[Federal Register: February 9, 2010 (Volume 75, Number 26)]
[Notices]
[Page 6373-6376]
[DOCID:fr09fe10-53]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

February 02, 2010.
    Take notice that the Commission received the following electric
corporate filings:

    Docket Numbers: EC10-43-000.
    Applicants: Acadia Power Partners, LLC, Entergy Louisiana, LLC.
    Description: Acadia Power Partners, LLC et al submits an
Application for Authorization under Section 203 of the Federal Power
Act and Part 33 etc.
    Filed Date: 01/29/2010.
    Accession Number: 20100201-0225.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: EC10-44-000.
    Applicants: Cresent Ridge, LLC.
    Description: Application of Cresent Ridge, LLC.
    Filed Date: 02/02/2010.
    Accession Number: 20100202-5062.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 23, 2010.

    Take notice that the Commission received the following electric
rate filings:

    Docket Numbers: ER97-4257-014.
    Applicants: Mid-Power Service Corporation.
    Description: Mid-Power Service Corporation submits an amendment to
the tariff page that was included in their Amended and Restated
Application for authorization to make wholesale sales of energy and
capacity at negotiated, market-bases rates.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0028.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER99-2984-014.
    Applicants: Green Country Energy, LLC.
    Description: Green Country Energy, LLC provides revised market-
based rate wholesale power sales tariff et al.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0012.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER01-3103-021.
    Applicants: Astoria Energy LLC.
    Description: Astoria Energy LLC Submits Order 697 C Report.
    Filed Date: 02/02/2010.
    Accession Number: 20100202-5083.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 23, 2010.

    Docket Numbers: ER03-198-013.
    Applicants: Pacific Gas and Electric Company.
    Description: Quarterly Report of Site Control for New Generation
Capacity Development.
    Filed Date: 01/29/2010.
    Accession Number: 20100129-5109.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER03-1330-002.
    Applicants: EBERSEN, INC.
    Description: Ebersen, Inc submits update on market-base rate
authority etc.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0027.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 16, 2010.

    Docket Numbers: ER07-1136-004; ER08-561-002.
    Applicants: Benton County Wind Farm LLC; Camp Grove Wind Farm LLC.
    Description: Report/Form of Benton County Wind Farm LLC, et al.
    Filed Date: 01/29/2010.
    Accession Number: 20100129-5116.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER07-1213-003; ER08-267-002.
    Applicants: Pacific Gas and Electric Company.
    Description: Compliance Electric Refund Report re TO10 of Pacific
Gas and Electric Company.
    Filed Date: 01/29/2010.
    Accession Number: 20100129-5242.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER07-1356-014; ER07-1112-012; ER07-1113-012; ER07-
1116-011; ER07-1117-014; ER07-1358-013; ER07-1118-013; ER00-2885-028;
ER01-2765-027; ER09-609-005; ER09-1141-007; ER05-1232-023; ER02-2102-
027; ER03-1283-022.
    Applicants: BE Alabama LLC; BE Allegheny LLC; BE CA LLC; BE
Ironwood LLC; BE KJ LLC; BE Louisiana LLC; BE Rayle LLC; Cedar Brakes I
LLC; Cedar Brakes II, LLC; Central Power & Lime LLC; J.P. Morgan
Commodities Canada Corporation; JP Morgan Ventures Energy Corporation;
Utility Contract Funding, LLC; Vineland Energy LLC.
    Description: Notice of Non-Material Change in Status of J.P. Morgan
Ventures Energy Corporation, et. al. Pursuant to Order 697-C.
    Filed Date: 02/01/2010.
    Accession Number: 20100201-5023.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER09-1286-003.
    Applicants: Elizabethtown Energy, LLC.
    Description: Elizabethtown Energy, LLC submits notice of a non
material change in status regarding a change in the upstream ownership
structure pursuant to FERC's 8/19/09 Letter Order.
    Filed Date: 01/29/2010.
    Accession Number: 20100201-0227.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER09-1287-003.
    Applicants: Lumberton Energy, LLC.
    Description: Lumberton Energy, LLC submits supplement to notice of
non-material change in status.
    Filed Date: 01/29/2010.
    Accession Number: 20100201-0228.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-662-000.
    Applicants: CER Generation, LLC.
    Description: CER Generation, LLC submits an Application for Order
Authorizing Market-Based Rates, Certain Waivers, and Blanket
Authorization, FERC Electric Tariff, Original Volume 1.
    Filed Date: 01/29/2010.

    Accession Number: 20100201-0212.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-669-000.
    Applicants: Vermont Yankee Nuclear Power Corporation.
    Description: Vermont Yankee Nuclear Power Corporation submits the
Billing Methodology which is part of its FERC Electric Rate Schedule,
First Revised Volume 12.
    Filed Date: 01/28/2010.
    Accession Number: 20100129-0209.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 18, 2010.

    Docket Numbers: ER10-670-000.
    Applicants: PacifiCorp.
    Description: PacifiCorp submits Network Integration Transmission
Service Agreement dated 12/22/09 with Sempra Energy Solutions LLC to be
designated as First Revised Service Agreement 299 etc.
    Filed Date: 01/28/2010.
    Accession Number: 20100129-0208.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 18, 2010.

    Docket Numbers: ER10-671-000.
    Applicants: PacifiCorp.
    Description: PacifiCorp submits Notice of Termination for Service
Agreement 581 with Tri State Generation and Transmission Association.
    Filed Date: 01/28/2010.
    Accession Number: 20100129-0207.
    Comment Date: 5 p.m. Eastern Time on Thursday, February 18, 2010.

    Docket Numbers: ER10-672-000.
    Applicants: Southwestern Public Service Company.
    Description: Southwestern Public Service Company submits a revised,
unexecuted service agreement for Network Integration Transmission
Service etc.
    Filed Date: 01/29/2010.
    Accession Number: 20100129-0206.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-673-000.
    Applicants: Consolidated Edison Company of New York.
    Description: Consolidated Edison Company of New York, Inc submits
amendment to Delivery Service Rate Schedule No 96.
    Filed Date: 01/29/2010.
    Accession Number: 20100129-0203.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-674-000.
    Applicants: Westar Energy, Inc.
    Description: Westar Energy submits an amendment to the Cost-Based
Rate Agreement for full requirements electric service with Kansas
Electric Cooperative, Inc.
    Filed Date: 01/29/2010.
    Accession Number: 20100129-0205.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-675-000.
    Applicants: Southern California Edison Company.
    Description: Southern California Edison Company submits revision to
its Transmission Owner Tariff, FERC Electric Tariff, Second Revised
Volume 6 to update the Transmission Access Charge Balancing Account
Adjustment, effective 4/1/10.
    Filed Date: 01/29/2010.
    Accession Number: 20100129-0211.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-676-000.
    Applicants: PJM Interconnection, LLC.
    Description: PJM Interconnection, LLC submits revised
interconnection service agreement among PJM, Fairless Energy, LLC, et
al.
    Filed Date: 01/29/2010.
    Accession Number: 20100129-0204.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-677-000.
    Applicants: Ameren Services Company.
    Description: Centrail Illinois Light Company submits Facilities
Service Agreement with Rail Splitter Wind Farm, LLC.
    Filed Date: 01/29/2010.
    Accession Number: 20100129-0215.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-678-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits non substantive
clean up revisions to numerous pages of its Open Access Tariff to be
effective 3/31/10.
    Filed Date: 01/29/2010.
    Accession Number: 20100129-0217.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-679-000.
    Applicants: Duke Energy Carolinas, LLC.
    Description: Duke Energy Carolinas, LLC submits revised Network
Integration Transmission Service Agreement with Commissions of Public
Works of the City of Greenwood etc.
    Filed Date: 01/29/2010.
    Accession Number: 20100129-0216.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-680-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool submits an executed Large
Generator Interconnection Agreement with Southwestern Electric Power
Company.
    Filed Date: 01/29/2010.
    Accession Number: 20100201-0221.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-681-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits amendments to its
Open Access transmission Tariff to incorporate interconnection
procedures for generating facilities etc, to be effective 3/31/10.
    Filed Date: 01/29/2010.
    Accession Number: 20100201-0222.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-682-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool submits an executed service
agreement for the Network Integration Transmission Service with
Sunflower Electric Power Corporation.
    Filed Date: 01/29/2010.
    Accession Number: 20100201-0220.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-683-000.
    Applicants: Duke Energy Carolinas, LLC.
    Description: Duke Energy Carolinas, LLC submits their Power
Purchase Agreement with Western Carolina University.
    Filed Date: 01/29/2010.
    Accession Number: 20100201-0231.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-684-000.
    Applicants: New England Power Pool.
    Description: New England Power Pool submits the counterpart
signature pages of New England Power Pool Agreement with Ameresco CT
LLC et al.
    Filed Date: 01/29/2010.
    Accession Number: 20100201-0218.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-685-000.
    Applicants: Midwest Independent System Transmission.
    Description: Midwest ISO submits Multi Party Facilities
Construction Agreement.
    Filed Date: 01/29/2010.
    Accession Number: 20100201-0233.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-686-000.
    Applicants: Otter Tail Power Company.
    Description: Midwest Independent Transmission System Operator, Inc
et al

submits revisions to the Midwest ISO's Open Access Transmission, Energy
and Operating Reserve Markets Tariff, FERC Electric Tariff, Fourth
Revised Volume 1.
    Filed Date: 01/29/2010.
    Accession Number: 20100202-0207.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-687-000.
    Applicants: Midwest Independent System Transmission, ALLETE, Inc.
    Description: Midwest Independent Transmission System Operator, Inc
submits Notice of Succession with respect to certain Transmission
Service Agreements etc.
    Filed Date: 01/29/2010.
    Accession Number: 20100202-0214.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-688-000.
    Applicants: Arizona Public Service Company.
    Description: Arizona Public Service Company submits Operation
Maintenance and Replacement Agreement.
    Filed Date: 01/29/2010.
    Accession Number: 20100202-0209.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-689-000.
    Applicants: Virginia Electric and Power Company.
    Description: Dominion Virginia Power submits an executed Joint
Ownership Agreement between Dominion and TrAILCo governing the
construction and ownership of new 500kV transmission lines.
    Filed Date: 01/29/2010.
    Accession Number: 20100202-0208.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-690-000.
    Applicants: Niagara Mohawk Power Corporation.
    Description: Niagara Mohawk Power Corp submits an Amended and
Restated Interconnection Agreement with Erie Boulevard Hydropower, LP.
    Filed Date: 01/29/2010.
    Accession Number: 20100202-0213.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Docket Numbers: ER10-691-000.
    Applicants: Duke Energy Indiana, Inc.
    Description: Duke Energy Indiana, Inc submits a Memorandum of
Understanding with Vectren Energy Delivery of Indiana, Inc.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0228.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-692-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits an executed service
agreement for Network Integration Transmission Service with Golden
Spread Electric Coop. et al.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0227.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-693-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits an executed service
agreement for Network Integration Transmission Service with Kansas
Electric Power Coop., Inc et al.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0226.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-694-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits an executed service
agreement for Network Integration Transmission Service between SPP as
Transmission Provider and Tex-La Electric Coop. of Texas, Inc etc.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0225.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-695-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits an executed service
agreement for Network Integration Transmission Service with the Board
of Public Utilities, Springfield, Missouri.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0224.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-696-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits unexecuted service
agreement for Network Integration Transmission Service with Northeast
Texas Electric Cooperative, Inc et al.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0223.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-697-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits notice of
cancellation of the Point to Point Transmission Service Agreement
between SPP and Kansas Municipal Energy Agency to be effective 1/1/
2010.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0222.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-698-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits an unexecuted
service agreement for Network Integration Transmission Service with
East Texas Electric Cooperative, Inc et al.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0221.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-699-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits an executed service
agreement for Network Integration Transmission Service with Kansas
Municipal Energy Agency et al.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0220.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-700-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits executed Second
Revised Agreement for Wholesale Distribution Service Charges between
Kansas Electric Power Cooperative, Inc and the Empire District Electric
Company.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0219.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-701-000.
    Applicants: JJR Power LLC.
    Description: JJR Power LLC submits notice of cancellation of FERC
Tariff, Original Volume No 1 to be effective 2/1/2010.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0218.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-702-000.
    Applicants: EDF Inc.
    Description: EDF Development Inc submits a notice of name change
and succession.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0230.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-703-000.
    Applicants: PJM Interconnection, LLC.
    Description: PJM Interconnections, LLC submits revisions to
Attachment Q, of the PJM Open Access Transmission Tariff etc.

    Filed Date: 02/01/2010.
    Accession Number: 20100202-0229.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-706-000.
    Applicants: Midwest Independent Transmission System.
    Description: Midwest Independent Transmission System Operator, Inc
submits amended and restated large generator interconnection agreement.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0235.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-707-000.
    Applicants: Florida Power Corporation.
    Description: Florida Power Corporation submits Interchange Service
Agreements.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0233.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-708-000.
    Applicants: American Electric Power Service Corporation.
    Description: Kentucky Power Company submits and request acceptance
of a first revised Interconnection Agreement 1530 to its FERC Electric
Tariff, Sixth Revised Volume 1 with East Kentucky Power Cooperative.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0234.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-709-000.
    Applicants: Pacific Gas and Electric Company.
    Description: Pacific Gas and Electric Co submits the Twenty-Eighth
Filing of Facilities Agreements.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0242.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Docket Numbers: ER10-710-000.
    Applicants: Nevada Power Company.
    Description: Nevada Power Company et al submit revisions to the
Sierra Pacific Resources Operating Companies FERC Electric Third
Revised Volume No 1 Open Access Transmission Tariff.
    Filed Date: 02/01/2010.
    Accession Number: 20100202-0240.
    Comment Date: 5 p.m. Eastern Time on Monday, February 22, 2010.

    Take notice that the Commission received the following open access
transmission tariff filings:

    Docket Numbers: OA10-6-000; ER03-721-014; TS10-3-000.
    Applicants: New Harquahala Generating Company, LLC.
    Description: Request for Waivers of New Harquahala Generating
Company, LLC.
    Filed Date: 01/29/2010.
    Accession Number: 20100129-5140.
    Comment Date: 5 p.m. Eastern Time on Friday, February 19, 2010.

    Any person desiring to intervene or to protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214) on or before 5 p.m. Eastern time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously intervened in the
same docket. 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. Anyone filing a motion to
intervene or protest must serve a copy of that document on the
Applicant. In reference to filings initiating a new proceeding,
interventions or protests submitted on or before the comment deadline
need not be served on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://
www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St. NE., Washington, DC 20426.
    The filings in the above proceedings are accessible in the
Commission's eLibrary system by clicking on the appropriate link in the
above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive e-mail notification
when a document is added to a subscribed dockets(s). For assistance
with any FERC Online service, please e-mail<EMAIL_ADDRESS>
or call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2010-2732 Filed 2-8-10; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 36 (Tuesday, February 24, 2015)]
[Notices]
[Pages 9805-9807]
[FR Doc No: 2015-03664]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-74293; File No. SR-BATS-2015-12]

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of
Filing and Immediate Effectiveness of a Proposed Rule Change To Amend
Rule 8.15 Entitled ``Imposition of Fines for Minor Violation(s) of
Rules''

February 18, 2015.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on February 5, 2015, BATS Exchange, Inc. (the ``Exchange'' or
``BATS'') 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 Exchange. The Exchange
has designated this proposal as a ``non-controversial'' proposed rule
change pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b-
4(f)(6)(iii) thereunder,\4\ which renders it effective upon filing with
the Commission. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 240.19b-4(f)(6)(iii).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange filed a proposal to amend Rule 8.15 entitled
``Imposition of Fines for Minor Violation(s) of Rules.'' The text of
the proposed rule change is available at the Exchange's Web site at
www.batstrading.com, at the principal office of the Exchange, 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 parts of such
statements.

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

1. Purpose
    The Exchange proposes to amend Rule 8.15 in order to make it
substantively identical to the corresponding rules on EDGX Exchange,
Inc. (``EDGX'') and EDGA Exchange, Inc. (``EDGA''), as further
described below. Earlier this year, the Exchange and its affiliate,
BATS Y-Exchange, Inc. (``BYX''), received approval to effect a merger
(the ``Merger'') of the Exchange's parent company, BATS Global Markets,
Inc., with Direct Edge Holdings LLC, the indirect parent of EDGX, and
EDGA (together with BZX, BYX and EDGX, the ``BGM Affiliated
Exchanges'').\5\ In the context of the Merger, the BGM Affiliated
Exchanges are working to align certain system and regulatory
functionality, retaining only intended differences between the BGM
Affiliated Exchanges. Thus, the proposal set forth below is intended to
amend Rule 8.15 in order to make the rule substantively identical to
corresponding rules on EDGA and EDGX related to minor violations of
exchange rules in order to provide a consistent regulatory approach
across each of the BGM Affiliated Exchanges.
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    \5\ See Securities Exchange Act Release No. 71375 (January 23,
2014), 79 FR 4771 (January 29, 2014) (SR-BATS-2013-059; SR-BYX-2013-
039).
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    Currently, Rule 8.15(a) provides that, in lieu of commencing a
disciplinary proceeding as described in Rules 8.1 through 8.13, the
Exchange may, subject to the requirements set forth in this Rule,
impose a fine, not to exceed $2,500, on any Member, associated person
of a Member, or registered or non-registered employee of a Member, for
any violation of a Rule of the Exchange, which violation the Exchange
shall have determined is minor in nature. The Exchange is proposing to
add language in order to make Rule 8.15(a) and Interpretation and
Policy .01 to Rule 8.15 identical to the corresponding EDGA and EDGX
rules.\6\ Specifically, the Exchange is proposing that the Exchange
may, if no exceptional circumstances are present, impose a fine based
upon a determination that there exists a pattern or practice of
violative conduct. As proposed, the Exchange also may aggregate similar
violations generally if the conduct was unintentional, there was no
injury to public investors, or the violations resulted from a single
systemic problem or cause that has been corrected.
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    \6\ See EDGX Rule 8.15(a) and Interpretation and Policy .01 to
Rule 8.15 and EDGA Rule 8.15(a) and Interpretation and Policy .01 to
Rule 8.15.
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    Currently, under Interpretation and Policy .01 to Rule 8.15, the
Exchange fines individuals $100, $300, and $500 and Member firms $500,
$1,000, and $2,500 for their first, second, and third time fined under
Rule 8.15 within a rolling 12-month period, respectively, for the
following violations of Exchange rules: (a) Rule 4.2 and Interpretation
and Policy thereunder requiring the submission of responses to Exchange
requests for trading data within a specified time period; (b) Rule
11.19 requirement to identify short sale orders as such; and (c) Rule
11.20 requirement to comply with locked and crossed market rules. The
Exchange is proposing to add two additional instances to the fine
structure described above. These additional instances include: (1) Rule
3.5 Advertising Practices; and (2) Rule 12.11 Interpretation and Policy
.01 and Exchange Act Rule 604--Failure to properly display limit
orders.\7\
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    \7\ The Exchange notes that these proposed changes would make
the Exchange's Rule 8.15, with the exception of current Rule 8.15(a)
[sic] and paragraph (d) [sic] of Interpretation and Policy .01 to
Rule 8.15 related to the rules of the Exchange's options platform
(``BATS Options''), substantively identical to the corresponding
EDGA and EDGX rules based on filings SR-EDGA-2015-11 and SR-EDGX-
2015-10. Such filings propose to remove paragraph (d) of
Interpretation and Policy .01 to both EDGA and EDGX rules 8.15. The
Exchange also notes that BYX intends to file a proposal very similar
to this proposal that will align the rules related to fines for
minor violation of exchange rules across each of the BGM Affiliated
Exchanges.
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    The Exchange is also proposing to make several non-substantive
changes to Interpretation and Policy .01 to Rule 8.15. First, the
Exchange is proposing to change the numbering within the rule to
reflect the additions described above. Second, the Exchange is
proposing to change the phrase ``limit orders'' in paragraph (e) of
Interpretation and Policy .01 to Rule 8.15 to ``quotations.'' The
Exchange believes that this change is non-substantive because, in this
instance, the terms limit orders and quotations are interchangeable.
Paragraph (e) is referring to the obligation of a Market Maker under
Rule 11.8 to maintain continuous liquidity of both buy and sell orders,
which are referred to as quotes or quotations in Rule 11.8, at certain
prices. Based on Exchange functionality, the only way to enter priced
orders that could meet such quotation obligations would be through use
of limit orders. As such, the Exchange believes that the proposed
change is non-substantive, makes the rule more clear, and more
accurately reflects the language used in Exchange Rule 11.8. Further,
the change would make the rule text identical to that of EDGA and EDGX.
2. Statutory Basis
    The Exchange believes that the rule change proposed in this
submission is consistent with the requirements of the Act and the rules
and regulations thereunder that are applicable to a national securities
exchange, and, in particular, with the requirements of Section 6(b) of
the Act.\8\ Specifically, the proposed change is consistent with
Section 6(b)(5) of the Act,\9\ because it is designed to promote just
and equitable principles of trade, to remove impediments to, and
perfect the mechanism of, a free and open market and a national market
system, and, in general, to protect investors and the public interest.
As mentioned above, the proposed rule changes, combined with the
planned filing for BYX,\10\ would allow the BGM Affiliated Exchanges to
provide a consistent set of rules as it relates to the imposition of
fines for minor violations of rules across each of the exchanges.
Consistent rules, in turn, will simplify the regulatory requirements
for Members of the Exchange that are also participants on BYX, EDGA,
and/or EDGX. The proposed rule change would provide greater
harmonization between rules of similar purpose on the BGM Affiliated
Exchanges, resulting in greater uniformity and less burdensome and more
efficient regulatory compliance. As such, the proposed rule change
would foster cooperation and coordination with persons engaged in
facilitating transactions in securities and would remove impediments to
and perfect the mechanism of a free and open market and a national
market system.
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    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(5).
    \10\ See supra note 7.
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    Specifically, the changes to Rule 8.15(a) and the addition of new
paragraphs (d) and (e) to Interpretation and Policy .01 of Rule 8.15
will provide the Exchange with additional ways to handle related minor
violations as well as providing the Exchange with the ability to handle
other rule violations which it believes to be minor under Rule 8.15.
The Exchange believes that, in addition to the benefits to Members
described above, the proposal will enhance the Exchange's ability to
efficiently regulate its Members, meaning that the proposed rule change
is equitable and will promote fairness in the market place.
    Further, the Exchange believes that the proposal is consistent with
Sections

6(b)(1) and 6(b)(6) of the Act \11\ which require that the rules of an
exchange enforce compliance with, and provide appropriate discipline
for, violations of the Commission and Exchange rules. The Exchange also
believes that the proposal is consistent with the public interest, the
protection of investors, or otherwise in furtherance of the purposes of
the Act because the proposal helps to strengthen the Exchange's ability
to carry out its oversight and enforcement responsibilities as a self-
regulatory organization in cases where full disciplinary proceedings
are unsuitable in view of the minor nature of a particular violation.
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    \11\ 15 U.S.C. 78f(b)(1) and 78f(b)(6).
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    Finally, the Exchange believes that the non-substantive changes
discussed above will contribute to the protection of investors and the
public interest by helping to avoid confusion with respect to Exchange
rules.

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 not necessary or appropriate in
furtherance of the purposes of the act. To the contrary, allowing the
Exchange to implement substantively identical rules related to the
imposition of fines for minor violations of rules across each of the
BGM Affiliated Exchanges does not present any competitive issues, but
rather is designed to provide greater harmonization among Exchange,
BYX, EDGA, and EDGX rules of similar purpose, resulting in less
burdensome and more efficient regulatory compliance for common members
of the BGM Affiliated Exchanges and an enhanced ability of the BGM
Affiliated Exchanges to fairly and efficiently regulate members, which
will further 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 written comments on
the proposed rule change.

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

    Because the foregoing proposed rule change does not: (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 \12\ and paragraph
of Rule 19b-4(f)(6) thereunder.\13\
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    \12\ 15 U.S.C. 78s(b)(3)(A).
    \13\ 17 CFR 240.19b-4.
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views and
arguments concerning the foregoing, including whether the proposal 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 No. SR-BATS-2015-12 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 No. SR-BATS-2015-12. 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 will also be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File No. SR-BATS-2015-12 and should be
submitted on or before March 17, 2015.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\14\
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    \14\ 17 CFR 200.30-3(a)(12).
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Brent J. Fields,
Secretary.
[FR Doc. 2015-03664 Filed 2-23-15; 8:45 am]
BILLING CODE 8011-01-P