some OECD Member countries may require, by domestic law, that a mixture
of a Green waste and more than a de minimis amount of an Amber waste or
a mixture of two or more Amber wastes be subject to the Amber control
procedures.

(4)	Wastes not yet assigned to an OECD waste list are eligible for
transboundary movements, as follows:

(i)	If such wastes are considered hazardous under U.S. national
procedures as defined in § 262.80(a), such wastes are subject to the
Amber control procedures.

(ii)	If such wastes are not considered hazardous under U.S. national
procedures as defined in § 262.80(a), such wastes are subject to the
Green control procedures.

(b) General conditions applicable to transboundary movements of
hazardous waste:

(1)  The waste must be destined for recovery operations at a facility
that, under applicable domestic law, is operating or is authorized to
operate in the importing country;

(2)  The transboundary movement must be in compliance with applicable
international transport agreements; and

NOTE TO PARAGRAPH (b)(2):  These international agreements include, but
are not limited to, the Chicago Convention (1944), ADR (1957), ADNR
(1970), MARPOL Convention (1973/1978), SOLAS Convention (1974), IMDG
Code (1985), COTIF (1985), and RID (1985).

(3)  Any transit of waste through a non-OECD Member country must be
conducted in compliance with all applicable international and national
laws and regulations.

(c) Provisions relating to re-export for recovery to a third country:

(1) Re-export of wastes subject to the Amber control procedures from the
United States, as the country of import, to a third country listed in §
262.58(a)(1) may occur only after an exporter in the United States
provides notification to and obtains consent from the competent
authorities in the third country, the original country of export, and
any transit countries. The notification must comply with the notice and
consent procedures in § 262.83 for all countries concerned and the
original country of export. The competent authorities of the original
country of export, as well as the competent authorities of all other
countries concerned have thirty (30) days to object to the proposed
movement.

(i) The thirty (30) day period begins once the competent authorities of
both the initial country of export and new country of import issue
Acknowledgements of Receipt of the notification.

(ii) The transboundary movement may commence if no objection has been
lodged after the thirty (30) day period has passed or immediately after
written consent is received from all relevant OECD importing and transit
countries.

(2) In the case of re-export of Amber wastes to a country other than
those listed in § 262.58(a)(1), notification to and consent of the
competent authorities of the original OECD Member country of export and
any OECD Member countries of transit is required as specified in
paragraph (c)(1) of this section, in addition to compliance with all
international agreements and arrangements to which the first importing
OECD Member country is a party and all applicable regulatory
requirements for exports from the first country of import.

(d) Duty to return or re-export wastes subject to the Amber control
procedures.  When a transboundary movement of wastes subject to the
Amber control procedures cannot be completed in accordance with the
terms of the contract or the consent(s) and alternative arrangements
cannot be made to recover the waste in an environmentally sound manner
in the country of import, the waste must be returned to the country of
export or re-exported to a third country.  The provisions of paragraph
(c) of this section apply to any shipments to be re-exported to a third
country.  The following provisions apply to shipments to be returned to
the country of export as appropriate:

(1) Return from the United States to the country of export: The U.S.
importer must inform EPA at the specified address in § 262.83(b)(1)(i)
of the need to return the shipment.  EPA will then inform the competent
authorities of the countries of export and transit, citing the reason(s)
for returning the waste.  The U.S. importer must complete the return
within ninety (90) days from the time EPA informs the country of export
of the need to return the waste, unless informed in writing by EPA of
another timeframe agreed to by the concerned Member countries.  If the
return shipment will cross any transit country, the return shipment may
only occur after EPA provides notification to and obtains consent from
the competent authority of the country of transit, and provides a copy
of that consent to the U.S. importer.

(2) Return from the country of import to the United States: The U.S.
exporter must provide for the return of the hazardous waste shipment
within ninety (90) days from the time the country of import informs EPA
of the need to return the waste or such other period of time as the
concerned Member countries agree.  The U.S. exporter must submit an
exception report to EPA in accordance with § 262.87(b).

(e) Duty to return wastes subject to the Amber control procedures from a
country of transit.  When a transboundary movement of wastes subject to
the Amber control procedures does not comply with the requirements of
the notification and movement documents or otherwise constitutes illegal
shipment, and if alternative arrangements cannot be made to recover
these wastes in an environmentally sound manner, the waste must be
returned to the country of export.  The following provisions apply as
appropriate:

(1) Return from the United States (as country of transit) to the country
of export: The U.S. transporter must inform EPA at the specified address
in § 262.83(b)(1)(i) of the need to return the shipment.  EPA will
then inform the competent authority of the country of export, citing the
reason(s) for returning the waste.  The U.S. transporter must complete
the return within ninety (90) days from the time EPA informs the country
of export of the need to return the waste, unless informed in writing by
EPA of another timeframe agreed to by the concerned Member countries.

(2) Return from the country of transit to the United States (as country
of export): The U.S. exporter must provide for the return of the
hazardous waste shipment within ninety (90) days from the time the
competent authority of the country of transit informs EPA of the need to
return the waste or such other period of time as the concerned Member
countries agree.  The U.S. exporter must submit an exception report to
EPA in accordance with § 262.87(b).

(f) Requirements for wastes destined for and received by R12 and R13
facilities.  The transboundary movement of wastes destined for R12 and
R13 operations must comply with all Amber control procedures for
notification and consent as set forth in § 262.83 and for the movement
document as set forth in § 262.84.  Additional responsibilities of
R12/R13 facilities include:

(  SEQ CHAPTER \h \r 1 1) Indicating in the notification document the
foreseen recovery facility or facilities where the subsequent R1-R11
recovery operation takes place or may take place.

(2) Within three (3) days of the receipt of the wastes by the R12/R13
recovery facility or facilities, the facility(ies) shall return a signed
copy of the movement document to the exporter and to the competent
authorities of the countries of export and import.  The facility(ies)
shall retain the original of the movement document for three (3) years.

  SEQ CHAPTER \h \r 1   SEQ CHAPTER \h \r 1 (3) As soon as possible, but
no later than thirty (30) days after the completion of the R12/R13
recovery operation and no later than one (1) calendar year following the
receipt of the waste, the R12 or R13 facility(ies) shall send a
certificate of recovery to the foreign exporter and to the competent
authority of the country of export and to the Office of Enforcement and
Compliance Assurance, Office of Federal Activities, International
Compliance Assurance Division (2254A), Environmental Protection Agency,
1200 Pennsylvania Avenue., N.W. Washington, D.C. 20460, by mail, e-mail
without digital signature followed by mail, or fax followed by mail.

(4) When an R12/R13 recovery facility delivers wastes for recovery to an
R1-R11 recovery facility located in the country of import, it shall
obtain as soon as possible, but no later than one (1) calendar year
following delivery of the waste, a certification from the R1-R11
facility that recovery of the wastes at that facility has been
completed.  The R12/R13 facility must promptly transmit the applicable
certification to the competent authorities of the countries of import
and export, identifying the transboundary movements to which the
certification pertain.

(5) When an R12/R13 recovery facility delivers wastes for recovery to an
R1-R11 recovery facility located:

	(i) in the initial country of export, Amber control procedures apply,
including a new notification;

	(ii) in a third country other than the initial country of export, Amber
control procedures apply, with the additional provision that the
competent authority of the initial country of export shall also be
notified of the transboundary movement. 		(g) Laboratory analysis
exemption.  The transboundary movement of an Amber waste is exempt from
the Amber control procedures if it is in certain quantities and destined
for laboratory analysis to assess its physical or chemical
characteristics, or to determine its suitability for recovery
operations.  The quantity of such waste shall be determined by the
minimum quantity reasonably needed to perform the analysis in each
particular case adequately, but in no case exceed twenty-five kilograms
(25 kg).  Waste destined for laboratory analysis must still be
appropriately packaged and labeled.

§  262.83  Notification and consent.

(a) Applicability.  Consent must be obtained from the competent
authorities of the relevant OECD countries of import and transit prior
to exporting hazardous waste destined for recovery operations subject to
this subpart. Hazardous wastes subject to the Amber control procedures
are subject to the requirements of paragraph (b) of this section; and
wastes not identified on any list are subject to the requirements of
paragraph (c) of this section.

(b) Amber wastes.  Exports of hazardous wastes from the United States as
described in § 262.80(a) that are subject to the Amber control
procedures are prohibited unless the notification and consent
requirements of paragraph (b)(1) or paragraph (b)(2) of this section are
met.

(1) Transactions requiring specific consent:

(i) Notification.  At least forty-five (45) days prior to commencement
of each transboundary movement, the exporter must provide written
notification in English of the proposed transboundary movement to the
Office of Enforcement and Compliance Assurance, Office of Federal
Activities, International Compliance Assurance Division (2254A),
Environmental Protection Agency, 1200 Pennsylvania Avenue., N.W.
Washington, D.C.  20460, with the words "Attention: OECD Export
Notification" prominently displayed on the envelope. This notification
must include all of the information identified in paragraph (d) of this
section. In cases where wastes having similar physical and chemical
characteristics, the same United Nations classification, the same RCRA
waste codes, and are to be sent periodically to the same recovery
facility by the same exporter, the exporter may submit one general
notification of intent to export these wastes in multiple shipments
during a period of up to one (1) year.  Even when a general notification
is used for multiple shipments, each shipment still must be accompanied
by its own movement document pursuant to § 262.84.

(ii) Tacit consent.  If no objection has been lodged by any countries
concerned country (i.e., exporting, importing, or transit) to a
notification provided pursuant to paragraph (b)(1)(i) of this section
within thirty (30) days after the date of issuance of the
Acknowledgement of Receipt of notification by the competent authority of
the country of import, the transboundary movement may commence. Tacit
consent expires one (1) calendar year after the close of the thirty (30)
day period; renotification and renewal of all consents is required for
exports after that date.

(iii) Written consent.  If the competent authorities of all the relevant
OECD importing and transit countries provide written consent in a period
less than thirty (30) days, the transboundary movement may commence
immediately after all necessary consents are received. Written consent
expires for each relevant OECD importing and transit country one (1)
calendar year after the date of that country's consent unless otherwise
specified; renotification and renewal of each expired consent is
required for exports after that date.

(2) Transboundary movements to facilities pre-approved by the competent
authorities of the importing countries to accept specific wastes for
recovery:

(i) Notification.  The exporter must provide EPA a notification that
contains all the information identified in paragraph (d) of this section
in English, at least ten (10) days in advance of commencing shipment to
a pre-approved facility. The notification must indicate that the
recovery facility is pre-approved, and may apply to a single specific
shipment or to multiple shipments as described in paragraph (b)(1)(i) of
this section. This information must be sent to the Office of Enforcement
and Compliance Assurance, Office of Federal Activities, International
Compliance Assurance Division (2254A), Environmental Protection Agency,
1200 Pennsylvania Avenue, N.W., Washington, D.C. 20460, with the words
"OECD Export Notification - Pre-approved Facility" prominently displayed
on the envelope.  General notifications that cover multiple shipments as
described in paragraph (b)(1)(i) of this section may cover a period of
up to three (3) years.  Even when a general notification is used for
multiple shipments, each shipment still must be accompanied by its own
movement document pursuant to § 262.84.

(ii) Exports to pre-approved facilities may take place after the elapse
of seven (7) working days from the issuance of an Acknowledgement of
Receipt of the notification by the competent authority of the country of
import unless the exporter has received information indicating that the
competent authority of any countries concerned country objects to the
shipment.

(c) Wastes not covered in Appendices 3 and 4 of the OECD DecisionGreen
and Amber lists.  Wastes destined for recovery operations, that have not
been assigned to Appendices 3 or 4 of the OECD Decision, as definedGreen
and Amber lists, incorporated by reference in § 262.8189(d), but which
are considered hazardous under U.S. national procedures as defined in
§ 262.80(a), are subject to the notification and consent requirements
established for the Amber control procedures in accordance with
paragraph (b) of this section.  Wastes destined for recovery operations,
that have not been assigned to Appendices 3 or 4 of the OECD Decision,
as definedGreen and Amber lists incorporated by reference in §
262.8189(d), and are not considered hazardous under U.S. national
procedures as defined by § 262.80(a) are subject to the Green control
procedures.     SEQ CHAPTER \h \r 1

(d) Notifications submitted under this section must include the
information specified in paragraphs (d)(1) through (d)(14) of this
section:

(1) Serial number or other accepted identifier of the notification
document;

(2) Exporter name and EPA identification number (if applicable),
address, telephone and, fax numbers, and e-mail address;

(3) Importing recovery facility name, address, telephone and, fax
numbers, e-mail address, and technologies employed;

(4) Importer name (if not the owner or operator of the recovery
facility), address, telephone and, fax numbers, and email address;
whether the importer will engage in waste exchange recovery operation
R12 or waste accumulation recovery operation R13 prior to delivering the
waste to the final recovery facility and identification of recovery
operations to be employed at the final recovery facility;

(5) Intended transporter(s) and/or their agent(s); address, telephone,
fax, and e-mail address;

(6) Country of export and relevant competent authority, and point of
departure;

(7) Countries of transit and relevant competent authorities and points
of entry and departure;

(8) Country of import and relevant competent authority, and point of
entry;

(9) Statement of whether the notification is a single notification or a
general notification. If general, include period of validity requested;

(10) Date(s) foreseen for commencement of transboundary movement(s);

(11) Means of transport envisaged;

(12) Designation of waste type(s) from the appropriate OECD list (Part I
or II of Appendix 3 or 4) of the OECD Decision, as definedincorporated
by reference in § 262.8189(d), description(s) of each waste type,
estimated total quantity of each, RCRA waste code, and the United
Nations number for each waste type;

(13) Specification of the recovery operation(s) as defined in
§ 262.81.

(14) Certification/Declaration signed by the exporter that states:

I certify that the above information is complete and correct to the best
of my knowledge. I also certify that legally-enforceable written
contractual obligations have been entered into, and that any applicable
insurance or other financial guarantees are or shall be in force
covering the transboundary movement.

Name: --------------------------------------------------------------

Signature: ---------------------------------------------------------

Date: --------------------------------------------------------------

NOTE TO PARAGRAPH (d)(14):  The United States does not currently require
financial assurance for these waste shipments.  However, U.S. exporters
may be asked by other governments to provide and certify to such
assurance as a condition of obtaining consent to a proposed movement.

(e) Certificate of Recovery.  As soon as possible, but no later than
thirty (30) days after the completion of recovery and no later than one
(1) calendar year following receipt of the waste, the U.S. recovery
facility shall send a certificate of recovery to the exporter and to the
competent authorities of the countries of export and import by mail,
e-mail without a digital signature followed by mail, or fax followed by
mail.  The certificate of recovery shall include a signed, written and
dated statement that affirms that the waste materials were recovered in
the manner agreed to by the parties to the contract required under §
262.85.

§  262.84  Movement document.

(a) All U.S. parties subject to the contract provisions of § 262.85
must ensure that a movement document meeting the conditions of paragraph
(b) of this section accompanies each transboundary movement of wastes
subject to the Amber control procedures from the initiation of the
shipment until it reaches the final recovery facility, including cases
in which the waste is stored and/or sorted by the importer prior to
shipment to the final recovery facility, except as provided in
paragraphs (a)(1) and (2) of this section.

(1) For shipments of hazardous waste within the United States solely by
water (bulk shipments only), the generator must forward the movement
document with the manifest to the last water (bulk shipment) transporter
to handle the waste in the United States if exported by water, (in
accordance with the manifest routing procedures at § 262.23(c)).

(2) For rail shipments of hazardous waste within the United States which
originate at the site of generation, the generator must forward the
movement document with the manifest (in accordance with the routing
procedures for the manifest in § 262.23(d)) to the next non-rail
transporter, if any, or the last rail transporter to handle the waste in
the United States if exported by rail.

(b) The movement document must include all information required under
§ 262.83 (for notification), as well as the following paragraphs
(b)(1) through (b)(7) of this section:

(1)  Date movement commenced;

(2)  Name (if not exporter), address, telephone and, fax numbers, and
e-mail of primary exporter;

(3)  Company name and EPA ID number of all transporters;

(4)  Identification (license, registered name or registration number) of
means of transport, including types of packaging envisaged;

(5)  Any special precautions to be taken by transporter(s);

(6)  Certification/declaration signed by the exporter that no objection
to the shipment has been lodged as follows:

 I certify that the above information is complete and correct to the
best of my knowledge. I also certify that legally-enforceable written
contractual obligations have been entered into, that any applicable
insurance or other financial guarantees are or shall be in force
covering the transboundary movement, and that:

1. All necessary consents have been received; OR

2. The shipment is directed to a recovery facility within the OECD area
and no objection has been received from any of the countries concerned
within the thirty (30) day tacit consent period; OR

3. The shipment is directed to a recovery facility pre-approved for that
type of waste within the OECD area; such an authorization has not been
revoked, and no objection has been received from any of the countries
concerned.

(Delete sentences that are not applicable)

Name: ----------------------------------------------------------

Signature: -----------------------------------------------------

Date: ----------------------------------------------------------

(7) Appropriate signatures for each custody transfer (e.g., transporter,
importer, and owner or operator of the recovery facility).

(c) Exporters also must comply with the special manifest requirements of
40 CFR 262.54(a), (b), (c), (e), and (i) and importers must comply with
the import requirements of 40 CFR part 262, subpart F.

(d) Each U.S. person that has physical custody of the waste from the
time the movement commences until it arrives at the recovery facility
must sign the movement document (e.g., transporter, importer, and owner
or operator of the recovery facility).

(e) Within three (3) working days of the receipt of imports subject to
this subpart, the owner or operator of the U.S. recovery facility must
send signed copies of the movement document to the exporter, to the
Office of Enforcement and Compliance Assurance, Office of Federal
Activities, International Compliance Assurance Division (2254A),
Environmental Protection Agency, 1200 Pennsylvania Avenue, N.W.,
Washington, DC 20460, and to the competent authorities of the countries
of export and transit.  If the concerned U.S. recovery facility is a
R12/R13 recovery facility as defined under § 262.81, the facility shall
retain the original of the movement document for three (3) years.

§  262.85  Contracts.

(a) Transboundary movements of hazardous wastes subject to the Amber
control procedures are prohibited unless they occur under the terms of a
valid written contract, chain of contracts, or equivalent arrangements
(when the movement occurs between parties controlled by the same
corporate or legal entity). Such contracts or equivalent arrangements
must be executed by the exporter and the owner or operator of the
recovery facility, and must specify responsibilities for each. Contracts
or equivalent arrangements are valid for the purposes of this section
only if persons assuming obligations under the contracts or equivalent
arrangements have appropriate legal status to conduct the operations
specified in the contract or equivalent arrangements.

(b) Contracts or equivalent arrangements must specify the name and EPA
ID number, where available, of paragraph (b)(1) through (b)(4) of this
section:

(1) The generator of each type of waste;

(2) Each person who will have physical custody of the wastes;

(3) Each person who will have legal control of the wastes; and

(4) The recovery facility.

(c) Contracts or equivalent arrangements must specify which party to the
contract will assume responsibility for alternate management of the
wastes if their disposition cannot be carried out as described in the
notification of intent to export. In such cases, contracts must specify
that:

(1) The person having actual possession or physical control over the
wastes will immediately inform the exporter and the competent
authorities of the countries of export and import and, if the wastes are
located in a country of transit, the competent authorities of that
country; and

(2) The person specified in the contract will assume responsibility for
the adequate management of the wastes in compliance with applicable laws
and regulations including, if necessary, arranging the return of wastes
and, as the case may be, shall provide the notification for re-export.

(d) Contracts must specify that the importer will provide the
notification required in § 262.82(c) prior to the re-export of
controlled wastes to a third country.

(e) Contracts or equivalent arrangements must include provisions for
financial guarantees, if required by the competent authorities of any
countries concerned country, in accordance with applicable national or
international law requirements.

  SEQ CHAPTER \h \r 1 NOTE TO PARAGRAPH (e): Financial guarantees so
required are intended to provide for alternate recycling, disposal or
other means of sound management of the wastes in cases where
arrangements for the shipment and the recovery operations cannot be
carried out as foreseen.  The United States does not require such
financial guarantees at this time; however, some OECD Member countries
do.  It is the responsibility of the exporter to ascertain and comply
with such requirements; in some cases, transporters or importers may
refuse to enter into the necessary contracts absent specific references
or certifications to financial guarantees.

(f) Contracts or equivalent arrangements must contain provisions
requiring each contracting party to comply with all applicable
requirements of this subpart.

(g) Upon request by EPA, U.S. exporters, importers, or recovery
facilities must submit to EPA copies of contracts, chain of contracts,
or equivalent arrangements (when the movement occurs between parties
controlled by the same corporate or legal entity). Information contained
in the contracts or equivalent arrangements for which a claim of
confidentiality is asserted in accordance with 40 CFR 2.203(b) will be
treated as confidential and will be disclosed by EPA only as provided in
40 CFR 260.2.

NOTE TO PARAGRAPH (g):  Although the United States does not require
routine submission of contracts at this time, the OECD Decision allows
Member countries to impose such requirements. When other OECD Member
countries require submission of partial or complete copies of the
contract as a condition to granting consent to proposed movements, EPA
will request the required information; absent submission of such
information, some OECD Member countries may deny consent for the
proposed movement.

§  262.86  Provisions relating to recognized traders.

(a) A recognized trader who takes physical custody of a waste and
conducts recovery operations (including storage prior to recovery) is
acting as the owner or operator of a recovery facility and must be so
authorized in accordance with all applicable Federal laws.

(b) A recognized trader acting as an exporter or importer for
transboundary shipments of waste must comply with all the requirements
of this subpart associated with being an exporter or importer.

§  262.87  Reporting and recordkeeping.

(a) Annual reports. For all waste movements subject to this subpart,
persons (e.g., exporters, recognized traders) who meet the definition of
primary exporter in § 262.51 or who initiate the movement documentation
under § 262.84 shall file an annual report with the Office of
Enforcement and Compliance Assurance, Office of Federal Activities,
International Compliance Assurance Division (2254A), Environmental
Protection Agency, 1200 Pennsylvania Avenue, N.W., Washington, DC 20460,
no later than March 1 of each year summarizing the types, quantities,
frequency, and ultimate destination of all such hazardous waste exported
during the previous calendar year. (If the primary exporter or the
person who initiates the movement document under § 262.84 is required
to file an annual report for waste exports that are not covered under
this subpart, he may include all export information in one report
provided the following information on exports of waste destined for
recovery within the designated OECD Member countries is contained in a
separate section.) Such reports shall include all of the following
paragraphs (a)(1) through (a)(6) of this section specified as follows:

(1) The EPA identification number, name, and mailing and site address of
the exporter filing the report;

(2) The calendar year covered by the report;

(3) The name and site address of each final recovery facility;

(4) By final recovery facility, for each hazardous waste exported, a
description of the hazardous waste, the EPA hazardous waste number (from
40 CFR part 261, subpart C or D), designation of waste type(s) and
applicable waste code(s) from the appropriate OECD waste list
(Appendices 3 or 4 of the OECD Decision, as definedincorporated by
reference in § 262.8189(d), DOT hazard class, the name and U.S. EPA
identification number (where applicable) for each transporter used, the
total amount of hazardous waste shipped pursuant to this subpart, and
number of shipments pursuant to each notification;

(5) In even numbered years, for each hazardous waste exported, except
for hazardous waste produced by exporters of greater than 100kg but less
than 1000kg in a calendar month, and except for hazardous waste for
which information was already provided pursuant to § 262.41:

(i) A description of the efforts undertaken during the year to reduce
the volume and toxicity of the waste generated; and

(ii) A description of the changes in volume and toxicity of the waste
actually achieved during the year in comparison to previous years to the
extent such information is available for years prior to 1984; and

(6) A certification signed by the person acting as primary exporter or
initiator of the movement document under § 262.84 that states:

 I certify under penalty of law that I have personally examined and am
familiar with the information submitted in this and all attached
documents, and that based on my inquiry of those individuals immediately
responsible for obtaining the information, I believe that the submitted
information is true, accurate, and complete. I am aware that there are
significant penalties for submitting false information including the
possibility of fine and imprisonment.

(b) Exception reports. Any person who meets the definition of primary
exporter in § 262.51 or who initiates the movement document under §
262.84 must file an exception report in lieu of the requirements of §
262.42 (if applicable) with the Office of Enforcement and Compliance
Assurance, Office of Federal Activities, International Compliance
Assurance Division (2254A), Environmental Protection Agency, 1200
Pennsylvania Avenue, N.W., Washington, DC 20460, if any of the following
occurs:

(1) He has not received a copy of the RCRA hazardous waste manifest (if
applicable) signed by the transporter identifying the point of departure
of the waste from the United States, within forty-five (45) days from
the date it was accepted by the initial transporter;

(2) Within ninety (90) days from the date the waste was accepted by the
initial transporter, the exporter has not received written confirmation
from the recovery facility that the hazardous waste was received;

(3) The waste is returned to the United States.

(c) Recordkeeping.

(1) Persons who meet the definition of primary exporter in § 262.51 or
who initiate the movement document under § 262.84 shall keep the
following records in paragraphs (c)(1)(i) through (c)(1)(iv) of this
section:

(i) A copy of each notification of intent to export and all written
consents obtained from the competent authorities of countries concerned
for a period of at least three (3) years from the date the hazardous
waste was accepted by the initial transporter;

(ii) A copy of each annual report for a period of at least three (3)
years from the due date of the report;

(iii) A copy of any exception reports and a copy of each confirmation of
delivery (i.e., movement document) sent by the recovery facility to the
exporter for at least three (3) years from the date the hazardous waste
was accepted by the initial transporter or received by the recovery
facility, whichever is applicable; and

(iv) A copy of each confirmationcertificate of recovery sent by the
recovery facility to the exporter for at least three (3) years from the
date that the recovery facility completed processing the waste shipment.

(2) The periods of retention referred to in this section are extended
automatically during the course of any unresolved enforcement action
regarding the regulated activity or as requested by the Administrator.

§ 262.88 Pre-approval for U.S. recovery facilities [Reserved]

§ 262.89  OECD waste lists.

(a) General. For the purposes of this subpart, a waste is considered
hazardous under U.S. national procedures, and hence subject to this
subpart, if the waste:

(1) Meets the Federal definition of hazardous waste in 40 CFR 261.3; and

(2) Is subject to either the Federal RCRA manifesting requirements at 40
CFR part 262, subpart B, the universal waste management standards of 40
CFR part 273, State requirements analogous to 40 CFR part 273, the
export requirements in the spent lead-acid battery management standards
of 40 CFR part 266, subpart G, or State requirements analogous to the
export requirements in 40 CFR part 266, subpart G.

(b) If a waste is hazardous under paragraph (a) of this section, it is
subject to the Amber control procedures, regardless of whether it
appears in Appendix 4 of the OECD Decision, as defined in § 262.81.

(c) The appropriate control procedures for hazardous wastes and
hazardous waste mixtures are addressed in § 262.82.

(d) The OECD waste lists, entitled “List of Wastes Subject to the
Green Control Procedure” and “List of Wastes Subject to the Amber
Control Procedure,” are as set forth in Appendix 3 and Appendix 4,
respectively, of the Annex B (“Green List”) and Annex C (“Amber
List”)(collectively “OECD Decision, as defined in § 262.81.
Thesewaste lists”) of the 2009 “Guidance Manual for the
Implementation of Council Decision C(2001)107/FINAL, as Amended, on the
Control of Transboundary Movements of Wastes Destined for Recovery
Operations,” are incorporated by reference.  These incorporationsThis
incorporation by reference werewas approved by the Director of the
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51 on
[date of approval for incorporation by reference].  These materials are.
 This material is incorporated as they existit exists on the date of the
approval and a notice of any change in these materials will be published
in the FEDERAL REGISTER.  The materials are available for inspection at:
 the U.S. Environmental Protection Agency, Docket Center Public Reading
Room, EPA West, Room 3334, 1301 Constitution Avenue NW, Washington, DC
20004 (Docket # EPA-HQ-RCRA-2005-0018) or at the National Archives and
Records Administration (NARA), and may be obtained from the Organization
for Economic Cooperation and Development, Environment Directorate, 2 rue
André Pascal, F-75775 Paris Cedex 16, France.  For information on the
availability of this material at NARA, call 202–741–6030, or go to:
http://www.archives.gov/federal-register/cfr/ibr-locations.html.    To
contact the EPA Docket Center Public Reading Room, call<PHONE_NUMBER>.
To contact the OECD, call +33 (0) 1 45 24 81 67.

PART 263--STANDARDS APPLICABLE TO TRANSPORTERS OF HAZARDOUS WASTE

5. The authority citation for part 263 continues to read as follows:

Authority: 42 U.S.C. 6906, 6912, 6922-6925, 6937, and 6938.

6.  Section 263.10(d) is amended by revising paragraph (d) to read as
follows:

§  263.10 Scope.

*  *  *  *  *

(d) A transporter of hazardous waste subject to the Federal manifesting
requirements of 40 CFR part 262, or subject to the waste management
standards of 40 CFR part 273, or subject to State requirements analogous
to 40 CFR part 273, that is being imported from or exported to any of
the countries listed in 40 CFR 262.58(a)(1) for purposes of recovery is
subject to this Subpart and to all other relevant requirements of
subpart H of 40 CFR part 262, including, but not limited to, 40 CFR
262.84 for trackingmovement documents.

*  *  *  *  *

PART 264--STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS WASTE
TREATMENT, STORAGE, AND DISPOSAL FACILITIES

5. The authority citation for part 264 continues to read as follows:

Authority: 42 U.S.C. 6905, 6912(a), 6924, and 6925.

6.  Section 264.12(a)(2) is amended by revising paragraph (a)(2) to read
as follows:

§  264.12 Required notices.

(a)(1) * * *

(2) The owner or operator of a recovery facility that has arranged to
receive hazardous waste subject to 40 CFR part 262, subpart H must
provide a copy of the movement document bearing all required signatures
to the foreign exporter; to the Office of Enforcement and Compliance
Assurance, Office of Federal Activities, International Compliance
Assurance Division (2254A), Environmental Protection Agency, 1200
Pennsylvania Avenue., N.W. Washington, D.C.  20460; and to the competent
authorities of all other countries concerned within three (3) working
days of receipt of the shipment. The original of the signed movement
document must be maintained at the facility for at least three (3)
years.  In addition, such owner or operator shall, as soon as possible,
but no later than thirty (30) days after the completion of recovery and
no later than one (1) calendar year following the receipt of the
hazardous waste, send a certificate of recovery to the foreign exporter
and to the competent authority of the country of export and to EPA’s
Office of Enforcement and Compliance Assurance at the above address by
mail, e-mail without a digital signature followed by mail, or fax
followed by mail.

*  *  *  *  *

7.  Section 264.71(a)(3) is amended by revising paragraphparagraphs
(a)(3) and (d) to read as follows:

§  264.71 Use of manifest system.

(a) * * *

(3)  If a facility receives hazardous waste imported from a foreign
source, the receiving facility must mail a copy of the manifest and
documentation confirming EPA’s consent to the import of hazardous
waste to the following address within thirty (30) days of delivery:
Office of Enforcement and Compliance Assurance, Office of Federal
Activities, International Compliance Assurance Division (2254A),
Environmental Protection Agency, 1200 Pennsylvania Avenue, N.W.,
Washington, DC 20460.

*  *  *  *  *

(d) Within three (3) working days of the receipt of a shipment subject
to 40 CFR part 262, subpart H, the owner or operator of facility must
provide a copy of the movement document bearing all required signatures
to the exporter, to the Office of Enforcement and Compliance Assurance,
Office of Federal Activities, International Compliance Assurance
Division (2254A), Environmental Protection Agency, 1200 Pennsylvania
Avenue, N.W., Washington, DC 20460, and to competent authorities of all
other concerned countries. The original copy of the movement document
must be maintained at the facility for at least three (3) years from the
date of signature.

*  *  *  *  *

PART 265--INTERIM STATUS STANDARDS FOR OWNERS AND OPERATORS OF HAZARDOUS
WASTE TREATMENT, STORAGE, AND DISPOSAL FACILITIES

8.  The authority citation for part 265 continues to read as follows:

Authority: 42 U.S.C 6905, 6906, 6912, 6922, 6923, 6924, 6925, 6935,
6936, and 6937.

9.  Section 265.12(a)(2) is amended by revising paragraph (a)(2) to read
as follows:

§  265.12  Required notices.

(a)(1) * * *

(2) The owner or operator of a recovery facility that has arranged to
receive hazardous waste subject to 40 CFR part 262, subpart H must
provide a copy of the movement document bearing all required signatures
to the foreign exporter; to the Office of Enforcement and Compliance
Assurance, Office of Federal Activities, International Compliance
Assurance Division (2254A), Environmental Protection Agency, 1200
Pennsylvania Avenue., N.W. Washington, D.C.  20460; and to the competent
authorities of all other countries concerned within three (3) working
days of receipt of the shipment. The original of the signed movement
document must be maintained at the facility for at least three (3)
years.  In addition, such owner or operator shall, as soon as possible,
but no later than thirty (30) days after the completion of recovery and
no later than one (1) calendar year following the receipt of the
hazardous waste, send a certificate of recovery to the foreign exporter
and to the competent authority of the country of export and to EPA’s
Office of Enforcement and Compliance Assurance at the above address by
mail, e-mail without a digital signature followed by mail, or fax
followed by mail.

*  *  *  *  *

10.  Section 265.71(a)(3) is amended by revising paragraphparagraphs
(a)(3) and (d) to read as follows:

§  265.71  Use of manifest system.

(a) * * *

(3)  If a facility receives hazardous waste imported from a foreign
source, the receiving facility must mail a copy of the manifest and
documentation confirming EPA’s consent to the import of hazardous
waste to the following address within thirty (30) days of delivery:
Office of Enforcement and Compliance Assurance, Office of Federal
Activities, International Compliance Assurance Division (2254A),
Environmental Protection Agency, 1200 Pennsylvania Avenue, N.W.,
Washington, DC 20460.

*  *  *  *  *

(d) Within three (3) working days of the receipt of a shipment subject
to 40 CFR part 262, subpart H, the owner or operator of facility must
provide a copy of the movement document bearing all required signatures
to the exporter, to the Office of Enforcement and Compliance Assurance,
Office of Federal Activities, International Compliance Assurance
Division (2254A), Environmental Protection Agency, 1200 Pennsylvania
Avenue, N.W., Washington, DC 20460, and to competent authorities of all
other countries concerned. The original copy of the movement document
must be maintained at the facility for at least three (3) years from the
date of signature.

*  *  *  *  *

PART 266 – STANDARDS FOR THE MANAGEMENT OF SPECIFIC HAZARDOUS WASTES
AND SPECIFIC TYPES OF HAZARDOUS WASTE MANAGEMENT FACILITIES

11. The authority citation for part 266 is revised to read as follows:

	Authority: 42 U.S.C. 1006, 2002(a), 3001-3009, 3014, 3017, 6905, 6906,
6912, 6921, 6922, 6924-6927, 6934, and 6937.

12.  In §266.80(a) the table is revised to read as follows:

§ 266.80 Applicability and requirements.

(a) * * *

If your batteries * * * 	And if you  *  * *	Then you *  *  *	And you *
*  *

(1) Will be reclaimed through regeneration (such as by electrolyte
replacement)

are exempt from 40 CFR parts 262 (except for §262.11), 263, 264, 265,
266, 268, 270, 124 of this chapter, and the notification requirements at
section 3010 of RCRA	are subject to 40 CFR parts 261 and §262.11 of
this chapter.

(2) Will be reclaimed other than through regeneration 	generate,
collect, and/or transport these batteries	are exempt from 40 CFR parts
262 (except for § 262.11), 263, 264, 265, 266, 270, 124 of this
chapter, and the notification requirements at section 3010 of RCRA	are
subject to 40 CFR parts 261 and § 262.11, and applicable provisions
under part 268.

(3) Will be reclaimed other than through regeneration	store these
batteries but you aren’t the reclaimer	are exempt from 40 CFR parts
262 (except for § 262.11), 263, 264, 265, 266, 270, 124 of this
chapter, and the notification requirements at section 3010 of RCRA	are
subject to 40 CFR parts 261, §262.11, and applicable provisions under
part 268.

(4) Will be reclaimed other than through regeneration	store these
batteries before you reclaim them	must comply with 40 CFR 266.80 (b) and
as appropriate other regulatory provisions described in 266.80(b)	are
subject to 40 CFR parts 261, §262.11, and applicable provisions under
part 268.

(5) Will be reclaimed other than through regeneration	don’t store
these batteries before you reclaim them	are exempt from 40 CFR parts 262
(except for §262.11), 263, 264, 265,  266, 270, 124 of this chapter,
and the notification requirements at section 3010 of RCRA	are subject to
40 CFR parts 261, §262.11, and applicable provisions under part 268.

(6) Will be reclaimed through regeneration or any other means	export
these batteries for reclamation in a foreign country	are exempt from 40
CFR parts 263, 264, 265, 266, 268, 270, 124 of this chapter, and the
notification requirements at section 3010 of RCRA.  You are also exempt
from part 262, except for 262.11, and except for the applicable
requirements in either: (1) 40 CFR part 262 subpart H; or (2) 262.53
“Notification of Intent to Export, 262.56 (a) (1) through (4) (6) and
(b) “Annual Reports,” and 262.57 “Recordkeeping”	are subject to
40 CFR part 261 and § 262.11, and either must comply with 40 CFR part
262, subpart H (if shipping to one of the OECD countries specified in 40
CFR 262.58(a)(1)), or must:

(a) Comply with the requirements applicable to a primary exporter in 40
CFR 262.53, 262.56(a) (1) through (4), (6), and (b) and 262.57; and

(b) Export these batteries only upon consent of the receiving country
and in conformance with the EPA Acknowledgement of Consent as defined in
subpart E of part 262 of this chapter; and

(c) Provide a copy of the EPA Acknowledgment of Consent for the shipment
to the transporter transporting the shipment for export.

(7) Will be reclaimed through regeneration or any other means	Transport
these batteries in the U.S. to export them for reclamation in a foreign
country	are exempt from 40 CFR parts 263, 264, 265, 266, 268, 270, 124
of this chapter, and the notification requirements at section 3010 of
RCRA	must comply with applicable requirements in 40 CFR part 262,
subpart H (if shipping to one of the OECD countries specified in 40 CFR
262.58(a)(1)), or must comply with the following:

(a) you may not accept a shipment if you know the shipment does not
conform to the EPA Acknowledgment of Consent;

(b) you must ensure that a copy of the EPA Acknowledgment of Consent
accompanies the shipment; and

(c) you must ensure that the shipment is delivered to the facility
designated by the person initiating the shipment.

* * * * *

PART 271--REQUIREMENTS FOR AUTHORIZATION OF STATE HAZARDOUS WASTE
PROGRAMS

13. The authority citation for part 271 continues to read as follows:

    Authority: 42 U.S.C. 6905, 6912(a), and 6926.

14. Section 271.1(j) is amended by adding the following entry to Table 1
and Table 2 in chronological order by date of publication in the Federal
Register, to read as follows:

§ 271.1  Purpose and scope.

* * * * *

(j) * * *

Table 1.--Regulations Implementing the Hazardous and Solid Waste
Amendments of 1984

Promulgation date	Title of regulation	Federal Register Reference
Effective Date

* * * * * * *

[Insert date of publication in the Federal Register

(FR)].

	Exports of hazardous waste 	[Insert FR page numbers]

	[Insert date 6 months180 days from date of publication in the Federal
Register].

* * * * *

 Table 2.— Self-Implementing Provisions of the Hazardous and Solid
Waste Amendments of 1984

Effective date	Self-implementing provision	RCRA citation	Federal
Register Reference

* * * * * * *

[Insert date 6 months180 days from date of publication in the Federal
Register

(FR)].

	Exports of hazardous waste	3017(a)

	[Insert Federal Register reference for publication of final rule].

* * * * *

 The Basel Convention on the Control of Transboundary Movements of
Hazardous Wastes and their Disposal is a comprehensive global
environmental agreement on hazardous and other wastes.  The Convention
has 172 Member countries, also known as Parties, and aims to protect
human health and the environment against the adverse effects resulting
from the generation, management, transboundary movements and disposal of
hazardous and other wastes.  A copy of the convention text has been
placed in the docket established for this rulemaking.  More information
on the Basel Convention may be found at   HYPERLINK
"http://www.basel.int"  www.basel.int .

 Copies of these amendments have been placed in the docket established
for this rulemaking.

 The change from “consignee” to “importer” is only being made in
40 CFR part 262, subpart H, and does not affect the use of consignee in
40 CFR part 262, subpart E.

 Section 262.81 in the final revisions to the regulatory text in 40 CFR
part 262, subpart H defines “OECD Decision” as “Decision of the
Council C(2001)107/FINAL, Concerning the Control of Transboundary
Movements of Wastes Destined for Recovery Operations, as Amended by
C(2004)20; C(2005)141 and C(2008)156” for the purposes of the subpart.

 Section 262.81 in the final revisions to the regulatory text in 40 CFR
part 262, subpart H defines “OECD Decision” as “Decision of the
Council C(2001)107/FINAL, Concerning the Control of Transboundary
Movements of Wastes Destined for Recovery Operations, as Amended by
C(2004)20; C(2005)141 and C(2008)156” for the purposes of the subpart.

 Under both the 1992 Decision and the Amended 2001 OECD Decision,
transboundary movements of wastes subject to the Amber control
procedures may only occur under the terms of a valid written contract,
or chain of contracts, or equivalent arrangements between facilities
controlled by the same legal entity, starting with the exporter and
terminating at the recovery facility.  The contracts must:  (a) clearly
identify the generator of each type of waste, each person who shall have
legal control of the wastes and the recovery facility; (b) provide that
relevant requirements of the OECD Decisions are taken into account and
binding on all parties; and (c) specify which party to the contract
shall assume responsibility for ensuring alternative management of the
wastes including, if necessary, the return of the wastes.

 Recovery operations R1 through R11 are defined as follows:  R1, use as
a fuel (other than in direct incineration) or other means to generate
energy; R2, solvent reclamation/regeneration; R3, recycling/reclamation
of organic substances which are not used as solvents; R4,
recycling/reclamation of metals and metal compounds; R5,
recycling/reclamation of other inorganic materials; R6, regeneration of
acids or bases; R7, recovery of components used for pollution abatement;
R8, recovery of components used from catalysts; R9, used oil re-refining
or other reuses of previously used oil; R10, land treatment resulting in
benefit to agriculture or ecological improvement; and, R11, uses of
residual materials obtained from any of the operations numbered R1-R10.

 As noted previously, this is equivalent to the “importer” in the
final revisions to 40 CFR part 262, subpart H.

“ Decision-Recommendation of the Council on Exports of Hazardous
Wastes from the OECD area,” issued June 5, 1986.  This document is
available online at   HYPERLINK
"http://webdomino1.oecd.org/horizontal/oecdacts.nsf/linkto/C(86)64"
http://webdomino1.oecd.org/horizontal/oecdacts.nsf/linkto/C(86)64 , and
a copy has been placed in the docket established for this rulemaking.

 See June 25, 1985, memo from John H. Skinner, Director of the Office of
Solid Waste to Harry Seraydarian, Director, Toxics and Waste Management
Division, EPA Region IX, “Determining Who Assumes Generator
Responsibilities for Importations of Hazardous Waste.”

 Secretaría de Medio Ambiente y Recursos Naturales (SEMARNAT).

 Cost Assessment for the Final Rule on Exports and Imports of Hazardous
Waste Destined for Recovery Among OECD Countries, Exports of Spent
Lead-Acid Batteries from the U.S, and Import Consent Documentation.

 This $100 million threshold applies to both costs, and cost savings.

 Cost Assessment for the Final Rule on Exports and Imports of Hazardous
Waste Destined for Recovery Among OECD Countries, Exports of Spent
Lead-Acid Batteries from the U.S., and Import Consent Documentation
(Cost Assessment).

 PAGE

Page  PAGE   1  of   NUMPAGES  146


[Federal Register Volume 80, Number 112 (Thursday, June 11, 2015)]
[Notices]
[Pages 33305-33308]
[FR Doc No: 2015-14243]

=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-75116; File No. SR-MIAX-2015-38]

Self-Regulatory Organizations; Notice of Filing and Immediate
Effectiveness of a Proposed Rule Change by Miami International
Securities Exchange LLC To Amend the Amended and Restated Certificate
of Incorporation and the Amended and Restated By-Laws of the Sole
Limited Liability Company Member of MIAX, Miami International Holdings,
Inc.

June 5, 2015.
    Pursuant to the provisions of 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 May 28, 2015, Miami International Securities
Exchange LLC (``MIAX'' or ``Exchange'') filed with the Securities and
Exchange Commission (``Commission'') a proposed rule change as
described in Items I, II, and III below, which Items have been prepared
by the Exchange. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \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

    The Exchange is filing a proposal to amend the Amended and Restated
Certificate of Incorporation and the Amended and Restated By-Laws of
the sole limited liability company member of MIAX, Miami International
Holdings, Inc.
    The text of the proposed rule change is available on the Exchange's
Web site at http://www.miaxoptions.com/filter/wotitle/rule_filing, at
MIAX's principal office, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The Exchange proposes to amend certain sections of: (i) The Amended
and Restated Certificate of Incorporation (``MIH Certificate of
Incorporation''), and (ii) the Amended and Restated By-Laws (``MIH By-
Laws''), of the sole limited liability company member of the Exchange,
Miami International Holdings, Inc. (``MIH'') to replace all references
to MIAX contained therein with references to a new defined term
``Controlled National Securities Exchange.'' This proposed amendment is
based upon use of the identical defined term in the corporate documents
of another national securities exchange.\3\ The term ``Controlled
National Securities Exchange'' is proposed to be defined as any
national securities exchange which MIH shall control, directly or
indirectly.\4\ As proposed, the defined term ``Controlled National
Securities Exchange'' would be more comprehensive than simple
references to MIAX in that it would equally apply to any other national
securities exchange that MIH may control, directly or indirectly, in
the future. As specifically noted in the proposed MIH Certificate of
Incorporation and MIH By-Laws,\5\ such defined term would continue to
cover MIAX (the sole national securities exchange currently controlled,
directly or indirectly, by MIH) for so long as MIAX is controlled,
directly or indirectly, by MIH. The Exchange also proposes to amend the
MIH Certificate of Incorporation to make other non-substantive
revisions which (i) correspond to the aforementioned updated references
to ``Controlled National Securities Exchange,'' and (ii) reflect other
minor changes to charter provisions no longer applicable since the
Commission granted the Exchange's registration as a national securities
exchange on December 3, 2012.\6\
---------------------------------------------------------------------------

    \3\ See Certificate of Incorporation of International Securities
Exchange Holdings, Inc. (``ISE Holdings''), Article Fourth, Section
III, Articles Tenth through Fourteenth; Second Amended and Restated
By-Laws of ISE Holdings, Article I, Sections 1.4, 1.5 and 1.6,
Article X, Section 10.1 and Article XI, Sections 11.1(b) and
11.2(b). See also Securities Exchange Act Release Nos. 59135
(December 22, 2008), 73 FR 79954 (December 30, 2008) (SR-ISE-2008-
85).
    \4\ Such other national securities exchange has defined the term
in substantially the same manner as proposed to be defined by MIAX.
See Certificate of Incorporation of ISE Holdings, Article Fourth,
Section III(a); Second Amended and Restated By-Laws of ISE Holdings,
Article I, Section 1.4. See also Securities Exchange Act Release
Nos. 59135 (December 22, 2008), 73 FR 79954 (December 30, 2008) (SR-
ISE-2008-85).
    \5\ See Amended and Restated Certificate of Incorporation of
MIH, Article Eighth; Amended and Restated By-Laws of MIH, Article
VI, Section 2.
    \6\ See Securities Exchange Act Release No. 68341 (December 3,
2012), 77 FR 73089 (December 7, 2012) (File No. 10-207).
---------------------------------------------------------------------------

MIH Certificate of Incorporation

    The Exchange proposes to amend the MIH Certificate of Incorporation
to substitute references to MIAX with the defined term ``Controlled
National Securities Exchange'' and define it in Article EIGHTH as
follows:

For so long as this Corporation shall control, directly or indirectly,
one or more national securities exchange (each a ``Controlled National
Securities Exchange''), including but not limited to Miami
International Securities Exchange, LLC, or a facility thereof . . . .

Article EIGHTH would thereby make clear that MIAX is covered as a
Controlled National Securities Exchange. The terminology ``Controlled
National Securities Exchange,'' ``a Controlled National Securities
Exchange,'' or ``each Controlled National Securities Exchange'' would
be substituted in place of the terminology ``Miami International
Securities Exchange, LLC'' or ``the Miami International Securities
Exchange, LLC'' in Article EIGHTH (to require that any amendment to or
any repeal of any provision of the MIH Certificate of Incorporation be
submitted to the Board of Directors of each Controlled National
Securities Exchange), Article NINTH and Article NINTH subsections
(a)(ii), (b)(i), and (b)(ii)(B) (to impose limitations on the voting,
transfer and ownership of shares of MIH's capital stock for so long as
MIH shall control, directly or indirectly, any Controlled National
Securities Exchange).
    These changes would (i) enable the MIH Certificate of Incorporation
to accommodate the potential future ownership of more than one national
securities exchange by MIH, and (ii) ensure that any such future MIH
Controlled National Securities Exchange would enjoy and would be
subject to the same requirements, limitations and other self-regulatory
organization

(``SRO'') standards as currently apply with respect to MIAX under MIH's
charter documents. This amendment would not affect any of the
requirements, limitations or other SRO standards which currently, and
will continue to, apply with respect to MIAX under MIH's charter
documents. No changes to the ownership or corporate structure of MIAX
or MIH are proposed by this proposed rule change.
    The Exchange also proposes to clarify the defined term ``Exchange
Member'' in Article NINTH, Subsection (a)(ii)(D), so that it would
apply to ``any Person that is a registered broker or dealer that has
been admitted to membership in a Controlled National Securities
Exchange'' rather than to ``any Person that is a registered broker or
dealer that has been admitted to membership in the national securities
exchange known as Miami International Securities, LLC'' as it is
currently defined. This change would broaden the defined term
``Exchange Member'' to include any member of an applicable Controlled
National Securities Exchange, so that it would not be limited to
members of MIAX alone, and to correspond to the updated references to a
Controlled National Securities Exchange replacing MIAX elsewhere in the
MIH Certificate of Incorporation.
    In addition to the changes set forth above, the Exchange proposes
to make the following non-substantive changes to the MIH Certificate of
Incorporation: (i) Define the Securities Exchange Act of 1934, as
amended, as ``(the `Act')'' in Article FOURTH, subsection D7(a), and
(ii) clarify in Article EIGHTH and Article TENTH, Section (b) that the
references to the MIH Certificate of Incorporation are references to
the ``Amended and Restated'' Certificate of Incorporation of MIH. The
Exchange also proposes to delete dated references to time periods and
events that have expired. Specifically, the Exchange proposes to delete
text in Articles EIGHTH and NINTH referring to commencement of certain
obligations upon the registration of MIAX as a national securities
exchange, since such registration was granted on December 3, 2012.\7\
These clarifying changes would make the MIH Certificate of
Incorporation more concise, clear and understandable for, and eliminate
the potential for confusion to, an investor in MIH, a MIAX member or
other reader of the MIH Certificate of Incorporation.
---------------------------------------------------------------------------

    \7\ See supra note 6.
---------------------------------------------------------------------------

MIH By-Laws

    The Exchange proposes to amend the MIH By-Laws to substitute
references to MIAX with the defined term ``Controlled National
Securities Exchange'' and define it in Article VI, Section 2 as ``any
national securities exchange which this Corporation shall control,
directly or indirectly (each, a `Controlled National Securities
Exchange'), including but not limited to Miami International Securities
Exchange, LLC. . .''. Article VI, Section 2 would thereby make clear
that MIAX is covered as a Controlled National Securities Exchange. The
terminology ``Controlled National Securities Exchange,'' ``a Controlled
National Securities Exchange,'' ``any Controlled National Securities
Exchange,'' ``each Controlled National Securities Exchange,'' or ``such
Controlled National Securities Exchange'' would replace the terminology
``Miami International Securities Exchange, LLC'' or ``the Miami
International Securities Exchange, LLC'' in MIH By-Law Article VI,
Section 2 (regarding meetings of LLC Members or Stockholders of any
Controlled National Securities Exchange), Article VII, Sections 1
through 6 (regarding SRO Function of any Controlled National Securities
Exchange), Article XI, Section 2 (regarding liability to exchange
members for loss or damage arising out of their use or enjoyment of the
facilities of any Controlled National Securities Exchange), and Article
XII, Section 1 (requiring that any amendment to or repeal of any MIH
By-Law provision be submitted to the Board of Directors of a Controlled
National Securities Exchange).
    These changes would (i) enable the MIH By-Laws to accommodate the
potential future ownership of more than one national securities
exchange by MIH, and (ii) ensure that any such future MIH Controlled
National Securities Exchange would enjoy and would be subject to the
same requirements, limitations and other SRO standards as currently
apply with respect to MIAX under MIH's charter documents. This
amendment would not affect any of the requirements, limitations or
other SRO standards which currently, and will continue to, apply with
respect to MIAX under MIH's charter documents. No changes to the
ownership or corporate structure of MIAX or MIH are proposed by this
proposed rule change.
    The Exchange also proposes to add a reference to ``Stockholders''
in the caption of Article VI, Section 2, add a reference to ``meeting
of stockholders'' in the text of Article VI, Section 2, and replace the
defined term ``LLC Members'' with the more generic term
``Equityholders'' in Article VI, Section 2 so that such MIH By-Law
would equally apply to any stockholders of a Controlled National
Securities Exchange that is a corporate entity in the same manner as it
currently applies to limited liability members of MIAX. This change
would correspond to the updated references to a Controlled National
Securities Exchange replacing references to MIAX elsewhere in the MIH
By-Laws.
    The Exchange believes that the foregoing changes are reasonably
designed to ensure that any MIH Controlled National Securities Exchange
will enjoy and be subject to the same requirements, limitations and
other SRO standards that currently apply under MIH's charter documents
with respect to MIAX, the only national securities exchange that is
currently controlled, directly or indirectly, by MIH, including
limitations upon ownership and voting of MIH capital stock and other
requirements designed to preserve the independence of the self-
regulatory function of, and Commission oversight over, any Controlled
National Securities Exchange. These changes will allow for greater
flexibility in the corporate structure of MIH by enabling the MIH
Certificate of Incorporation and MIH By-Laws to accommodate the
potential future ownership of more than one national securities
exchange by MIH. The Exchange notes that no changes to the ownership or
corporate structure of either MIAX or MIH have occurred or are being
proposed by this proposed rule change.
2. Statutory Basis
    MIAX believes that this proposed rule change is consistent with
Section 6(b) of the Act \8\ in general, and furthers the objectives of
Sections 6(b)(1) and 6(b)(5) of the Act \9\ in particular, in that it
enables the Exchange to be so organized as to have the capacity to
carry out the purposes of the Act and to comply, and to enforce
compliance by its Members and persons associated with its Members with,
the provisions of the Act, the rules and regulations thereunder, and
the rules of the Exchange; and that it is designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to foster cooperation and coordination
with persons engaged in facilitating transactions in securities, to
remove impediments to and perfect the mechanisms of a free and open
market and a national market system and, in

general, to protect investors and the public interest.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(1) and (b)(5).
---------------------------------------------------------------------------

    Specifically, this proposed rule change is consistent with and will
facilitate an ownership structure by MIH that will continue to provide
the Commission with appropriate oversight tools to ensure that the
Commission will have the ability to enforce the Act with respect to not
only MIAX, but with respect to any other national securities exchange
that may in the future be controlled, directly or indirectly, by MIH,
and with respect to MIH as the parent entity of any such Controlled
National Securities Exchange. It is further consistent with and will
facilitate an ownership structure that will provide the Commission with
appropriate oversight tools to ensure that the Commission will have the
ability to enforce the Act with respect to MIH's directors, officers,
employees and agents to the extent they are involved in the activities
of a Controlled National Securities Exchange.
    This proposed rule change is also consistent with and will
facilitate an ownership structure of any national securities exchange
that may in the future be controlled, directly or indirectly, by MIH,
by providing such Controlled National Securities Exchange with
appropriate oversight tools to carry out the purposes of, and to comply
with, the Act, and to enforce compliance by MIH as the parent holding
entity, by the Controlled National Securities Exchange's members and
persons associated with such members, and by MIH's directors, officers,
employees and agents to the extent they are involved in the activities
of such Controlled National Securities Exchange, with the Act, the
rules and regulations thereunder, and the internal rules of such
Controlled National Securities Exchange as applicable.
    This proposed rule change is also consistent with and will help to
ensure that the requirements, limitations and other SRO standards that
currently apply with respect to MIAX pursuant to MIH's charter
documents, would also equally apply with respect to any other national
securities exchange that MIH may in the future control, directly or
indirectly, thereby serving to prevent fraudulent and manipulative acts
and practices, promote just and equitable principles of trade, foster
cooperation and coordination with persons engaged in facilitating
transactions in securities, remove impediments to and perfect the
mechanisms of a free and open market and a national market system, and
protect investors and the public interest.
    For example, the equal application of specifically enumerated
requirements regarding the election of directors by MIH as the LLC
Member of MIAX,\10\ and on other corporate functions of MIH as the
parent entity of MIAX, to MIH in its capacity as an Equityholder or
parent entity of a Controlled National Securities Exchange, will
preserve the independence of the self-regulatory function of, and
provide for Commission oversight over, such Controlled National
Securities Exchange. Such corporate functions of MIH include those
functions concerning confidentiality, record-keeping and cooperation
with the Commission to the extent related to the operations,
administration, self-regulatory function or other activities of a
Controlled National Securities Exchange.\11\ MIH charter provisions
regarding the foregoing are intended to facilitate the free exercise of
the self-regulatory function of a Controlled National Securities
Exchange and protect against inappropriate interference with such
function.\12\ Free exercise of the self-regulatory function of the
Controlled National Securities Exchange and protection against
inappropriate conflict or interference with such function will be
further achieved by requiring that any amendment or repeal of MIH
charter provisions be submitted to the Board of Directors of each
Controlled National Securities Exchange and filed with and approved by
the Commission if required,\13\ and by imposing limitations on the
voting, transfer and ownership of shares of MIH's capital stock for so
long as MIH controls, directly or indirectly, any Controlled National
Securities Exchange.\14\
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    \10\ See Amended and Restated By-Laws of MIH, Article VI,
Section 2.
    \11\ See Amended and Restated By-Laws of MIH, Article VII.
    \12\ See Amended and Restated By-Laws of MIH, Article VII,
Section 1.
    \13\ See Amended and Restated Certificate of Incorporation of
MIH, Article Eighth.
    \14\ See Amended and Restated Certificate of Incorporation of
MIH, Article Ninth and Article Ninth subsections (a)(ii), (b)(i),
and (b)(ii)(B).
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    The Exchange's proposed amendments also address other non-
substantive revisions which reflect changes since the Commission
granted the Exchange's registration as a national securities exchange
on December 3, 2012 \15\ in order to make the MIH Certificate of
Incorporation more concise, clear and understandable for, and eliminate
the potential for confusion to, an investor in MIH, a MIAX member or
other reader of MIH's charter documents, thereby protecting investors
and the public interest.
---------------------------------------------------------------------------

    \15\ See supra note 6.
---------------------------------------------------------------------------

    Finally, this proposed rule change is administrative in nature and
does not propose any changes to MIH's or MIAX's current ownership or
corporate structure or MIAX's operational or trading structure. The
Exchange will continue to operate in the same manner following the
proposed rule change as it operates today.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The proposed changes to the
MIH Certificate of Incorporation and MIH By-Laws are administrative in
nature and are designed to enable the Exchange to be organized so as to
have the capacity to carry out the purposes of the Act and to comply,
and to enforce compliance by its Exchange Members and persons
associated with its Exchange Members, with the provisions of the Act,
the rules and regulations thereunder, and the rules of the Exchange. As
such, this is not a competitive filing and thus does not impose any
burden on competition.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days after the date of the filing, or such
shorter time as the Commission may designate, it has become effective
pursuant to 19(b)(3)(A) of the Act \16\ and Rule 19b-4(f)(6) \17\
thereunder.
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    \16\ 15 U.S.C. 78s(b)(3)(A).
    \17\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    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. If the Commission takes such action, the
Commission shall institute proceedings to determine whether the
proposed rule should be approved or 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 email to<EMAIL_ADDRESS>Please include
File Number SR-MIAX-2015-38 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-MIAX-2015-38. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such filing also will be available
for inspection and copying at the principal offices 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-MIAX-2015-38,
and should be submitted on or before July 2, 2015.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\18\
---------------------------------------------------------------------------

    \18\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-14243 Filed 6-10-15; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register: May 12, 2008 (Volume 73, Number 92)]
[Notices]
[Page 27012]
[DOCID:fr12my08-59]

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SECURITIES AND EXCHANGE COMMISSION

[File No. 500-1]

In the Matter of: American Motorcycle Corp. (f/k/a Scope
Industries, Inc.); Order of Suspension of Trading

May 8, 2008.
    It appears to the Securities and Exchange Commission that there is
a lack of current and accurate information concerning the securities of
American Motorcycle Corp. (f/k/a Scope Industries, Inc.) because it has
not filed any periodic reports since the period ended September 30,
2000.
    The Commission is of the opinion that the public interest and the
protection of investors require a suspension of trading in the
securities of the above-listed company.
    Therefore, it is ordered, pursuant to Section 12(k) of the
Securities Exchange Act of 1934, that trading in American Motorcycle
Corp. (f/k/a Scope Industries, Inc.) is suspended for the period from
9:30 a.m. EDT on May 8, 2008, through 11:59 p.m. EDT on May 21, 2008.

    By the Commission.
Nancy M. Morris,
Secretary.
[FR Doc. 08-1249 Filed 5-8-08; 10:18 am]

BILLING CODE 8010-01-P


[Federal Register Volume 86, Number 217 (Monday, November 15, 2021)]
[Notices]
[Pages 63081-63082]
[FR Doc No: 2021-24882]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-638; OMB Control No. 3235-0687]

Proposed Collection; Comment Request

Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736

Extension:
    Rule 239

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collection of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget for extension and approval.
    Rule 239 (17 CFR 230.239) provides exemptions under the Securities
Act of 1933 (15 U.S.C. 77a et seq.), the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.) and the Trust Indenture Act of 1939
(U.S.C. 77aaa et seq.) for security-based swaps issued by certain
clearing agencies satisfying certain conditions. The purpose of the
information required by Rule 239 is to make certain information about
security-based swaps that may be

cleared by the registered or the exempt clearing agencies available to
eligible contract participants and other market participants. We
estimate that each registered or exempt clearing agency issuing
security-based swaps in its function as a central counterparty will
spend approximately 2 hours each time it provides or update the
information in its agreements relating to security-based swaps or on
its website. We estimate that each registered or exempt clearing agency
will provide or update the information approximately 20 times per year.
In addition, we estimate that 75% of the 2 hours per response (1.5
hours) is prepared internally by the clearing agency for a total annual
reporting burden of 180 hours (1.5 hours per response x 20 x 6
respondents).
    Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden imposed by the collection of information; (c) ways to
enhance the quality, utility, and clarity of the information collected;
and (d) ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    Please direct your written comment to David Bottom, Director/Chief
Information Officer, Securities and Exchange Commission, c/o John
Pezzullo, 100 F Street NE, Washington, DC 20549 or send an email to:
[email protected].

    Dated: November 9, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-24882 Filed 11-12-21; 8:45 am]
BILLING CODE 8011-01-P