[Federal Register: January 2, 2008 (Volume 73, Number 1)]
[Rules and Regulations]
[Page 32-38]
[DOCID:fr02ja08-7]

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 700, 730, 740, 743, 744, 745, 746, 748, 750, 752, 754,
and 774

[Docket No. 071011588-7712-02]
RIN 0694-AE15

Revisions and Technical Corrections to the Export Administration
Regulations and the Defense Priorities and Allocations System
Regulation

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final rule.

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SUMMARY: This rule amends the Export Administration Regulations (EAR)
by making the following changes: Removing the post office box address
for the Bureau of Industry and Security (BIS), updating the contact
information for the San Jose field office, reinserting missing
footnotes in sections describing License Exceptions, removing certain
non-Country Group D countries from Country Group D, correcting
formatting in the supplement listing items subject to the military end-
use license requirement for the People's Republic of China (PRC),
correcting the Code of Federal Regulations legal authority citation for
part 745 of the EAR, removing a reference to Libya under embargoed
destinations, adding fax information for submitting a request for
approval to submit applications electronically, clarifying the
requirements for obtaining an Import Certificate or an End-User
Statement, changing Validated End-User report requirements, amending
the contact information for the Ministry of Commerce of the PRC, making
a technical correction to shipping tolerances, and removing references
to certain entries on the Commerce Control List. In addition, this rule
amends the Defense Priorities and Allocations System (DPAS) Regulation
by updating an office name and by removing a reference to a form.

DATE: This rule is effective January 2, 2008.

ADDRESSES: Although this is a final rule, comments are welcome and
should be sent to<EMAIL_ADDRESS>fax<PHONE_NUMBER>, or to
Regulatory Policy Division, Bureau of Industry and Security, Room
H2705, U.S. Department of Commerce, Washington, DC 20230. Please refer
to regulatory identification number (RIN) 0694-AE15 in all comments,
and in the subject line of email comments. Comments on the collection
of information should be sent to David Rostker, Office of Management
and Budget (OMB), by e-mail to<EMAIL_ADDRESS>or by fax to
(202) 395-7285.

FOR FURTHER INFORMATION CONTACT: For questions related to amendments to
the Export Administration Regulations, contact Steven Emme, Regulatory
Policy Division, Bureau of Industry and Security, telephone: (202) 482-
2440, e-mail<EMAIL_ADDRESS>For questions related to amendments to
the Defense Priorities and Allocations System Regulation, contact Liam
McMenamin, Office of Strategic Industries and Economic Security, Bureau
of Industry and Security, telephone:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: This rule makes the following corrections to
the Export Administration Regulations:

Address Changes--Removal of P.O. Box Address for BIS in Washington, DC
and Change in Location for BIS San Jose Field Office

    BIS will no longer accept materials sent to post office box 273 in
Washington, DC. In lieu of P.O. Box 273, materials may be sent via
courier to Room 2705, 14th Street and Pennsylvania Ave., NW.,
Washington, DC 20230. To reflect this update, this rule removes
references to P.O. Box 273 in parts 730, 740, 743, 748, 752, 754, and
774 and replaces those references with Room 2705, where applicable.
    Furthermore, this rule updates the address, phone number, and fax
number for the San Jose field office in Sec. Sec.  730.8 (how to
proceed and where to get help) and 748.2 (obtaining forms; mailing
addresses).

Part 740--Reinsertion of Footnotes

    On March 25, 1996, BIS (then the Bureau of Export Administration,
or BXA) published an interim rule (61 FR 12714) which rewrote and
reorganized the Export Administration Regulations. The rewrite created
part 740 for license exceptions, which included Sec.  740.4 for
temporary imports, exports and reexports (TMP) and Sec.  740.7 for gift
parcels and humanitarian donations (GFT). On December 4, 1996, BIS
published a subsequent revision (61 FR 64272) to the EAR that
redesignated TMP as Sec.  740.8 and GFT as Sec.  740.11. When TMP and
GFT were redesignated, one footnote to paragraph (b)(1)(iv) in TMP (now
Sec.  740.9(b)(1)(iv)) and one footnote to paragraph (a)(1) in GFT (now
Sec.  740.12(a)(1)) were inadvertently omitted. This rule reinserts the
footnote by ``Commerce Form 7513'' in Sec.  740.9(b)(1)(iv) and the
footnote by ``gift parcel'' in Sec.  740.12(a)(1)).

Part 740--Removal of Certain Countries from Country Group D

    Country Group D, as found in Supplement No. 1 to part 740, contains
countries listed as countries of concern due to national security,
nuclear, chemical and biological, and/or missile technology reasons. An
``x'' in a particular column indicates the reason(s) that applies to a
particular country. On August 5, 1997, BIS (then BXA) published a final
rule (62 FR 42047) which removed the ``x'' in the D:2 column for
Algeria, Andorra, Comoros, Djibouti, Micronesia, and Vanuatu, to
reflect their status as signatories of the Nuclear Non-Proliferation
Treaty. As a result of that rule, those six countries did not have an
``x'' in any of the columns in Country Group D. However, the rule did
not remove those countries' names from the list of countries in that
country group. Therefore, this rule removes references to those six
countries from Country Group D.

Part 744--Formatting Corrections

    On June 19, 2007, BIS published a revision and clarification of
export and reexport controls for the People's Republic of China (PRC).
In that final rule, certain changes to part 744 did not format
correctly. Specifically, paragraph (1)(ii) of Supplement No. 2
contained measurements that appeared in the Federal Register as
``3.18x106m'' and ``7.62x104m'' and paragraphs (3) and (5) of
Supplement No. 2 contained mislabeled sub-paragraph numbers. This rule
corrects those measurements to read ``3.18 x 10\6\ m'' and ``7.62 x
10\4\ m'' respectively, and it renumbers the sub-paragraphs of
paragraphs (3) and (5).

Part 745--Legal Authorities Correction

    On November 30, 2007, BIS published a final rule (72 FR 67636)
updating the statements of legal authority for the EAR. This rule makes
a correction to the authority for part 745 by removing ``Notice of
October 27, 2006, 71 FR 64109 (October 31, 2006)'' and adding ``Notice
of November 8, 2007, 72 FR 63963 (November 13, 2007)'' in its place.
This correction makes no changes to the text of the EAR.

Part 746--Removal of Libya Reference and Revision to Iran Provisions

    Section 746.1(a)(1) currently reads ``most other items * * *
designated * * * `EAR99', require a license to Cuba or Libya.'' On
August 31, 2006, BIS published an interim final rule (71 FR 51714) that
amended the EAR to allow EAR99 items to be exported or reexported to
Libya without a license, subject to the end-user and end-use controls
in part 744 of the EAR. As a result, this rule removes ``Libya'' from
the second sentence of Sec.  746.1(a)(1).

Part 748--Requesting Approval Via Fax to Submit Applications
Electronically

    Section 748.7(a) describes the authorization procedures by which an
applicant may request approval to apply electronically for a license or
classification request. Currently, Sec.  748.7(a)(1) only allows
submission of written requests for approval to submit applications and
requests electronically to certain addresses listed in Sec.  748.2(c).
This rule amends Sec.  748.7(a)(1) to include submission of written
requests via fax, which will conform to actual practice.

Part 748--Clarification of Import Certificate and End-User Statement
Requirements

    On June 19, 2007, BIS published a final rule (72 FR 33646) that
changed the requirements for submitting either an Import Certificate or
an End-User Statement. This rule amends Sec. Sec.  748.10(a) and
748.10(b) to clarify the applicability of the $50,000 threshold. For
exports to countries listed in Sec.  748.9(b)(2), an Import Certificate
is required for commodities controlled for national security (NS)
reasons for transactions valued over $50,000. For exports to the PRC,
an End-User Statement is required for transactions exceeding $50,000
involving most commodities that require a license to the PRC for any
reason. Exceptions to the $50,000 threshold for certain exports to the
PRC have been consolidated into new Sec.  748.10(b)(3). This rule does
not add any additional requirements for Import Certificates or End-User
Statements; it only reorganizes the existing provisions to enhance
clarity.
    Furthermore, this rule corrects Sec.  748.10(b)(4) to remove
``software'' from the first sentence. As noted in Sec.  748.9(a)(7),
support documents are not required for license applications involving
the export or reexport of software or technology. On September 22,
1998, BIS published an interim rule (63 FR 50516) which clarified ``a
long-standing policy that no support documentation is required for
exports of technology or software.'' That rule removed references to
the exports of technology or software to certain destinations in Sec.
748.10(b)(1) but did not remove the reference to software in Sec.
748.10(b)(4).

Part 748--Changes to Validated End-User (VEU) Reporting Requirements
and to the Contact Information for the Ministry of Commerce of the PRC

    This final rule amends Sec.  748.15(f)(1)(i) to no longer require
exporters to submit the reports required under that section for VEUs
because BIS already has access to that information. However,
reexporters must continue to submit the annual reports as required by
that section. Also, this final rule updates the contact information for
the Ministry of Commerce, Department of Mechanic, Electronic and High
Technology Industries of the PRC in Supplement No. 4 to part 748.

Part 750--Technical Correction to Shipping Tolerances

    According to Sec.  750.11(b)(1), items licensed by dollar value
have no shipping tolerance in that one may not ship more than the total
dollar value that is stated on the license. To determine if an item is
license by dollar value, one may look to the ``Unit'' paragraph in the
ECCN entry of the item. However, paragraph (b)(1) shows ``Sec.  value''
as the appropriate indicator in the ``Unit'' paragraph to designate
whether the item is licensed by dollar value. This rule changes ``Sec.
value'' to the appropriate designation of dollar value, which is ``$
value''.

Part 774--Citation Corrections in ECCNs 2B999, 9E001, and 9E002

    Export Control Classification Number (ECCN) 2B999 lists multiple
ECCNs under Related Controls. ECCNs listed under Related Controls are
cross-references to similar items that readers of the EAR need to be
aware of when determining the proper classification of their item. One
such ECCN listed under Related Controls in ECCN 2B999 is ECCN 1B109.
However, ECCN 1B109 does not exist on the Commerce Control List. This
rule corrects that citation by replacing that ECCN with 2B109.
    Moreover, the headings of ECCNs 9E001 and 9E002 reference ECCN
9A001.c, which does not exist. On July 15, 2005, BIS published a final
rule (70 FR 41094) that redesignated ECCN 9A001.c as ECCN 9A001.b. In
order to reflect that change, this rule removes the references to
``9A001.c'' in ECCNs 9E001 and 9E002 and replaces those references with
``9A001.b.''

In addition, this rule makes the following correction to the Defense
Priorities and Allocations System (DPAS) Regulation:

Part 700--Defense Priorities and Allocations System (DPAS) Technical
Correction

    This rule changes the name ``Office of Clearance and Support,''
referenced in Sec.  700.21(a), to ``Office of Electricity Delivery and
Energy Reliability'' to reflect the Department of Energy office
currently assigned with the responsibility for reviewing applications
for priority rating authority for projects believed to maximize
domestic energy supplies. Also, this rule removes an erroneous
reference in Sec.  700.21(a) to DOE Form PR 437. The Department of
Energy no longer uses DOE Form PR 437.
    Although the Export Administration Act expired on August 20, 2001,
the President, through Executive Order 13222 of August 17, 2001, 3 CFR,
2001 Comp., p. 783 (2002), as extended by the Notice of August 15,
2007, 72 FR 46137 (August 16, 2007), has continued the Export
Administration Regulations in effect under the International Emergency
Economic Powers Act.

Rulemaking Requirements

    1. This final rule has been determined to be not significant for
purposes of E.O. 12866.

    2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.) (PRA), unless that collection of information displays a currently
valid Office of Management and Budget (OMB) Control Number. This rule
involves a collection of information subject to the requirements of the
PRA. This collection has previously been approved by OMB under control
number 0694-0088 (Multi-Purpose Application), which carries a burden
hour estimate of 58 minutes to prepare and submit form BIS-748.
Miscellaneous and recordkeeping activities account for 12 minutes per
submission. BIS expects that this rule will not change that burden hour
estimate.
    3. This rule does not contain policies with Federalism implications
as that term is defined under E.O. 13132.
    4. BIS finds that there is good cause under 5 U.S.C. 553(b)(B) to
waive the provisions of the Administrative Procedure Act requiring
prior notice and the opportunity for public comment for all provisions
except those amendments to part 748 of the EAR related to VEU reporting
requirements because it is unnecessary. These revisions are
administrative in nature and do not affect the rights and obligations
of the public. Because these revisions are not substantive changes to
the EAR and to the DPAS, it is unnecessary to provide notice and
opportunity for public comment. In addition, the 30-day delay in
effectiveness required by 5 U.S.C. 553(d) is not applicable because
this rule is not a substantive rule. No other law requires that notice
of proposed rulemaking and an opportunity for public comment be given
for this rule.
    BIS finds that there is good cause under 5 U.S.C. 553(b)(B) to
waive the provisions of the Administrative Procedure Act requiring
notice and the opportunity for public comment on the provision that
amends Part 748 of the EAR related to VEU reporting requirements
because it is unnecessary and contrary to the public interest. This
rule amends the EAR to no longer require exporters to submit the
reports required under Sec.  748.15(f)(1)(i) for VEUs because BIS
already requires the submission of that same information, and has
access to that information, through other means. In order to eliminate
any redundancy in the collection of this information, BIS amends its
regulations to eliminate the submission of these reports. In addition,
the 30-day delay in effectiveness required by 5 U.S.C. 553(d) is waived
for good cause because the delay is contrary to the public interest. As
stated above, BIS already requires the submission of information
contained in the reports required under Sec.  748.15(f)(1)(i) for VEUs,
and has access to that information, through other means. In order to
eliminate any redundancy in the collection of this information, BIS
amends its regulations to eliminate the submission of these reports. No
other law requires that notice of proposed rulemaking and an
opportunity for public comment be given for this rule.
    Because a notice of proposed rulemaking and an opportunity for
public comment are not required to be given for this rule under the
Administrative Procedure Act or by any other law, the analytical
requirements of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.)
are not applicable. Therefore, this regulation is issued in final form.
Although there is no formal comment period, public comments on this
regulation are welcome on a continuing basis. Comments should be
submitted to Steven Emme, Regulatory Policy Division, Bureau of
Industry and Security, Department of Commerce, Room 2705, 14th Street
and Pennsylvania Ave., NW., Washington, DC 20230.

List of Subjects

15 CFR Part 700

    Administrative practice and procedure, Business and industry,
Government contracts, National defense, Reporting and recordkeeping
requirements, Strategic and critical materials.

15 CFR Parts 740, 748, and 750

    Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.

15 CFR Part 744

    Exports, Reporting and recordkeeping requirements, Terrorism.

15 CFR Part 745

    Administrative practice and procedure, Chemicals, Exports, Foreign
trade, Reporting and recordkeeping requirements.

15 CFR Parts 746 and 774

    Exports, Reporting and recordkeeping requirements.

0
Accordingly, part 700 of the Defense Priorities and Allocations System
Regulation (15 CFR part 700) and parts 730, 740, 743, 744, 745, 746,
748, 750, 752, 754, and 774 of the Export Administration Regulations
(15 CFR parts 730-774) are amended as follows:

PART 700--[AMENDED]

0
1. The authority citation for 15 CFR part 700 continues to read as
follows:

    Authority: Titles I and VII of the Defense Production Act of
1950, as amended (50 U.S.C. App. 2061, et seq.), Title VI of the
Robert T. Stafford Disaster Relief and Emergency Assistance Act (42
U.S.C. 5195, et seq.), Executive Order 12919, 59 FR 29525, 3 CFR,
1994 Comp. 901, and Executive Order 13286, 68 FR 10619, 3 CFR, 2003
Comp. 166; section 18 of the Selective Service Act of 1948 (50
U.S.C. App. 468), 10 U.S.C. 2538, 50 U.S.C. 82, and Executive Order
12742, 56 FR 1079, 3 CFR, 1991 Comp. 309; and Executive Order 12656,
53 FR 226, 3 CFR, 1988 Comp. 585.

0
2. Section 700.21 is amended by revising paragraph (a) to read as
follows:

Sec.  700.21  Application for priority rating authority.

    (a) For projects believed to maximize domestic energy supplies, a
person may request priority rating authority for scarce, critical, and
essential supplies of materials, equipment, and services (related to
the production of materials or equipment, or the installation, repair,
or maintenance of equipment) by submitting a request to the Department
of Energy. Further information may be obtained from the U.S. Department
of Energy, Office of Electricity Delivery and Energy Reliability, 1000
Independence Avenue, SW., Washington, DC 20585.
* * * * *

PART 730--[AMENDED]

0
3. The authority citation for 15 CFR part 730 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 7420; 10 U.S.C. 7430(e); 22 U.S.C. 287c; 22 U.S.C. 2151
note; 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 30 U.S.C. 185(s),
185(u); 42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C.
app. 466c; 50 U.S.C. app. 5; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210;
E.O. 11912, 41 FR 15825, 3 CFR, 1976 Comp., p. 114; E.O. 12002, 42
FR 35623, 3 CFR, 1977 Comp., p.133; E.O. 12058, 43 FR 20947, 3 CFR,
1978 Comp., p. 179; E.O. 12214, 45 FR 29783, 3 CFR, 1980 Comp., p.
256; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12854,
58 FR 36587, 3 CFR, 1993 Comp., p. 179; E.O. 12918, 59 FR 28205, 3
CFR, 1994 Comp., p. 899; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp.,
p. 950; E.O. 12947, 60 FR 5079, 3 CFR, 1995 Comp., p. 356; E.O.
12981, 60 FR 62981, 3 CFR, 1995 Comp., p. 419; E.O. 13020, 61 FR
54079, 3 CFR, 1996 Comp. p. 219; E.O. 13026, 61 FR 58767, 3 CFR,
1996 Comp., p. 228; E.O. 13099, 63 FR 45167, 3

CFR, 1998 Comp., p.208; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp.,
p. 783; E.O. 13224, 66 FR 49079, 3 CFR, 2001 Comp., p. 786; E.O.
13338, 69 FR 26751, May 13, 2004; Notice of August 15, 2007, 72 FR
46137 (August 16, 2007); Notice of November 8, 2007, 72 FR 63963
(November 13, 2007).

0
4. Section 730.8 is amended by revising the third location entry at the
end of paragraph (c) for the ``U.S. Export Assistance Center'' to read
as follows:

Sec.  730.8  How to proceed and where to get help.

* * * * *
    (c) * * *
    U.S. Export Assistance Center, Bureau of Industry and Security, 160
W. Santa Clara Street, Suite 725, San Jose, California 95113, Tel:
(408) 998-8805 or<PHONE_NUMBER>, Fax:<PHONE_NUMBER>.

0
5. Supplement No. 2 to part 730--Technical Advisory Committees, is
amended by revising the first sentence of paragraph (b)(1) to read as
follows:

Supplement No. 2 to Part 730--Technical Advisory Committees

* * * * *
    (b) * * *
    (1) Form and substance of requests. Each request for the
appointment of a TAC shall be submitted in writing via courier to:
Room 2705, 14th Street and Pennsylvania Ave., NW., Washington, DC
20230. * * *
* * * * *

PART 734--[AMENDED]

0
6. The authority citation for 15 CFR part 734 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13020, 61
FR 54079, 3 CFR, 1996 Comp. p. 219; E.O. 13026, 61 FR 58767, 3 CFR,
1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p.
783; Notice of August 15, 2007, 72 FR 46137 (August 16, 2007);
Notice of November 8, 2007, 72 FR 63963 (November 13, 2007).

0
7. Supplement No. 1 to part 734 is amended by revising the last
sentence in the second paragraph of the ``Answer'' to ``Question D(3)''
of Section D: Research, Correspondence, and Informal Scientific
Exchanges, to read as follows:

Supplement No. 1 to Part 734--Questions and Answers--Technology and
Software Subject to the EAR

* * * * *
    Section D: Research, Correspondence, and Informal Scientific
Exchanges
* * * * *
    Question D(3): * * *
    Answer: * * * Send written communications, via courier, to:
Department of Commerce, Bureau of Industry and Security, Room 2705,
14th Street and Pennsylvania Ave., NW., Washington, DC 20230.
* * * * *

PART 740--[AMENDED]

0
8. The authority citation for 15 CFR part 740 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 7201 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp.,
p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice
of August 15, 2007, 72 FR 46137 (August 16, 2007).

0
9. Section 740.9(b)(1)(iv) is amended:
0
a. By revising the last two sentences as set forth below; and
0
b. By adding footnote 1, to read as follows:

Sec.  740.9  Temporary imports, exports, and reexports (TMP).

* * * * *
    (b) * * *
    (1) * * *
    (i) * * *
    (ii) * * *
    (iii) * * *
    (iv) * * * The commodity or software description, quantity,
ultimate consignee, country of ultimate destination, and all other
pertinent details of the shipment must be the same on a required Form
B-13, as on Commerce Form 7513,\1\ or when Form 7513 is not required,
must be the same as on Customs Form 7512. When there is a material
difference, a corrected Form B-13 authorizing the shipment is required.
---------------------------------------------------------------------------

    \1\ The complete names of these forms are: Commerce Form 7513,
``Shipper's Export Declaration for Intransit Goods''; Customs Form
7512, ``Transportation Entry and Manifest of Goods Subject to
Customs Inspection and Permit''.
---------------------------------------------------------------------------

0
10. Section 740.12(a)(1) is amended:
0
a. By revising the last sentence as set forth below; and
0
b. By adding footnote 2 to read as follows:

Sec.  740.12  Gift parcels and humanitarian donations (GFT).

* * * * *
    (a) * * *
    (1) * * * However, payment by the donee of any handling charges or
of any fees levied by the importing country (e.g., import duties,
taxes, etc.) is not considered to be a cost to the donee for purposes
of this definition of ``gift parcel.'' \2\
---------------------------------------------------------------------------

    \2\ Many foreign countries permit the entry, duty-free, of gift
parcels that conform to regulations regarding contents and marking.
To secure this advantage, the sender should show the words ``U.S.A.
Gift Parcel'' on the addressee side of the package and on any
required customs declarations. Information regarding the foreign
postal regulations is available at local post offices. Senders of
gift parcels who wish information regarding import duties of a
foreign country should contact the nearest Commercial Office,
Consulate or Embassy of the country concerned.
---------------------------------------------------------------------------

Sec.  740.13  [Amended]

0
11. Section 740.13(d)(1) is amended by redesignating footnote ``1'' as
footnote ``3''.

Sec.  740.15  [Amended]

0
12. Section 740.15(c)(1) is amended by redesignating footnote ``6'' as
footnote ``4'', and Sec.  740.15(c)(2) is amended by redesignating
footnote ``7'' as footnote ``5''.

Supplement No. 1 to Part 740 [Amended]

0
13. Supplement No. 1 to Part 740--Country Groups is amended by removing
the rows labeled ``Algeria'', ``Andorra'', ``Comoros'', ``Djibouti'',
``Micronesia'', and ``Vanuatu'' in the table titled ``Country Group
D''.

PART 743--[AMENDED]

0
14. The authority citation for 15 CFR part 743 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq; Pub. L. 106-508; 50
U.S.C. 1701 et seq; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p.
783; Notice of August 15, 2007, 72 FR 46137 (August 16, 2007).

0
15. Section 743.1 is amended by revising paragraph (g)(1) to read as
follows:

Sec.  743.1  Wassenaar Arrangement.

* * * * *
    (g) * * *
    (1) Two (2) copies of reports required under this section shall be
delivered via courier to: Bureau of Industry and Security, U.S.
Department of Commerce, Attn: ``Wassenaar Reports'', Room 2705, 14th
Street and Pennsylvania Ave., NW., Washington, DC 20230. BIS will not
accept reports sent C.O.D.
* * * * *

0
16. Section 743.2 is amended by revising paragraph (d) to read as
follows:

Sec.  743.2  High performance computers: Post shipment verification
reporting.

* * * * *
    (d) Address. A copy of the post-shipment report(s) required under
paragraph (b) of this section shall be delivered, via courier, to: U.S.
Department of Commerce, Office of Enforcement Analysis, HPC Team, 14th
Street and Constitution Ave., NW., Room 4065, Washington, DC 20230.
Note that BIS will not accept reports sent C.O.D.

PART 744--[AMENDED]

0
17. The authority citation for 15 CFR part 740 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22 U.S.C. 7201 et seq.; 22
U.S.C. 7210; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179;
E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59
FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 12947, 60 FR 5079, 3 CFR,
1995 Comp., p. 356; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13099, 63 FR 45167, 3 CFR, 1998 Comp., p. 208; E.O. 13222,
66 FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 13224, 66 FR 49079, 3
CFR, 2001 Comp., p. 786; Notice of August 15, 2007, 72 FR 46137
(August 16, 2007); Notice of November 8, 2007, 72 FR 63963 (November
13, 2007).

0
18. Paragraph (1)(ii) of Supplement No. 2 to part 744 is amended:
0
a. By removing the term ``3.18 x 106m'' and adding ``3.18 x
106m'' in its place; and
0
b. By removing the term ``7.62 x 104m'' and adding ``7.62 x
104m'' in its place.
0
c. By redesignating paragraph (3)(iii) as paragraph (3)(ii);
0
d. By redesignating paragraph (3)(ii) as paragraph (3)(iii);
0
e. By removing the word ``that'' in newly designated paragraph (3)(iii)
and adding the word ``than'' in its place;
0
f. By adding a quotation mark immediately after the word ``production''
in paragraph (5)(ii); and
0
g. By redesignating paragraph (5)(v) as paragraph (5)(iii).

PART 745--[AMENDED]

0
19. The authority citation for 15 CFR part 745 is revised to read as
follows:

    Authority: 50 U.S.C. 1701 et seq.; E.O. 12938, 59 FR 59099, 3
CFR, 1994 Comp., p. 950; Notice of November 8, 2007, 72 FR 63963
(November 13, 2007).

PART 746--[AMENDED]

0
20. The authority citation for 15 CFR part 746 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 287c; Sec 1503, Pub. L. 108-11, 117 Stat. 559; 22 U.S.C.
6004; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 12854, 58 FR
36587, 3 CFR, 1993 Comp., p. 614; E.O. 12918, 59 FR 28205, 3 CFR,
1994 Comp., p. 899; E.O. 13222, 3 CFR, 2001 Comp., p. 783;
Presidential Determination 2003-23 of May 7, 2003, 68 FR 26459, May
16, 2003; Presidential Determination 2007-7 of December 7, 2006, 72
FR 1899 (January 16, 2007); Notice of August 15, 2007, 72 FR 46137
(August 16, 2007).

Sec.  746.1  [Amended]

0
21. Section 746.1 is amended by removing the words ``or Libya'' from
the second sentence of paragraph (a)(1).

PART 748--[AMENDED]

0
22. The authority citation for 15 CFR part 748 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66
FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 15, 2007, 72
FR 46137 (August 16, 2007).

0
23. Section 748.2 is amended by:
0
a. Revising the third location entry in paragraph (a) for the ``U.S.
Export Assistance Center,''; and
0
b. Revising paragraph (c).
    The revisions read as follows:

Sec.  748.2  Obtaining forms; mailing addresses.

    (a) * * * U.S. Export Assistance Center, Bureau of Industry and
Security, 160 W. Santa Clara Street, Suite 725, San Jose, CA 95113,
Tel:<PHONE_NUMBER> or<PHONE_NUMBER>, Fax:<PHONE_NUMBER>.
* * * * *
    (c) To submit your application using an overnight courier, use the
following address: Bureau of Industry and Security, U.S. Department of
Commerce, 14th Street and Pennsylvania Ave. NW., Room 2705, Washington,
DC 20044, Attn: ``Application Enclosed''. BIS will not accept
applications sent C.O.D.

0
24. Section 748.7 is amended by revising the first sentence of
paragraph (a)(1) to read as follows:

Sec.  748.7  Applying electronically for a license or classification
request.

    (a) * * * (1) Requesting approval to submit applications
electronically. To submit applications electronically, your company
must submit a written request to BIS. Written requests may be faxed to
(202) 219-9179 or<PHONE_NUMBER> (Washington, DC), faxed to (949) 660-
9347 (Newport Beach, CA), or submitted to one of the addresses
identified in Sec.  748.2(c) of this part. * * *
* * * * *

0
25. Section 748.10 is amended:
0
a. By revising the fourth and fifth sentences and adding a new sixth
sentence to paragraph (a) as set forth below; and
0
b. By revising paragraph (b), to read as follows:

Sec.  748.10  Import Certificates and End-User Statements.

    (a) Scope. * * * This section describes exceptions and
relationships for both Import Certificates and End-User Statements, and
generally applies only to transactions exceeding $50,000. In the case
of countries identified in Sec.  748.9(b)(2) of this part (excluding
the People's Republic of China (PRC)), Import Certificates are required
for national security controlled items in transactions exceeding
$50,000. In the case of the PRC, End-User Statements are required for
transactions exceeding $50,000 involving all items that require a
license to the PRC for any reason. However, this $50,000 threshold is
lower for certain exports to the PRC (see paragraph (b)(3) of this
section).
    (b) Import Certificate or End-User Statement. Unless your
transaction meets one of the exemptions stated in Sec.  748.9(a) of
this part, an Import Certificate or End-User Statement must be
obtained, if:
    (1) Any commodities on your license application are controlled for
national security (NS) reasons (except for items controlled under ECCNs
5A002 or 5B002), or any commodities to the PRC on your license
application are controlled for any reason;
    (2) The ultimate destination is a country listed in Sec.
748.9(b)(2) of this part; and
    (3) Your license application involves the export of commodities
classified in a single entry on the CCL, and your ultimate consignee is
in any destination listed in Sec.  748.9(b)(2), and the total value of
your transaction exceeds $50,000. Note that the $50,000 transaction
threshold does not apply to certain exports to the PRC. If your
transaction involves an export to the PRC of a computer that requires a
license for any reason, an End-User Statement is required regardless of
dollar value. Also, if your transaction involves an export to the PRC
of an item classified under ECCN 6A003 that requires a license for any
reason, an End-User Statement is required for transactions exceeding
$5000.
    (i) Your license application may list several separate CCL entries.
If any individual entry including an item that is controlled for
national security reasons exceeds $50,000, then an Import Certificate
must be obtained covering all items controlled for national security
reasons on your license application. If the total value of entries on a
license application that require a license to the PRC for any reason
listed on the CCL exceeds $50,000, then a PRC End-User Statement
covering all such controlled items that require a license to the PRC on
your license application must be obtained;
    (ii) If your license application involves a lesser transaction that
is part of a larger order for items controlled for national security
reasons (or, for the PRC, for any reason) in a single ECCN exceeding
$50,000, an Import Certificate, or a PRC End-User

Statement, as appropriate, must be obtained.
    (iii) You may be specifically requested by BIS to obtain an Import
Certificate for a transaction valued under $50,000. You also may be
specifically requested by BIS to obtain an End-User Statement for a
transaction valued under $50,000 or for a transaction that requires a
license to the PRC for reasons in the EAR other than those listed in
the CCL.

0
26. Section 748.15 is amended:
0
a. By revising the last two sentences of paragraph (a)(1) as set forth
below;
0
b. By removing the phrase ``Exporters and reexporters'' at the
beginning of the first sentence of paragraph (f)(1)(i) introductory
text and adding ``Reexporters'' in its place;
0
c. By removing the phrase ``exported or'' in paragraph (f)(1)(i)(A);
and
0
d. By removing the phrase ``exported or'' in paragraph (f)(1)(i)(B).

Sec.  748.15  Authorization Validated End-User (VEU).

* * * * *
    (a) * * *
    (1) * * * Submit the request to: The Office of Exporter Services,
Bureau of Industry and Security, U.S. Department of Commerce, 14th
Street and Pennsylvania Avenue, NW., Room 2705, Washington, DC 20230.
Mark the package ``Request for Authorization Validated End-User.''
* * * * *

0
27. Supplement No. 4 to part 748 is amended by revising the ``IC/DV
authorities'' column entry for ``China, People's Republic of'' to read
as follows:

Supplement No. 4 to Part 748--Authorities Administering Import
Certificate/Delivery Verification (IC/DV) and End-User Statement
Systems in Foreign Countries

------------------------------------------------------------------------
                                                            System
            Country               IC/DV authorities      administered
------------------------------------------------------------------------

                              * * * * * * *
China, People's Republic of....  Ministry of          PRC, End-User
                                  Commerce;            Statement
                                  Department of
                                  Mechanic,
                                  Electronic and
                                  High Technology
                                  Industries; Export
                                  Control Division
                                  I; Chang An Jie
                                  No. 2; Beijing
                                  100731 China;
                                  Phone: (86)(10)
                                  6519 7366 or 6519
                                  7390; Fax:
                                  (86)(10) 6519
                                  7543; http://cys.mofcom.gov.cn/
.

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

* * * * *

0
28. Supplement No. 5 to part 748 is amended by revising paragraph
(a)(2)(i) to read as follows:

Supplement No. 5 to Part 748--U.S. Import Certificate and Delivery
Verification Procedure

* * * * *
    (a) * * *
    (2) * * *
    (i) By courier to the Bureau of Industry and Security, Room
2705, 14th Street and Pennsylvania Ave., NW., Washington, DC 20230,
Attn: Import Certificate Request; or
* * * * *

PART 750--[AMENDED]

0
29. The authority citation for 15 CFR part 750 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
Sec 1503, Pub. L. 108-11, 117 Stat. 559; E.O. 13026, 61 FR 58767, 3
CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp.,
p. 783; Presidential Determination 2003-23 of May 7, 2003, 68 FR
26459, May 16, 2003; Notice of August 15, 2007, 72 FR 46137 (August
16, 2007).

Sec.  750.11  [Amended]

0
30. Section 750.11(b)(1) is amended by removing the phrase ``Sec.
value'' at both places where it appears and adding the term ``$ value''
in its places.

PART 752--[AMENDED]

0
31. The authority citation for 15 CFR part 752 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp. p. 219; E.O. 13222, 66 FR
44025, 3 CFR, 2001 Comp., p. 783; Notice of August 15, 2007, 72 FR
46137 (August 16, 2007).

0
32. Section 752.17 is revised to read as follows:

Sec.  752.17  BIS address.

    You should use the following address when submitting to BIS
applications, reports, documentation, or other requests required in
this part 752, via courier: Bureau of Industry and Security, U.S.
Department of Commerce, 14th and Pennsylvania Ave., NW., Room 2705,
Washington, DC 20230, ``Attn: Special Licensing and Compliance
Division''. You may also reach the Special Licensing and Compliance
Division by phone at<PHONE_NUMBER> or by fax at<PHONE_NUMBER>.

PART 754--[AMENDED]

0
33. The authority citation for 15 CFR part 754 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 7420; 10 U.S.C. 7430(e); 30 U.S.C. 185(s), 185(u); 42
U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C. app. 466c; E.O. 11912, 41 FR
15825, 3 CFR, 1976 Comp., p. 114; E.O. 13222, 66 FR 44025, 3 CFR,
2001 Comp., p. 783; Notice of August 15, 2007, 72 FR 46137 (August
16, 2007).

0
34. Section 754.2 is amended:
0
a. By revising paragraph (g)(1) as set forth below;
0
b. By removing the term ``License Exceptions TAPS'' in the first
sentence of paragraph (j)(2) and adding ``License Exception TAPS'' in
its place; and
0
c. By revising the second sentence of paragraph (j)(2) as set forth
below:

Sec.  754.2  Crude oil.

* * * * *
    (g) * * *
    (1) Applicants must submit their applications, via courier, on Form
BIS-748 to the following address: Office of Exporter Services, ATTN:
Short Supply Program--Petroleum, Bureau of Industry and Security, U.S.
Department of Commerce, 14th and Pennsylvania Ave., NW., Room 2705,
Washington, DC 20230.
* * * * *
    (j) * * *
    (2) * * * The SED or AES record shall be sent, via courier, to the
following address: Director, Deemed Exports and Electronics Division,
Office of National Security and Technology Transfer Controls, Bureau of
Industry and Security, U.S. Department of Commerce, 14th and
Pennsylvania Ave., NW., Room 2705, Washington, DC 20230.
* * * * *

0
35. Section 754.6 is amended by revising paragraph (c) to read as
follows:

Sec.  754.6  Registration of U.S. agricultural commodities for
exemption from short supply limitations on export.

* * * * *
    (c) Address. Submit applications pursuant to the provisions of
section 7(g) of the EAA, via courier, to: Bureau of Industry and
Security, U.S.

Department of Commerce, 14th and Pennsylvania Ave., NW., Room 2705,
Washington, DC 20230.

0
36. Section 754.7 is amended by revising paragraph (d) to read as
follows:

Sec.  754.7  Petitions for the imposition of monitoring or controls on
recyclable metallic materials; Public hearings.

* * * * *
    (d) Address. Submit petitions pursuant to section 7(c) of the EAA,
via courier, to: Bureau of Industry and Security, U.S. Department of
Commerce, 14th and Pennsylvania Ave., NW., Room 2705, Washington, DC
20230.

PART 774--[AMENDED]

0
37. The authority citation for 15 CFR part 774 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 7420; 10 U.S.C. 7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et
seq., 22 U.S.C. 6004; 30 U.S.C. 185(s), 185(u); 42 U.S.C. 2139a; 42
U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C. app. 466c; 50 U.S.C. app. 5;
22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 13026, 61 FR 58767, 3
CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp.,
p. 783; Notice of August 15, 2007, 72 FR 46137 (August 16, 2007).

0
38. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 1--Materials, Chemicals, ``Microorganisms'' & ``Toxins'',
Export Control Classification Number (ECCN) 1C350 is amended by
revising the last sentence of paragraph 1.e. in the ``License
Requirement Notes'' section to read as follows:

Supplement No. 1 to Part 744--The Commerce Control List

* * * * *

Category 1--Materials, Chemicals, ``Microorganisms'' & ``Toxins''

* * * * *

1C350 Chemicals that may be used as precursors for toxic chemical
agents.

* * * * *

License Requirement Notes

    1. * * *
    a. * * *
    b. * * *
    c. * * *
    d. * * *
    e. * * * The report must be sent, via courier, to the U.S.
Department of Commerce, Bureau of Industry and Security, 14th and
Pennsylvania Ave., NW., Room 2705, Washington, DC 20230, Attn:
``Report of Sample Shipments of Chemical Precursors''.

0
39. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 2--Materials Processing, Export Control Classification Number
(ECCN) 2B999 is amended by revising the ``Related Controls'' paragraph
of the ``List of Items Controlled'' section to read as follows:

Supplement No. 1 to Part 744--The Commerce Control List

* * * * *

Category 2--Materials Processing

* * * * *

2B999 Specific processing equipment, n.e.s., as follows (see List of
Items Controlled).

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: See also 0B001, 0B002, 0B004, 1B233, 2A293,
2B001.f, 2B004, 2B009, 2B104, 2B109, 2B204, 2B209, 2B228, 2B229,
2B231, 2B350.
* * * * *

0
40. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 9--Aerospace and Propulsion, Export Control Classification
Number (ECCN) 9E001 is amended by revising the Heading and ``License
Requirements'' section to read as follows:

Supplement No. 1 to Part 744--The Commerce Control List

* * * * *

Category 9--Aerospace and Propulsion

* * * * *

9E001 ``Technology according to the General Technology Note for the
``development'' of equipment or ``software'' controlled by 9A001.b,
9A004 to 9A012, 9B (except 9B990 or 9B991), or 9D (except 9D990 or
9D991).

License Requirements

    Reason for Control: NS, MT, AT

------------------------------------------------------------------------
                Control(s)                          Country chart
------------------------------------------------------------------------
NS applies to ``technology'' for items      NS Column 1.
 controlled by 9A001.b, 9A012, 9B001 to
 9B010, 9D001 to 9D004 for NS reasons.
------------------------------------------------------------------------

    * * *
* * * * *

0
41. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 9--Aerospace and Propulsion, Export Control Classification
Number (ECCN) 9E002 is amended by revising the Heading to read as
follows:

Supplement No. 1 to Part 744--The Commerce Control List

* * * * *

Category 9--Aerospace and Propulsion

* * * * *

9E002 ``Technology'' according to the General Technology Note for the
``production'' of equipment controlled by 9A001.b, 9A004 to 9A011 or 9B
(except 9B990 or 9B991).

* * * * *

    Dated: December 21, 2007.
Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
 [FR Doc. E7-25423 Filed 12-31-07; 8:45 am]

BILLING CODE 3510-33-P


[Federal Register Volume 78, Number 21 (Thursday, January 31, 2013)]
[Proposed Rules]
[Pages 6784-6785]
[FR Doc No: 2013-01337]

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

ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-R09-OAR-2012-0849; FRL-9760-3]

Revisions to the California State Implementation Plan, Placer
County Air Pollution Control District

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed rule.

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

SUMMARY: EPA is proposing to approve revisions to the Placer County Air
Pollution Control District (PCAPCD) portion of the California State
Implementation Plan (SIP). These revisions concern volatile organic
compound (VOC), oxides of nitrogen (NOX), and particulate
matter (PM) emissions from open burning. We are proposing to approve
local rules to regulate this emission source under the Clean Air Act
(CAA or the Act).

DATES: Any comments on this proposal must arrive by March 4, 2013.

ADDRESSES: Submit comments, identified by docket number EPA-R09-OAR-
2012-0849, by one of the following methods:
    1. Federal eRulemaking Portal: www.regulations.gov. Follow the on-
line instructions.
    2. Email<EMAIL_ADDRESS>    3. Mail or deliver: Andrew Steckel (Air-4), U.S. Environmental
Protection Agency Region IX, 75 Hawthorne Street, San Francisco, CA
94105-3901.
    Instructions: All comments 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 Confidential Business Information (CBI) or other information
whose disclosure is restricted by statute. Information that you
consider CBI or otherwise protected should be clearly identified as
such and should not be submitted through www.regulations.gov or email.
www.regulations.gov is an ``anonymous access'' system, and EPA will not
know your identity or contact information unless you provide it in the
body of your comment. If you send email directly to EPA, your email
address will be automatically captured and included as part of the
public comment. 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: Generally, documents in the docket for this action are
available electronically at www.regulations.gov and in hard copy at EPA
Region IX, 75 Hawthorne Street, San Francisco, California 94105-3901.
While all documents in the docket are listed at www.regulations.gov,
some information may be publicly available only at the hard copy
location (e.g., copyrighted material, large maps), and some may not be
publicly available in either location (e.g., CBI). To inspect the hard
copy materials, please schedule an appointment during normal business
hours with the contact listed in the FOR FURTHER INFORMATION CONTACT
section.

FOR FURTHER INFORMATION CONTACT: Rynda Kay, EPA Region IX, (415) 947-
4118<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: This proposal addresses the following local
rules: PCAPCD Rule 102 Definitions, PCAPCD Rule 301 Nonagricultural
Burning Smoke Management, PCAPCD Rule 302 Agricultural Burning Smoke
Management, PCAPCD Rule 303 Prescribed Burning Smoke Management, PCAPCD
Rule 304 Land Development Smoke Management, PCAPCD Rule 305 Residential
Allowable Burning, and PCAPCD Rule 306 Open Burning of Nonindustrial
Wood Waste at Designated Disposal Sites. In the Rules and Regulations
section of this Federal Register, we are approving these local rules in
a direct final action without prior proposal because we believe these
SIP revisions are not controversial. If we receive adverse comments,
however, we will publish a timely withdrawal of the direct final rule
and address the comments in subsequent action based on this proposed
rule. Please note that if we receive adverse comment on an amendment,
paragraph, or section of this rule and if that provision may be severed
from the remainder of the rule, we may adopt as final those provisions
of the rule that are not the subject of an adverse comment.
    We do not plan to open a second comment period, so anyone
interested in commenting should do so at this time. If we do not
receive adverse comments, no further activity is planned. For further
information, please see the direct final action.

    Dated: November 19, 2012.
Jared Blumenfeld,
Regional Administrator, Region IX.
[FR Doc. 2013-01337 Filed 1-30-13; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register: March 31, 2010 (Volume 75, Number 61)]
[Notices]
[Page 16226-16227]
[DOCID:fr31mr10-156]

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

DEPARTMENT OF TRANSPORTATION

Office of the Secretary

Aviation Proceedings, Agreements Filed the Week Ending March 20,
2010

    The following Agreements were filed with the Department of
Transportation under sections 412 and 414 of the Federal Aviation Act,
as amended (49 U.S.C. 1382 and 1384) and procedures governing
proceedings to enforce these provisions. Answers may be filed within 21
days after the filing of the application.

    Docket Number: DOT-OST-2010-0064.
    Date Filed: March 16, 2010.
    Parties: Members of the International Air Transport Association.
    Subject: TC31 North & Central Pacific, Special Passenger Amending
Resolution

from Korea (Rep. of) to Canada, Caribbean Mexico, Central America,
South America (Memo 0509). Intended effective date: 1 April 2010.

    Docket Number: DOT-OST-2010-0069.
    Date Filed: March 19, 2010.
    Parties: Members of the International Air Transport Association.
    Subject: TC31 North & Central Pacific, Special Passenger Amending
Resolution from Korea (Rep. of) to USA (Memo 0515). Intended effective
date: 1 April 2010.

Renee V. Wright,
Program Manager, Docket Operations, Federal Register Liaison.
[FR Doc. 2010-7179 Filed 3-30-10; 8:45 am]
BILLING CODE 4910-62-P


[Federal Register Volume 80, Number 183 (Tuesday, September 22, 2015)]
[Notices]
[Pages 57261-57262]
[FR Doc No: 2015-23972]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-75925; File No. 10-222]

Investors' Exchange, LLC; Notice of Filing of Application, as
Amended, for Registration as a National Securities Exchange Under
Section 6 of the Securities Exchange Act of 1934

September 15, 2015.
    On August 21, 2015, Investors' Exchange, LLC (``IEX'') submitted to
the Securities and Exchange Commission (``Commission'') a Form 1
application under the Securities Exchange Act of 1934 (``Exchange
Act''), seeking registration as a national securities exchange under
Section 6 of the Exchange Act.\1\ On September 9, 2015, IEX submitted
Amendment No. 1 to its Form 1 application.\2\ IEX's Form 1 application,
as amended, provides detailed information on how it proposes to satisfy
the requirements of the Exchange Act.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(f).
    \2\ In Amendment No. 1, IEX submitted updated portions of its
Form 1 application, including revised exhibits, a revised version of
the proposed IEX Rule Book, and revised Addenda C-2, C-3, C-4, D-1,
D-2, F-1, F-2, F-3, F-4, F-5, F-6, F-7, F-8, F-9, F-10, F-11, F-12,
F-13.
---------------------------------------------------------------------------

    The Commission is publishing this notice to solicit comments on
IEX's Form 1 application, as amended. The Commission will take any
comments it receives into consideration in making its determination
about whether to grant IEX's request to register as a national
securities exchange. The Commission will grant the registration if it
finds that the requirements of the Exchange Act and the rules and
regulations thereunder with respect to IEX are satisfied.\3\
---------------------------------------------------------------------------

    \3\ See 15 U.S.C. 78s(a). Alternatively, if the Commission does
not grant the registration, it will institute proceedings to
determine whether registration should be approved or denied. See 15
U.S.C. 78s(a)(1)(B).
---------------------------------------------------------------------------

    IEX currently operates an alternative trading system (``ATS'') for
the trading of equity securities. If the Commission approves IEX's
application to become a national securities exchange, IEX would
transition trading in each symbol to the exchange and ultimately close
its ATS. IEX would operate a fully automated electronic book for orders
to buy or sell securities with a continuous, automated matching
function. IEX would not have a physical trading floor. Liquidity would
be derived from orders to buy and orders to sell submitted to IEX
electronically by its registered broker-dealer members from remote
locations, as well as from quotes submitted electronically by members
that chose to register under IEX rules as market makers on IEX and be
subject to certain specified requirements and obligations. One notable
feature of IEX's proposed trading rules is the proposed ``Midpoint
Price Constraint'' price sliding process for non-displayed orders,
which would prevent non-displayed limit orders from posting at a price
more aggressive than the midpoint of the national best bid and
offer.\4\ In addition, IEX is proposing a discretionary peg order type,
which, if unexecuted upon entry, would post non-displayed and would
exercise discretion only when IEX does not consider that the national
best bid or national best offer for a particular security is in the
process of changing based on a pre-determined set of conditions
described in IEX's proposed rule.\5\
---------------------------------------------------------------------------

    \4\ See proposed IEX Rule 11.190(h)(2). See also Exhibit E to
IEX's Form 1 submission, at 17. Specifically, a non-displayed order
on IEX with a limit price more aggressive than the midpoint of the
NBBO would be priced at the midpoint, and the price would
automatically be adjusted in response to changes in the NBBO to be
equal to the less aggressive of the order's limit price or the
midpoint of the NBBO. See also proposed IEX Rule 11.230(a)(4)(D)
(concerning the ``Book Recheck'' functionality), and Exhibit E to
IEX's Form 1 submission, at 19 (describing the ``Book Recheck''
functionality).
    \5\ See proposed IEX Rule 11.190(b)(10) (concerning the
discretionary peg order type) and 11.190(g) (concerning quote
stability). See also Exhibit E to IEX's Form 1 submission, at 14-15.
---------------------------------------------------------------------------

    IEX would be wholly owned by its parent company, IEX Group, Inc.
(``IEXG''), which would appoint IEX's initial Board of Directors. If
approved by the Commission, within 90 days after the date of its
approval to operate as a national securities exchange, IEX would
undertake a petition process by which members could elect Member
Representative Directors to the Board, as specified in the proposed
Amended and Restated Operating Agreement of IEX.\6\
---------------------------------------------------------------------------

    \6\ See IEX Amended and Restated Operating Agreement Article
III, Section 4(g). See also Exhibit J to IEX's Form 1 submission, at
37.
---------------------------------------------------------------------------

    A description of the manner of operation of IEX's proposed system
can be found in Exhibit E to IEX's Form 1 application. The proposed
rulebook for the proposed IEX exchange can be found in Exhibit B to
IEX's Form 1 application, and the governing documents for both IEX and
IEXG can be found in Exhibits A and C, respectively. A listing of the
officers and directors of IEX can be found in Exhibit J to IEX's Form 1
application. IEX's Form 1 application, as amended, including all of the
Exhibits referenced above, is available online at www.sec.gov/rules/other.shtml as well as at the Commission's Public Reference Room.
    Interested persons are invited to submit written data, views, and
arguments concerning IEX's Form 1, as amended, including whether the
application is consistent with the Exchange 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 10-222 on the subject line.

Paper Comments

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

All submissions should refer to File Number 10-222. 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/other.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to IEX's Form 1 filed with the Commission, and
all written communications relating to the application 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. 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 publicly available. All
submissions should refer to File Number 10-222 and should be submitted
on or before November 6, 2015.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\7\
---------------------------------------------------------------------------

    \7\ 17 CFR 200.30-3(a)(71)(i).
---------------------------------------------------------------------------

Brent J. Fields,
Secretary.
[FR Doc. 2015-23972 Filed 9-21-15; 8:45 am]
BILLING CODE 8011-01-P


A Federal Advisory Committee for the U. S. Environmental Protection Agency's Office of Research and Development 05 19 06 32nd EXECUTIVE COMMITTEE FACE TO FACE MEETING DRAFT AGENDA June 1 2, 2006 Monte Carlo Hotel and Casino 3770 Las Vegas Boulevard South Las Vegas, Nevada 89109 Tel: ( 702) 730 7777 Thursday, June 1, 2006 8: 00 a. m.   8: 30 a. m. Registration 8: 30 a. m.  9: 00 a. m. Welcome and Introductions Dr. Rogene Henderson,  New Member Welcome Vice Chair, Executive Committee  Review of Feb Mtg Minutes  Review of April Mtg Minutes  Reports Transmitted to ORD  SAB Budget Review  Overview of Agenda 9: 00 a. m.   9: 15 a. m. BOSC DFO Remarks Ms. Lori Kowalski, Office of  Administrative Issues Research and Development 9: 15 a. m.  9: 45 a. m. AA/ ORD Remarks Dr. George Gray, Administrator for Office of Research and Development 9: 45 a. m.   10: 45 a. m. Subcommittee Reports  Science to Achieve Results ( STAR)/ Greater Research Opportunities ( GRO) Fellowship Program Review  Chair Presentation of Draft Report Dr. Cliff Duke, Subcommittee Chair  Discussion Executive Committee 10: 45 a. m.   11: 00 a. m. Break 11: 00 a. m.   12: 00 noon Subcommittee Reports ( Continued)

 Computational Toxicology Dr. George Daston, Subcommittee Chair  Technology for Sustainability Dr. John Giesy, Program Review Subcommittee Chair  Human Health Risk Assessment Dr. George Daston, Program Review Subcommittee Chair Draft Agenda for June 1 2, 2006 Executive Committee Meeting 2  Safe Pesticides/ Safe Products Dr. Anna Harding, Program Review Subcommittee Chair  Homeland Security Dr. Gary Sayler, Subcommittee Chair  Program Review Tool Workgroup Dr. Rogene Henderson, Status Vice Chair, Executive Committee 12: 00 noon   1: 00 p. m. Lunch 1: 00 p. m.   1: 30 p. m. BOSC Issues Dr. William Farland,  ORD Update Acting Deputy for Science for Research and Development 1: 30 p. m. 2: 15 p. m. ORD Responses to Recent BOSC ORD Technical Leads Reports 2: 15 p. m.   2: 45 p. m. BOSC Subcommittee Chair Handbook Dr. Rogene Henderson, Vice Chair, Executive Committee 2: 45 p. m.   3: 00 p. m. Break 3: 00 p. m.   4: 00 p. m. Implementing Standing BOSC Dr. Rogene Henderson Lab/ Center Subcommittees Vice Chair, Executive Committee 4: 00 p. m.   4: 15 p. m. Public Comment 4: 15 p. m.   5: 00 p. m. Futures  Project Horizon Presentation Ms. Anita Street, Office of Research and Development 5: 00 p. m.   5: 30 p. m. SAB Activities Dr. George Lambert, SAB Liaison to the BOSC 5: 30 p. m. Adjourn Friday, June 2, 2006 8: 00 a. m.  12: 00 noon Site Visit to National Exposure Executive Committee and Research Lab ( NERL) Meeting Participants Facilities 12: 00 noon   12: 30 p. m. Future Discussion/ Future Business Dr. Rogene Henderson,  Meetings in 2006 Vice Chair, Executive Committee  SAB Budget Review 12: 30 p. m Adjourn


[Federal Register Volume 84, Number 78 (Tuesday, April 23, 2019)]
[Notices]
[Pages 16925-16928]
[FR Doc No: 2019-08101]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-85681; File No. SR-BOX-2019-10]

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing
and Immediate Effectiveness of a Proposed Rule Change To Adopt Rules
Governing the Trading of Complex Customer Cross Orders

April 17, 2019.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on April 4, 2019, BOX Exchange LLC (the ``Exchange'') filed with the
Securities and Exchange Commission (``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.
---------------------------------------------------------------------------

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

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

    The Exchange proposes to adopt rules governing the trading of
Complex Customer Cross Orders. The text of the proposed rule change is
available from the principal office of the Exchange, at the
Commission's Public Reference Room and also on the Exchange's internet
website at http://boxoptions.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 these statements may be examined at
the places specified in Item IV below. The self-regulatory organization
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 is proposing rules that will make existing
functionality available to additional order types on

BOX. Specifically, the Exchange is proposing rules to codify Complex
Customer Cross Orders on the Exchange.\3\ The Exchange notes that the
proposed changes are similar to the rules of another exchange.\4\ In
addition, the Exchange is proposing to expand certain Complex Order
protections to the newly codified Complex Customer Cross Orders.
---------------------------------------------------------------------------

    \3\ See https://boxoptions.com/assets/RC-2017-11-CC_QCC_cNBBO-July-10-Implementation-1.pdf.
    \4\ See MIAX Rules 518(b)(5) and 515(h)(3).
---------------------------------------------------------------------------

Complex Customer Cross Orders
    First, the Exchange is proposing to add text related to Complex
Customer Cross Orders. Proposed Rule 7240(b)(4)(iii) defines a Complex
Customer Cross Order as a type of Complex Order which is comprised of
one Public Customer Complex Order to buy and one Public Customer
Complex Order to sell (the same strategy) at the same price and for the
same quantity.\5\
---------------------------------------------------------------------------

    \5\ Proposed Rule 7240(b)(4)(iii) is based on MIAX Rule
518(b)(5).
---------------------------------------------------------------------------

    The Exchange uses the same crossing mechanism for the processing
and execution of Complex Customer Cross Orders that is used for
Customer Cross Orders in the regular market.\6\ Proposed Rule
7110(c)(7) shall govern the trading of Complex Customer Cross Orders,
as defined in Rule 7240(b)(4)(iii), on BOX. Proposed Rule 7110(c)(7)
describes the execution price requirements that are specific to Complex
Customer Cross Orders.\7\ Specifically, Complex Customer Cross Orders
are automatically executed upon entry provided that the execution (i)
is at least $0.01 better than any Public Customer Complex Order on the
Complex Order Book; \8\ (ii) is at least $0.01 better than the cBBO \9\
(iii) is at or better than any non-Public Customer Complex Order on the
Complex Order Book; and (iv) is at or between the cNBBO.\10\ The
purpose of the requirement that the execution must be at least $0.01
better than any Public Customer Complex Order on the Complex Order Book
is to ensure that the Complex Customer Cross Order does not trade in
front of any resting Public Customer Complex Orders. The purpose of the
requirement that the Complex Customer Cross Order be executed at or
between the cNBBO is to ensure that net execution price is within the
best net price available in the market and is in line with the
requirement that simple Customer Cross Orders must execute at or within
the NBBO.
---------------------------------------------------------------------------

    \6\ See BOX Rule 7110(c)(5).
    \7\ Proposed Rule 7110(c)(7) is based on MIAX Rule 515(h)(3).
    \8\ The term ``Complex Order Book'' means the electronic book of
Complex Orders maintained by the BOX Trading Host. See Rule
7240(a)(8).
    \9\ The term ``cBBO'' means the best net bid and offer price for
a Complex Order Strategy based on the BBO on the BOX Book for the
individual options components of such Strategy. See Rule 7240(a)(1).
    \10\ The term ``cNBBO'' means the best net bid and offer price
for a Complex Order Strategy based on the NBBO for the individual
options components of such Strategy. See Rule 7240(a)(3).
---------------------------------------------------------------------------

    The system will reject a Complex Customer Cross Order if, at the
time of receipt of the Complex Customer Cross Order, the strategy is
subject to an ongoing auction (including COPIP, Facilitation, and
Solicitation auctions) or there is an exposed order on the strategy
pursuant to Rule 7240(b)(3)(B). The purpose of this provision is to
maintain an orderly market by avoiding the execution of Complex
Customer Cross Orders with components that are involved in other system
functions that could affect the execution price of the Complex Customer
Cross Order, and by avoiding concurrent processing on the Exchange
involving the same strategy.
    Proposed Rule 7110(c)(7)(A) states that Complex Customer Cross
Orders will be automatically cancelled if they cannot be executed.
Proposed Rule 7110(c)(7)(B) provides that Complex Customer Cross Orders
may only be entered in the minimum trading increments applicable to
Complex Orders under Rule 7240(b)(1).
    As a regulatory matter, proposed Rule 7110(c)(7)(C) states that IM-
7140-1 applies to the entry and execution of Complex Customer Cross
Orders.\11\
---------------------------------------------------------------------------

    \11\ Rule 7140(b) prevents an Options Participant executing
agency orders to increase its economic gain from trading against the
order without first giving other trading interest on BOX an
opportunity to trade with the agency order pursuant to Rule 7150
(Price Improvement Period), Rule 7245 (Complex Order Price
Improvement Period) or Rule 7270 (Block Trades). However, the
Exchange recognizes that it may be possible for an Options
Participant to establish a relationship with a Customer or other
person (including affiliates) to deny agency orders the opportunity
to interact on BOX and to realize similar economic benefits as it
would achieve by executing agency orders as principal. It will be a
violation of this Rule for an Options Participant to circumvent this
Rule by providing an opportunity for a Customer or other person
(including affiliates) to execute against agency orders handled by
the Options Participant immediately upon their entry into the
Trading Host. See IM-7140-1.
---------------------------------------------------------------------------

    The following example illustrates the execution of a Complex
Customer Cross Order:

Example 1--Execution of a Complex Customer Cross Order
    BOX Leg A Book: 6.00-6.50
    BOX Leg B Book: 3.00-3.30

    Strategy: Buy A Call, Sell B Call

    The cNBBO is 2.70-3.20
    The cBBO \12\ is 2.70-3.50
---------------------------------------------------------------------------

    \12\ See supra note 9.

    The Complex Order Book contains a Public Customer order to sell
the strategy at 3.20 and has no non-Public Customer Orders for the
strategy.
    The Exchange receives a Complex Customer Cross Order
representing Public Customers on both sides for the simultaneous
purchase and sale of the strategy at a price of 3.19.
    The order price is at least $0.01 better than the Public
Customer Complex Order on the Complex Order Book and at least $0.01
better than the implied market price (the cBBO). Additionally, the
order price is at or between the cNBBO and is at or better than any
non-Public Customer Orders on the Complex Order Book. Therefore, the
Complex Customer Cross Order is automatically executed upon entry.

    The Exchange notes that the proposed rules for Complex Customer
Cross Orders are based on the rules of another exchange with certain
minor differences.\13\ First, the MIAX Rule requires the execution
price to be better than the best net price of a complex order. The
proposal requires the execution price to be better than any Public
Customer Complex Orders on the Complex Order Book and no worse than the
price of any non-Public Customer Complex Orders. The Exchange believes
this difference is minor because the execution price must respect the
orders on the Complex Order Book and not trade ahead of Public Customer
Orders on the Complex Order Book, which is in line with regular
Customer Cross Orders. In addition, the Exchange notes that ISE allows
Complex Customer Cross Orders to trade at the same price as non-
Priority Complex Customer Cross Orders on the same strategy.\14\
Pursuant to Rule 7110(c)(5), a Customer Cross Order must execute at a
price that is at or between the best bid and offer on BOX and is not at
the same price as a Public Customer Order on the BOX Book.
Additionally, the Exchange is proposing to have the execution price be
within the cNBBO, which MIAX does not provide. The Exchange believes
this difference is minor because the Exchange is simply ensuring that
the execution price respect the best net prices available in the
market. Additionally, similar to the above, regular Customer Cross
Orders may not trade through the NBBO.
---------------------------------------------------------------------------

    \13\ See MIAX Rules 515(h)(3) and 518(b)(5).
    \14\ See Nasdaq ISE, LLC (``Nasdaq ISE'') Rule 722 Supplementary
Material .08(d) [sic].
---------------------------------------------------------------------------

    Next, MIAX's Rule requires the execution to be at least $0.01
better than best price order on the strategy book or the derived market
price, whichever is more aggressive. The Exchange also notes that MIAX
includes non-displayed trading interest when determining the best price
based on the regular books, which the Exchange is not proposing

because the Exchange does not have non-displayed interest.
    Further, MIAX rejects a Complex Customer Cross Order if, at the
time of receipt, any component of the strategy is subject to a PRIME
Auction, a Route Timer, or liquidity refresh pause. The Exchange is not
proposing the same conditions.\15\ With respect to not rejecting when a
component is subject to an auction, the Exchange notes that this
approach is in line with the treatment of a COPIP when there is an
ongoing PIP on a component of the Complex Order. Specifically, the
Exchange will accept Complex Orders designated for the COPIP where
there is a PIP on an individual component.\16\ Further, in order to
ensure orderly markets involving multiple Complex Orders with common
components, the Exchange is proposing additional circumstances in which
a Complex Customer Cross Order will be rejected, specifically, when
there is an exposed order on the strategy pursuant to rule
7240(b)(4)(iii), or there is an ongoing COPIP, Facilitation or
Solicitation auction on the strategy.
---------------------------------------------------------------------------

    \15\ BOX notes that it does not have either the Route Timer or
liquidity refresh pause features on the Exchange. As such, BOX is
not proposing to include these features under the Proposal.
    \16\ See IM-7245-2.
---------------------------------------------------------------------------

    Lastly, the Exchange proposes to delete the reference to COPIP in
BOX Rule 7110(c)(5) to make clear that single-leg Customer Cross
transactions may be executed when the series is involved in a COPIP.
The Exchange notes that this is similar to functionality that exists on
another exchange.\17\
---------------------------------------------------------------------------

    \17\ See MIAX Rule 515(h). Under MIAX rule 515(h), single-leg
Customer Cross Orders are rejected when the trading interest is
subject to a PRIME Auction or PRIME Solicitation Auction. MIAX Rule
515(h) does not indicate that a single-leg Customer Cross Order will
be rejected, if the series is subject to a cPRIME Auction.
---------------------------------------------------------------------------

Complex Order Protections for Complex Customer Cross Orders
    Lastly, the Exchange proposes to expand certain Complex Order
protections to Complex Customer Cross Orders. Specifically, the
Exchange proposes to amend Rule IM-7240-1(a)(5) and IM-7240(b)(5) to
apply these price protection checks to Complex Customer Cross Orders.
The Exchange notes that another options exchange has similar price
checks for Complex Customer Cross Orders.\18\ The Exchange believes
that these protections should be extended to Complex Customer Cross
Orders as it will mitigate potential risks associated with market
participants entering orders at unintended prices and orders trading at
prices that are extreme and potentially erroneous, which may likely
have resulted from human or operational error.
---------------------------------------------------------------------------

    \18\ See Chicago Board Options Exchange, Incorporated (``Cboe'')
Interpretations and Polices .08(c) and (g) to Rule 6.53C.
---------------------------------------------------------------------------

    The Exchange will provide notice of the exact implementation date
of the proposed protections, via Circular, at least two weeks prior to
implementing the proposed change.\19\
---------------------------------------------------------------------------

    \19\ Due to technological delays, Complex Order price
protections detailed in SR-BOX-2018-13 have not yet been
implemented. The Exchange will provide notice of the exact
implementation date of these protections, including the proposed
protections discussed herein, at least two weeks prior to
implementing the proposed change.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that the proposal is consistent with the
requirements of Section 6(b) of the Securities Exchange Act of 1934
(the ``Act''),\20\ in general, and Section 6(b)(5) of the Act,\21\ in
particular, in 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 mechanism of a free and open market and
a national market system, and, in general to protect investors and the
public interest.
---------------------------------------------------------------------------

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

    The proposal to amend Rules 7110 and 7240 to codify rules covering
Complex Customer Cross is consistent with Section 6(b)(5) of the Act
because this proposal promotes just and equitable principles of trade
and protects investors and the public interest by providing increased
opportunities for the execution of Complex Orders. The Exchange
believes that the proposed Complex Customer Cross rules will benefit
Participants and the marketplace as a whole by adopting rules that
allow for the trading of these types of orders on the Exchange. The
Exchange believes the proposed rules for Complex Customer Cross Orders
remove impediments to and perfects the mechanism of a free and open
market and a national market system and will result in more efficient
trading and enhance the likelihood of the Complex Orders executing at
the best prices by providing additional order types resulting in
potentially greater liquidity available for trading on the Exchange.
    The proposed rule change will provide rules that make existing
functionality available to additional order types. Providing rules that
make Customer Cross available for Complex Orders removes impediments to
and perfects the mechanisms of a free and open market and a national
market system because Participants will be given additional ways in
which they can execute Complex Orders.
    The proposed rule change will protect investors and the public
interest by assuring the existing priority and allocation rules
applicable to the processing and execution of Customer Cross Orders and
Complex Orders remains consistent with the processing and execution of
these order types, unless otherwise specifically set forth in the
rules.
    The Exchange believes that the proposal to reject a Complex
Customer Cross Order at the time of receipt of the order when the
strategy is subject to an ongoing auction (including COPIP,
Facilitation and Solicitation auctions), or there is an exposed order
on the strategy, removes impediments to and perfects the mechanism of a
free and open market by ensuring orderly markets involving multiple
complex orders with common components.
    The proposed rule change to implement a debit/credit check for
Customer Cross Orders is consistent with the Act. With the use of
debit/credit checks, the Exchange can further assist with the
maintenance of a fair and orderly market by mitigating the potential
risks associated with Complex Customer Cross Orders trading at prices
that are inconsistent with their strategies (which may result in
executions at prices that are extreme and potentially erroneous), which
ultimately protects investors. This proposed implementation of the
debit/credit check promotes just and equitable principles of trade, as
it is based on the same general option and volatility pricing
principles which the Exchange understands are used by market
participants in their option pricing models.
    Additionally, the Exchange also believes that calculating a maximum
price for true butterfly spreads, vertical spreads, and box spreads
will assist with the maintenance of fair and orderly markets by helping
to mitigate the potential risks associated with Complex Customer Cross
Orders trading at extreme and potentially erroneous prices that are
inconsistent with particular Complex Order strategies. Further, the
Exchange notes that the maximum price is designed to mitigate the
potential risks of executions at prices that are not within an
acceptable price range, as a means to help mitigate the potential risks
associated with Complex Orders trading at prices that are inconsistent
with their strategies, in

addition to the debit/credit check. As such, the proposed rule change
is designed to protect investors and the public interest.

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

    The Exchange does not believe that the proposed rule change to
provide rules governing the trading of Complex Customer Cross Orders
will impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. In this regard and as indicated
above, the Exchange notes that the rule is being proposed as a
competitive response to the rules of another exchange.\22\
Additionally, the proposed rule change is intended to promote
competition by adding rules for new order types that enable
Participants to execute Complex Orders on the Exchange. The Exchange
believes that this enhances inter-market competition by enabling the
Exchange to compete for this type of order flow with other exchanges
that have similar rules and functionalities in place.
---------------------------------------------------------------------------

    \22\ See MIAX Rules 515(h)(3) and 518(b)(5).
---------------------------------------------------------------------------

    Further, the Exchange does not believe that the proposed Complex
Order protections will impose any burden on competition not necessary
or appropriate in furtherance of the purposes of the Act. In this
regard and as indicated above, the Exchange notes that the rule change
is being proposed as a competitive response to the rules of another
exchange.\23\ Additionally, the Exchange believes the proposed rule
change is beneficial to Participants as it will provide increased
protections that will prevent the execution of certain Complex Orders
that were entered in error. The Exchange believes the proposal is pro-
competitive and should serve to attract additional Complex Orders to
the Exchange. Further, the Exchange does not believe the proposed
change will not impose a burden on intramarket competition because it
is available to all Participants.
---------------------------------------------------------------------------

    \23\ See supra, note 18.
---------------------------------------------------------------------------

    For the reasons stated, the Exchange does not believe that the
proposed rule changes will impose any burden on competition not
necessary or appropriate in furtherance of the purposes of the Act, and
the Exchange believes the proposed change will, in fact, enhance
competition.

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

    The Exchange has neither solicited nor received comments on the
proposed rule change.

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

    Because the 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 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 \24\ and Rule 19b-4(f)(6) thereunder.\25\
---------------------------------------------------------------------------

    \24\ 15 U.S.C. 78s(b)(3)(A).
    \25\ 17 CFR 240.19b-4(f)(6). As required under Rule 19b-
4(f)(6)(iii), the Exchange provided the Commission with written
notice of its intent to file the proposed rule change, along with a
brief description and the 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.
---------------------------------------------------------------------------

    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 protected]. Please include
File Number SR-BOX-2019-10 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-BOX-2019-10. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of such filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-BOX-2019-10, and should be submitted on
or before May 14, 2019.

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

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

Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019-08101 Filed 4-22-19; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 71 (Friday, April 12, 2013)]
[Notices]
[Page 21928]
[FR Doc No: 2013-08601]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. EL13-57-000]

Demand Response Coalition v. PJM Interconnection, L.L.C.; Notice
of Complaint

    Take notice that on April 3, 2013, pursuant to sections 206 and 306
of the Federal Power Act (FPA), 16 U.S.C. 824e and 825e and Rule 206 of
the Rules of Practice and Procedures of the Federal Energy Regulatory
Commission (Commission), 18 CFR 385.206, the Demand Response Coalition
\1\ (Complainant) filed a formal complaint against the PJM
Interconnection, L.L.C. (Respondent or PJM), alleging that certain
newly adopted provisions of PJM's Manual 18 (the ``DR Plan
Enhancements'') violate section 205 of the FPA and are therefore
unenforceable.
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    \1\ The Demand Response Coalition includes Comverge, Inc.,
Viridity Energy, and Energy Curtailment Specialists (ECS).
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    The Complainant certifies that copies of the Complaint were served
on the contacts for the Respondent as listed on the Commission's list
of Corporate Officials.
    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. The Respondent's
answer and all interventions, or protests must be filed on or before
the comment date. The Respondent's answer, motions to intervene, and
protests must be served on the Complainants.
    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 5 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: April 3, 2013.
Kimberly D. Bose,
Secretary.
[FR Doc. 2013-08601 Filed 4-11-13; 8:45 am]
BILLING CODE 6717-01-P