Performance Specification 17, ``Specifications and Test Procedures
for Continuous Parameter Monitoring Systems at Stationary Sources'' and
Procedure 4, ``Quality Assurance Requirements for Continuous Parameter
Monitoring Systems at Stationary Sources'' published on October 9,
2008, is extended to February 5, 2009. This comment period extension
also applies to the amendments proposed along with Performance
Specification 17 and Procedure 4 for continuous parameter monitoring
systems. EPA received requests for an extension to the comment period
from the American Chemistry Council and the Coalition for Responsible
Waste Incineration.

    The reason given for the request for the extension was the need for
additional time to review the proposed rules and assess their impact on
subject sources. Since the additional time is expected to afford
commenters the ability to prepare and submit more comprehensive and
detailed comments, EPA finds the requests for an extension of the
comment period reasonable.
    One commenter also requested a 60-day extension to the deadline for
requesting a public hearing on the proposed rule. No specific,
compelling reason was provided for granting this request; therefore EPA
finds the request for extending the deadline for requesting a public
hearing on the proposal not reasonable.

DATES: Comments: Comments on the proposed rule must be received on or
before February 5, 2009.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OAR-2006-0640, by one of the following methods:
     www.regulations.gov: Follow the on-line instructions for
submitting comments.
     E-mail<EMAIL_ADDRESS>Attention Docket ID No.
EPA-HQ-OAR-2006-0640.
     Fax:<PHONE_NUMBER>, Attention Docket ID No. EPA-HQ-OAR-
2006-0640.
     Mail: Air and Radiation Docket and Information Center,
Environmental Protection Agency, Mailcode: 6102T, 1200 Pennsylvania
Ave., NW., Washington, DC 20460, Attention Docket ID No. EPA-HQ-OAR-
2006-0640. Please include a total of two copies.
     Hand Delivery or Courier: EPA Docket Center (6102T), 1301
Constitution Avenue, NW., Room 3334, Washington, DC 20460, Attention
Docket ID No. EPA-HQ-OAR-2006-0640. Such deliveries are only accepted
during the Docket's normal hours of operation, and special arrangements
should be made for deliveries of boxed information. Please include a
total of two copies.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OAR-
2006-0640. 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 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 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 copyrighted material, will be publicly available only in hard copy.
Publicly available docket materials are available either electronically
in www.regulations.gov or in hard copy at the EPA Docket Center,
Performance Specification 17 and Procedure 4 for Continuous Parameter
Monitoring Systems Docket, EPA West, 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<PHONE_NUMBER>, and the
telephone number for the Air Docket is<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Mr. Barrett Parker, Sector Policies
and Programs Division, Office of Air Quality Planning and Standards
(D243-05), Environmental Protection Agency, Research Triangle Park,
North Carolina 27711, telephone number:<PHONE_NUMBER>; e-mail address:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

A. Does this action apply to me?

    To determine whether your facility, company, business,
organization, etc., is potentially affected by this action, you should
examine the proposed rule published on October 9, 2008 (73 FR 59956).
If you have any questions regarding the applicability of this action to
a particular entity, consult either the air permit authority for the
entity or your EPA regional representative.

B. What should I consider as I prepare my comments to EPA?

    Do not submit information containing CBI to EPA through
www.regulations.gov or e-mail. Send or deliver information identified
as CBI only to the following address: Roberto Morales, OAQPS Document
Control Officer (C404-02), Office of Air Quality Planning and
Standards, Environmental Protection Agency, Research Triangle Park, NC
27711, Attention Docket ID No. EPA-HQ-OAR-2006-0640. Clearly mark the
part or all of the information that you claim to be CBI. For CBI
information in a disk or CD-ROM that you mail to EPA, mark the outside
of the disk or CD-ROM as CBI and then identify electronically within
the disk or CD-ROM 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.

C. Where can I get a copy of this document?

    In addition to being available in the docket, an electronic copy of
this notice is available on the Worldwide Web (WWW) through the
Technology Transfer Network (TTN). Following signature, a copy of this
action will be posted on the TTN's policy and guidance page for newly
proposed or promulgated rules at http://www.epa.gov/ttn/oarpg. The TTN
provides information and technology exchange in various areas of air
pollution control.

    Dated: November 26, 2008.
Robert J. Meyers,
Principal Deputy Assistant Administrator for Air and Radiation.
[FR Doc. E8-28677 Filed 12-2-08; 8:45 am]

BILLING CODE 6560-50-P


[Federal Register Volume 78, Number 58 (Tuesday, March 26, 2013)]
[Notices]
[Page 18333]
[FR Doc No: 2013-06832]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RC11-6-004]

North American Electric Reliability Corporation; Notice of Filing

    Take notice that on March 15, 2013, the North American Electric
Reliability Corporation (NERC) submitted a compliance filing and report
in accordance with the Federal Energy Regulatory Commission's Order
(FERC or Commission) in North American Electric Reliability
Corporation, 138 FERC ] 61,193 (2012) (March 15 Order).
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211, 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed on or before the comment date. On or
before the comment date, it is not necessary to serve motions to
intervene or protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov. Persons unable to file electronically should submit an
original and 14 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street NE., Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the
``eLibrary'' link and is available for review in the Commission's
Public Reference Room in Washington, DC. There is an ``eSubscription''
link on the Web site that enables subscribers to receive email
notification when a document is added to a subscribed docket(s). For
assistance with any FERC Online service, please email
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.
    Comment Date: 5:00 p.m. Eastern Time on April 15, 2013.

    Dated: March 20, 2013.
Kimberly D. Bose,
Secretary.
[FR Doc. 2013-06832 Filed 3-25-13; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 77, Number 211 (Wednesday, October 31, 2012)]
[Rules and Regulations]
[Pages 65820-65821]
[FR Doc No: 2012-26817]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2012-0199]
RIN 1625-AA00

Safety Zone; Chicago Harbor, Navy Pier Southeast, Chicago, IL

AGENCY: Coast Guard, DHS.

ACTION: Notice of enforcement of regulation.

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

SUMMARY: The Coast Guard will enforce the Navy Pier Southeast Safety
Zone in Chicago Harbor at various times on November 24 and December 31,
2012 and January 1, 2013. This action is necessary and intended to
ensure safety of life on the navigable waters of the United States
immediately prior to, during, and immediately after fireworks events.
Enforcement of this safety zone will establish restrictions upon, and
control movement of, vessels in a specified area immediately prior to,
during, and immediately after various

fireworks events. During the enforcement period, no person or vessel
may enter the safety zones without permission of the Captain of the
Port, Sector Lake Michigan.

DATES: The regulations in 33 CFR 165.931 will be enforced on November
24, 2012 from 5:00 p.m. through 7:00 p.m.; on December 31, 2012 from
7:00 p.m. through 7:20 p.m.; and on December 31, 2012 from 11:45 p.m.
through 12:30 a.m. on January 1, 2013.

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice,
call or email MST1 Joseph McCollum, Prevention Department, Coast Guard
Sector Lake Michigan, Milwaukee, WI at<PHONE_NUMBER>, email
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Coast Guard will enforce the Safety
Zone; Chicago Harbor, Navy Pier Southeast, Chicago, IL listed in 33 CFR
165.931 for the following events:
    (1) Navy Pier Fireworks; on November 24, 2012 from 5:00 p.m.
through 7:00 p.m.; on December 31, 2012 from 7:00 p.m. through 7:20
p.m.; and on December 31, 2012 from 11:45 p.m. through 12:30 a.m. on
January 1, 2013.
    All vessels must obtain permission from the Captain of the Port,
Sector Lake Michigan, or his or her on-scene representative to enter,
move within or exit the safety zone. Vessels and persons granted
permission to enter the safety zone shall obey all lawful orders or
directions of the Captain of the Port, Sector Lake Michigan, or his or
her on-scene representative. While within a safety zone, all vessels
shall operate at the minimum speed necessary to maintain a safe course.
    This notice is issued under authority of 33 CFR 165.931 and 5
U.S.C. 552 (a). In addition to this notice in the Federal Register, the
Coast Guard will provide the maritime community with advance
notification of these enforcement periods via broadcast Notice to
Mariners or Local Notice to Mariners. The Captain of the Port, Sector
Lake Michigan, will issue a Broadcast Notice to Mariners notifying the
public when enforcement of the safety zone established by this section
is suspended. If the Captain of the Port, Sector Lake Michigan,
determines that the safety zone need not be enforced for the full
duration stated in this notice, he or she may use a Broadcast Notice to
Mariners to grant general permission to enter the safety zone. The
Captain of the Port, Sector Lake Michigan, or his or her on-scene
representative may be contacted via VHF Channel 16.

    Dated: October 18, 2012.
M.W. Sibley,
Captain, U.S. Coast Guard, Captain of the Port, Lake Michigan.
[FR Doc. 2012-26817 Filed 10-30-12; 8:45 am]
BILLING CODE 9110-04-P


http://www.law.state.ak.us/press/releases/2009/091809-CruiseIndustry.htm
l

Bottom of Form

  HYPERLINK "http://www.law.state.ak.us/index.html" \o "State of Alaska
Department of Law"  Department of Law  >   HYPERLINK
"http://www.law.state.ak.us/press/news.html" \o "Current year press
releases"  News & Announcements

FOR IMMEDIATE RELEASE

September 18, 2009

Attorney General Will Vigorously Defend Alaska in Cruise Industry
Lawsuit Against the State

Anchorage, Alaska – Attorney General Dan Sullivan said today the
Department of Law already is carefully reviewing the lawsuit by the
cruise ship industry challenging the legality of the passenger excise
tax enacted by citizens initiative in 2006. The lawsuit, Alaska Cruise
Association v. Patrick Galvin, was filed Thursday in the U.S. District
Court for Alaska.

"The cruise ship industry and the 1 million passengers who come to
Alaska every summer contribute significantly to Alaska’s economy," the
attorney general said. "The Parnell administration will continue to work
with the industry and Alaska businesses on ways to increase tourism and
the economic opportunity it provides for Alaskans.

"Today’s lawsuit, however, does not come as a surprise. The cruise
ship industry has been threatening to sue the state ever since Alaska
citizens voted to require passengers to pay their fair share of the
costs of services and facilities provided to host them. The Department
of Law will vigorously defend the state in this lawsuit."

The case is 3:09-cv-00195-RRB.

# # #

  HYPERLINK "http://www.law.state.ak.us/press/news.html" \o "Current
year press releases"  More Headlines...

The Attorney General and Department of Law staff may not provide legal
advice to private citizens or organizations. Please contact an attorney
if you need legal advice.   HYPERLINK "http://www.alaskabar.org/" \o "AK
Bar Association"  The Alaska Bar Association  or your local bar
association may be able to assist you in locating a lawyer. Many bar
associations also provide references for free legal assistance.

  HYPERLINK "http://www.state.ak.us/" \o "State of Alaska"  State of
Alaska  |   HYPERLINK
"http://www.law.state.ak.us/intranet/intranet.html" \o "Intranet"
Intranet  |   HYPERLINK "http://www.law.state.ak.us/site_index.html" \o
"Site Index"  Site Index  |   HYPERLINK
"http://www.law.state.ak.us/department/faq.html" \o "FAQ"  FAQ  |
HYPERLINK "http://www.law.state.ak.us/privacy_policy.html" \o "Privacy
Policy"  Privacy Policy  |   HYPERLINK
"http://www.law.state.ak.us/department/contact.html" \o "Contact Us"
Contact Us  |   HYPERLINK<EMAIL_ADDRESS>\o "Email
the Webmaster"  Webmaster


[Federal Register Volume 87, Number 63 (Friday, April 1, 2022)]
[Notices]
[Pages 19169-19171]
[FR Doc No: 2022-06861]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2022-0042]

Qualification of Drivers; Exemption Applications; Epilepsy and
Seizure Disorders

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

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

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

SUMMARY: FMCSA announces receipt of applications from eight individuals
for an exemption from the prohibition in the Federal Motor Carrier
Safety Regulations (FMCSRs) against persons with a clinical diagnosis
of epilepsy or any other condition that is likely to cause a loss of
consciousness or any loss of ability to control a commercial motor
vehicle (CMV) to drive in interstate commerce. If granted, the
exemptions would enable these individuals who have had one or more
seizures and are taking anti-seizure medication to operate CMVs in
interstate commerce.

DATES: Comments must be received on or before May 2, 2022.

ADDRESSES: You may submit comments identified by the Federal Docket
Management System (FDMS) Docket No. FMCSA-2022-0042 using any of the
following methods:
     Federal eRulemaking Portal: Go to www.regulations.gov/,
insert the docket number, FMCSA-2022-0042, in the keyword box, and
click ``Search.'' Next, sort the results by ``Posted (Newer-Older),''
choose the first notice listed, and click on the ``Comment'' button.
Follow the online instructions for submitting comments.
     Mail: Dockets Operations; U.S. Department of
Transportation, 1200 New Jersey Avenue SE, West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery: West Building Ground Floor, Room W12-140,
1200 New Jersey Avenue SE, Washington, DC, 20590-0001 between 9 a.m.
and 5 p.m., ET, Monday through Friday, except Federal Holidays.
     Fax:<PHONE_NUMBER>.
    To avoid duplication, please use only one of these four methods.
See the ``Public Participation'' portion of the SUPPLEMENTARY
INFORMATION section for instructions on submitting comments.

FOR FURTHER INFORMATION CONTACT: Ms. Christine A. Hydock, Chief,
Medical Programs Division,<PHONE_NUMBER>, [email protected], FMCSA,
DOT, 1200 New Jersey Avenue SE, Room W64-224, Washington, DC 20590-
0001. Office hours are 8:30 a.m. to 5 p.m., ET, Monday through Friday,
except Federal holidays. If you have questions regarding viewing or
submitting material to the docket, contact Dockets Operations, (202)
366-9826.

SUPPLEMENTARY INFORMATION:

I. Public Participation

A. Submitting Comments

    If you submit a comment, please include the docket number for this
notice (Docket No. FMCSA-2022-0042), indicate the specific section of
this document to which each comment applies, and provide a reason for
each suggestion or recommendation. You may submit your comments and
material online or by fax, mail, or hand delivery, but please use only
one of these means. FMCSA recommends that you include your name and a
mailing address, an email address, or a phone number in the body of
your document so that FMCSA can contact you if there are questions
regarding your submission.
    To submit your comment online, go to www.regulations.gov/docket?D=FMCSA-2022-0042. Next, sort the results by ``Posted (Newer-
Older),'' choose the first notice listed, click the ``Comment'' button,
and type your comment into the text box on the following screen. Choose
whether you are submitting your comment as an individual or on behalf
of a third party and then submit.
    If you submit your comments by mail or hand delivery, submit them
in an unbound format, no larger than 8\1/2\ by 11 inches, suitable for
copying and electronic filing. If you submit comments by mail and would
like to know that they reached the facility, please enclose a stamped,
self-addressed postcard or envelope.
    FMCSA will consider all comments and material received during the
comment period.

B. Viewing Comments

    To view comments go to www.regulations.gov. Insert the docket
number, FMCSA-2022-0042, in the keyword box, and click ``Search.''
Next, sort the results by ``Posted (Newer-Older),'' choose the first
notice listed, and click ``Browse Comments.'' If you do not have access
to the internet, you may view the docket online by visiting Dockets
Operations in Room W12-140 on the ground floor of the DOT West
Building, 1200 New Jersey Avenue SE, Washington, DC 20590-0001, between
9 a.m. and 5 p.m., ET, Monday through Friday, except Federal holidays.
To be sure someone is there to help you, please call<PHONE_NUMBER> or
(202) 366-9826 before visiting Dockets Operations.

C. Privacy Act

    In accordance with 49 U.S.C. 31315(b)(6), DOT solicits comments
from the public on the exemption request. DOT posts these comments,
without edit, including any personal information the commenter
provides, to www.regulations.gov, as described in the system of records
notice (DOT/ALL-14 FDMS), which can be reviewed at www.dot.gov/privacy.

II. Background

    Under 49 U.S.C. 31136(e) and 31315(b), FMCSA may grant an exemption
from the FMCSRs for no longer than a 5-year period if it finds such
exemption would likely achieve a level of safety that is equivalent to,
or

greater than, the level that would be achieved absent such exemption.
The statute also allows the Agency to renew exemptions at the end of
the 5-year period. FMCSA grants medical exemptions from the FMCSRs for
a 2-year period to align with the maximum duration of a driver's
medical certification.
    The eight individuals listed in this notice have requested an
exemption from the epilepsy and seizure disorders prohibition in 49 CFR
391.41(b)(8). Accordingly, the Agency will evaluate the qualifications
of each applicant to determine whether granting the exemption will
achieve the required level of safety mandated by statute.
    The physical qualification standard for drivers regarding epilepsy
found in Sec.  391.41(b)(8) states that a person is physically
qualified to drive a CMV if that person has no established medical
history or clinical diagnosis of epilepsy or any other condition which
is likely to cause the loss of consciousness or any loss of ability to
control a CMV.
    In addition to the regulations, FMCSA has published advisory
criteria \1\ to assist medical examiners (MEs) in determining whether
drivers with certain medical conditions are qualified to operate a CMV
in interstate commerce.
---------------------------------------------------------------------------

    \1\ These criteria may be found in APPENDIX A TO PART 391--
MEDICAL ADVISORY CRITERIA, section H. Epilepsy: Sec.  391.41(b)(8),
paragraphs 3, 4, and 5, which is available on the internet at
https://www.gpo.gov/fdsys/pkg/CFR-2015-title49-vol5/pdf/CFR-2015-title49-vol5-part391-appA.pdf.
---------------------------------------------------------------------------

    The criteria states that if an individual has had a sudden episode
of a non-epileptic seizure or loss of consciousness of unknown cause
that did not require anti-seizure medication, the decision whether that
person's condition is likely to cause the loss of consciousness or loss
of ability to control a CMV should be made on an individual basis by
the ME in consultation with the treating physician. Before
certification is considered, it is suggested that a 6-month waiting
period elapse from the time of the episode. Following the waiting
period, it is suggested that the individual have a complete
neurological examination. If the results of the examination are
negative and anti-seizure medication is not required, then the driver
may be qualified.
    In those individual cases where a driver has had a seizure or an
episode of loss of consciousness that resulted from a known medical
condition (e.g., drug reaction, high temperature, acute infectious
disease, dehydration, or acute metabolic disturbance), certification
should be deferred until the driver has recovered fully from that
condition, has no existing residual complications, and is not taking
anti-seizure medication.
    Drivers who have a history of epilepsy/seizures, off anti-seizure
medication and seizure-free for 10 years, may be qualified to operate a
CMV in interstate commerce. Interstate drivers with a history of a
single unprovoked seizure may be qualified to drive a CMV in interstate
commerce if seizure-free and off anti-seizure medication for a 5-year
period or more.
    As a result of MEs misinterpreting advisory criteria as regulation,
numerous drivers have been prohibited from operating a CMV in
interstate commerce based on the fact that they have had one or more
seizures and are taking anti-seizure medication, rather than an
individual analysis of their circumstances by a qualified ME based on
the physical qualification standards and medical best practices.
    On January 15, 2013, FMCSA announced in a Notice of Final
Disposition titled, ``Qualification of Drivers; Exemption Applications;
Epilepsy and Seizure Disorders,'' (78 FR 3069), its decision to grant
requests from 22 individuals for exemptions from the regulatory
requirement that interstate CMV drivers have ``no established medical
history or clinical diagnosis of epilepsy or any other condition which
is likely to cause loss of consciousness or any loss of ability to
control a CMV.'' Since that time, the Agency has published additional
notices granting requests from individuals for exemptions from the
regulatory requirement regarding epilepsy found in Sec.  391.41(b)(8).
    To be considered for an exemption from the epilepsy and seizure
disorders prohibition in Sec.  391.41(b)(8), applicants must meet the
criteria in the 2007 recommendations of the Agency's Medical Expert
Panel (78 FR 3069).

III. Qualifications of Applicants

Michael Curtis

    Mr. Curtis is a 41-year-old a class D license holder in Delaware.
He has a history of idiopathic generalized epilepsy and has been
seizure free since 2011. He takes anti-seizure medication with the
dosage and frequency remaining the same since September 2019. His
physician states that he is supportive of Mr. Curtis receiving an
exemption.

Denise Denton

    Ms. Denton is a 50-year-old a class C license holder in Michigan.
She has a history of epilepsy and has been seizure free since 2006. She
takes anti-seizure medication with the dosage and frequency remaining
the same since for more than 10 years. Her physician states that he is
supportive of Ms. Denton receiving an exemption.

Paul Drewer

    Mr. Drewer is a 50-year-old a CDL holder in Pennsylvania. He has a
history of epilepsy and has been seizure free since 1999. He takes
anti-seizure medication with the dosage and frequency remaining the
same since April 2001. His physician states that he is supportive of
Mr. Drewer receiving an exemption.

Peter Guzman

    Mr. Guzman is a 74-year-old a class D license holder in Virginia.
He has a history of a single unprovoked seizure and has been seizure
free since 2008. He has remained off anti-seizure medication since
November 2018. His physician states that he is supportive of Mr. Guzman
receiving an exemption.

Zachary Henson

    Mr. Henson is a 22-year-old a CDL holder in Illinois. He has a
history of focal epilepsy disorder and has been seizure free since
2013. He takes anti-seizure medication with the dosage and frequency
remaining the same since October 2018. His physician states that he is
supportive of Mr. Henson receiving an exemption.

Scott Hughes

    Mr. Hughes is a 59-year-old a CDL holder in Illinois. He has a
history of generalized convulsive epilepsy and has been seizure free
since 2001. He takes anti-seizure medication with the dosage and
frequency remaining the same since September 2003. His physician states
that he is supportive of Mr. Hughes receiving an exemption.

Scott Hunter

    Mr. Hunter is a 49-year-old class D license holder in
Massachusetts. He has a history of epilepsy and has been seizure free
since 2008. He takes anti-seizure medication with the dosage and
frequency remaining the same since October 2019. His physician states
that he is supportive of Mr. Hunter receiving an exemption.

Robert Lombardo

    Mr. Lombardo is a 31-year-old class C license holder in California.
He has a history of epilepsy and has been seizure free since 2011. He
takes anti-seizure medication with the dosage and frequency remaining
the same since November 2018. His physician states

that he is supportive of Mr. Lombardo receiving an exemption.

Devi Thapa

    Mr. Thapa is a 45-year-old class C license holder in Georgia. He
has a history of epilepsy and has been seizure free since 2009. He
takes anti-seizure medication with the dosage and frequency remaining
the same since 2010. His physician states that he is supportive of Mr.
Thapa receiving an exemption.

IV. Request for Comments

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

Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2022-06861 Filed 3-31-22; 8:45 am]
BILLING CODE 4910-EX-P


For Internal EPA Use Only Do Not Distribute 1 Communication Strategy and Planning Check List 1. Title of Action: National Emission Standards for Magnetic Tape Manufacturing Operations 2. Projected Date of Action: March 2006 2a. What's Driving the Date ( Regulatory, Court, Report Requirement, Event, etc.):

The EPA is required by court ordered deadline to issue a final action by March 31, 2006.

3. Brief Description of Action Being Taken:

The final action announces a decision to take no further action to revise the national emission standards.

4. Core/ Key Messages for this Action:

T Six existing magnetic tape manufacturing facilities are subject to the final action.

T The EPA worked with stakeholders to gather information for the residual risk analyses and technology review.

T The EPA's residual risk analyses show that there is not a significant health risk associated with any of the facilities currently manufacturing magnetic tape in the United States.

T The EPA's investigation of emission control technologies available to the magnetic tape manufacturing industry did not identify any significant developments in practices, processes, or control technologies since promulgation of the original standard in 1994.

T Therefore, EPA believes that no further revisions to this standard are needed.

5. Primary Audience( s) for Action Being Taken:

( a) State and local government environmental agencies ( b) Magnetic tape manufacturing industry 6. List All AAships, Offices, or Regions Involved/ Affected and Other Agencies ( e. g., USDA, DOI) and How Coordination Is Taking Place:

Office of Air and Radiation Office of Air Quality Planning and Standards Office of General Counsel Office of Enforcement and Compliance Assurance Office of Research and Development Office of Policy, Economics, and Innovation For Internal EPA Use Only Do Not Distribute 2 These offices were involved in the internal review process used to develop the final action.

7. List Name and Phone Numbers:

Content Expert Contact  H. Lynn Dail, ( 919) 541 2363 Communications Contact  Jan Cortelyou Lee, ( 919) 541 5393 Web Contact  Jan Cortelyou Lee, ( 919) 541 5393 8. Level of Interest ( indicates potential press, stakeholder, and Hill interest):

Press ( ) High ( ) Medium ( X) Low Congress ( ) High ( ) Medium ( X) Low Stakeholder ( ) High ( X) Medium ( ) Low If interest is " medium" to " high," please indicate why.

Stakeholders may be interested in this action to determine whether there will be any revisions to the standard, delisting of the source category, or future technology reviews. The EPA believes that no further revisions to the standard are needed and is taking no action to revise the standard under section 112( f)( 2) and section 112( d)( 6) of the Clean Air Act. The EPA is not delisting the magnetic tape source category.

9. Anticipated Reaction to Action ( indicate support & issues), re: action being taken:

( X) State and local  EPA expects no objections. ( X) Environmental groups  There is the potential for a negative reaction, since this will be one of the first standards identified with low risk. ( X) Tribes  EPA expects no objections. ( X) Industry  EPA expects no objections. ( ) Other

10. How It Will Be Announced ( check all that apply): ( ) Press Conference with Administrator ( ) Event with Administrator ( ) Event with Senior Management other than Administrator ( ) Reporter =

s Roundtable with Assistant Administrator and/ or others ( ) Media Advisory announcing invitation to Event or Press Conference ( ) Press Release ( if needed) ( X) Weekly Media Advisory ( one paragraph) ( ) Desk Statement ( internal only) ( X) Web Site For Internal EPA Use Only Do Not Distribute 3 ( X) Fact Sheet and/ or other external documents related to action ( ) Video or Public Service Announcement ( ) Other ( list)

11. Internal Materials Planned for Announcement B ( check all that apply and attach drafts or state date when drafts will be ready): ( ) Event proposal ( event format form; send to Heather Coquis) ( ) Video request proposal ( see video format form; send to Ron Slokin) ( ) Desk Statement ( internal) ( ) General Talking Points ( ) Questions and Answers ( include difficult and unwanted/ expected questions) ( ) Internal employee newsletter article ( ) Other 12. Briefings Planned for Stakeholders and Others Associated with Announcement: None.

13. External Materials Planned for Announcement  ( check all that apply and attach drafts or date when drafts will be ready) ( also, please see # 17 Hispanic Outreach, and # 18 Public Liaison): ( X) Web info to be posted ( must be done for every action; see Web check list below) ( X) Press Release or Weekly Advisory ( ) Media Advisory ( invitation) ( X) Fact Sheet ( ) External Questions and Answers ( ) Quality assure data in line with Information Quality Guidelines ( ) Graphics ( please list all materials) ( ) Updating of materials after the event including removing material from the Web ( ) Other ( please list all materials)

14. Web Site Information for Action Being Announced ( also, please see # 17 Hispanic Outreach, and # 18 Public Liaison): ( X) List all materials that would be put on Web w/ contact names ( i. e., EPA & OAR top page briefs, primary content including photos & graphics, support materials, internal & external links to and from action content) Action and Fact Sheet will be posted under recent actions on the Office of Air and Radiation Policy and Guidance Website www. epa. gov/ ttn/ oarpg/ ramain. html ( ) Provide URL for test site before posting ( X) Provide URL ( alias if appropriate) for Web Site for action being taken ( ) Conduct product review for Web Site and materials ( Enter on PROTRAC for regional or program review and oversight by OPA) ( ) Secure approval for Web materials from persons listed above For Internal EPA Use Only Do Not Distribute 4 ( ) Following the action/ event, remove outdated materials from Web site 15. Notification and Distribution Planning to Interested Stakeholders B list who is responsible, what will be distributed, how notified or distributed, and when it should be done for each group ( this may be done in table format).

INTERNAL AND INTER AGENCY NOTIFICATION Whom to Notify When Notifier Action/ Material EPA Regional Offices Upon Signature Maura Cantor ( 202) 564 1931 Fact Sheet OGC " " "

OPEI " " "

OPPTS " " "

OECA " " "

OW " " "

OPAR " " "

ORD " " "

OSW " " "

AA =

s " " "

NEWS MEDIA NOTIFICATION Whom to Notify When Notifier Action/ Material General/ Trade Press Upon Signature EPA Press Office John Millett ( 202) 564 7842 Press Advisory ( if needed)

STATE AND LOCAL NOTIFICATION Whom to Notify When Notifier Action/ Material STAPPA/ ALAPCO Upon Signature EPA/ OAQPS/ RTP Jan Cortelyou Lee ( 919) 541 5393 Fact Sheet: Notice of Availability on Internet NGA, NCSL " " "

CAA Ombudsman " Office of Business and Community Innovation, Office of Policy, Economics, and Innovation, Small Business Division Karen Brown ( 202) 566 2816 " For Internal EPA Use Only Do Not Distribute 5 CONGRESSIONAL NOTIFICATION Whom to Notify When Notifier Action/ Material House Commerce Committee; Senate Environment and Public Works Committee Upon Signature Lora Strine ( 202) 564 3689; Diann Frantz ( 202) 564 3668 Telephone Call/ Fact Sheet INTEREST GROUP NOTIFICATION Whom to Notify When Notifier Action/ Material Project Mailing List Upon Signature EPA/ OAQPS/ RTP H. Lynn Dail ( 919) 541 2363 FR Notice and Supporting Documentation Environmental Groups Upon Signature EPA/ OPA/ DC Amy Dewey ( 202) 564 7816 Fact Sheet