[Federal Register: September 23, 2005 (Volume 70, Number 184)]
[Rules and Regulations]
[Page 55723-55725]
[DOCID:fr23se05-6]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

18 CFR Part 385

[Docket No. RM05-33-000; Order No. 663]

Revision of Rules of Practice and Procedure Regarding Issue
Identification

Issued September 16, 2005.
AGENCY: Federal Energy Regulatory Commission.

ACTION: Final rule.

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SUMMARY: The Federal Energy Regulatory Commission (Commission) is
revising its regulations regarding filings. The regulations are revised
to clarify that any issues that the movant wishes the Commission to
address must be specifically identified in a section entitled
``Statement of Issues.'' This change will benefit the Commission by
clarifying issues raised, and benefit movants by ensuring issues are
addressed promptly and preserved for appeal.

EFFECTIVE DATE: The rule will become effective September 23, 2005.

FOR FURTHER INFORMATION CONTACT: Carol C. Johnson, Office of the
General Counsel, GC-13, Federal Energy Regulatory Commission, 888 First
Street, NE., Washington, DC 20426,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Before Commissioners: Joseph T. Kelliher, Chairman; Nora Mead Brownell,
and Suedeen G. Kelly.

    1. The Federal Energy Regulatory Commission (Commission) is
revising its rules of practice and procedure to clarify that any issues
a movant wishes the Commission to address must be clearly set forth in
a section entitled ``Statement of Issues,'' that will reference
representative Commission and court precedent on which the participant
is relying. While the current rules require that pleadings include
``[t]he position taken by the participant filing any pleading * * * and
the basis in fact and law for such position,'' the Commission has found
that movants sometimes fail to specify the issues they want the
Commission to address, or the case law supporting their position. 18
CFR 385.203(a)(7). This revision will benefit movants, and other
parties to the proceeding, as well as the Commission.
    2. The way to ensure that an issue is addressed is for a movant to
place it squarely before the Commission in a filing. Under the
Administrative

Procedures Act (APA), 5 U.S.C. 554(b)(3), ``[w]hen private persons are
the moving parties, other parties to the proceeding shall give prompt
notice of issues controverted in fact or law * * *.'' These amendments
are consistent with that provision of the APA in that they require that
a movant identify with specificity those issues he is raising with the
Commission, and provide the applicable legal authority supporting his
position.
    3. This rule will benefit all participants. Other parties will know
with certainty which issues to address in any responsive pleadings. The
Commission will know with certainty the issues being raised and the
legal support cited as supporting that issue, enabling the Commission
to respond promptly and thoroughly to such issues. Finally, movants
will benefit by placing the issue squarely before the Commission for
resolution.
    4. There have been numerous instances where appeals have been
denied because an appellant failed to clearly raise an issue before the
Commission on rehearing. See, e.g., California Dep't of Water Resources
v. FERC, 341 F.3d 906, 911(9th Cir. 2003) (issue not preserved for
review where petitioner ``raised the issue in a single sentence at the
end of an unrelated section of its request for rehearing, without
citing the statutory language it now urges [the court of appeals] to
consider.''); Intermountain Municipal Gas Agency v. FERC, 326 F.3d
1282, 1285 (D.C. Cir. 2003); Coalition for the Fair and Equitable
Regulation of Docks on the Lake of the Ozarks v. FERC, 297 F.3d 771,
777 (8th Cir. 2002) (declining to find jurisdiction where petitioner's
``brief does not show that it raised the * * * arguments in any
recognizable form''). Both the Natural Gas Act and the Federal Power
Act require that issues be presented with specificity to the Commission
on rehearing prior to any court appeal. 15 U.S.C. 717r(b) (``No
objection to the order of the Commission shall be considered by the
court unless such objection shall have been urged before the Commission
in the application for rehearing unless there is reasonable ground for
failure to do so.''); 16 U.S.C. 825l(a) (``The application for
rehearing shall set forth specifically the ground or grounds upon which
such application is based * * *. No proceeding to review any orders of
the Commission shall be brought by any person unless such person shall
have made application to the Commission for a rehearing thereon.'').
This is a threshold issue; courts have found no jurisdiction to address
issues that were not sufficiently raised in a request for rehearing.
See, e.g., Intermountain v. FERC, 326 F.2d at 1285 (concluding the
court lacked jurisdiction to address an issue because ``so general and
vague statement'' does not satisfy the requirement in the Natural Gas
Act that objections be ``specifically urged.'') (citations omitted).
    5. The general rules regarding content of pleadings are found in
Rule 203, Content of pleadings and tariff or rate filings. 18 CFR
385.203. Rule 202 defines pleadings to include ``any application,
complaint, petition, protest, notice of protest, answer, motion, and
any amendment or withdrawal of a pleading.'' 18 CFR 385.202.\1\ To
date, Sec.  385.203(a)(7) has required that each pleading include, as
appropriate, ``[t]he position taken by the participant filing any
pleading, to the extent known when the pleading is filed, and the basis
in fact and law for such position.'' The Commission is revising this
provision to specify that the issues be set forth in a separate titled
section. Revised Sec.  385.203(a)(7) requires that pleadings include:
``[t]he position taken by the participant filing any pleading, to the
extent known when the pleading is filed, and the basis in fact and law
for such position, including a separate section entitled ``Statement of
Issues,'' listing each issue presented to the Commission in a
separately enumerated paragraph that includes representative Commission
and court precedent on which the participant is relying.''
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    \1\ Rule 202 specifically excludes comments on rulemakings or
comments on offers of settlement from the definition of pleading.
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    6. This final rule also adds language to Rule 713 to clarify that a
``Statement of Issues'' section is also required in requests for
rehearing as well as pleadings. Existing Rule 713 states that requests
for rehearing ``must * * * [c]onform to the requirements in Rule 203(a)
which are applicable to pleadings.'' 18 CFR 713(c)(2). Therefore, the
amended language in revised Rule 203 already applies to rehearings;
however, the requirement for a section entitled ``Statement of Issues''
is important enough that it warrants repeating in the rule on requests
for rehearing. Revised 18 CFR 385.713(c)(2) is, therefore, revised to
clarify that requests for rehearing must ``conform to the requirements
in Rule 203(a), which are applicable to pleadings, including, but not
limited to, the requirement for a separate section entitled ``Statement
of Issues,'' listing each issue in a separately enumerated paragraph
that includes representative Commission and court precedent on which
the party is relying.''
    7. If a movant fails to list issues in a separate section entitled
``Statement of Issues,'' such issues will be deemed to have been
waived. This is consistent with existing Rule 2001, which states that
filings that fail to meet applicable statutes, rules or orders may be
rejected in full or all or part of the filing may be stricken. 18 CFR
385.2001(b). Sections 385.203 and 385.713 are both revised to specify
that issues that are not presented in separate paragraphs in the
``Statement of Issues'' section will be deemed waived.
    8. The changes that are made in this rule are essentially
formatting changes. The existing regulations already require issue
identification and the basis in fact and law for positions asserted;
this order simply requires that the issues and legal support for the
position taken be set forth in a section entitled ``Statement of
Issues,'' thus making it easier for staff and others to know with
certainty the issues and legal arguments being raised.

Information Collection Statement

    9. The Office of Management and Budget's (OMB's) regulations
require that OMB approve certain information collection requirements
imposed by agency rule. 5 CFR 1320.12 (2005). This final rule contains
no additional information reporting requirements, and is not subject to
OMB approval.

Environmental Analysis

    10. The Commission is required to prepare an Environmental
Assessment or an Environmental Impact Statement for any action that may
have a significant adverse effect on the human environment.\2\ The
Commission has categorically excluded certain actions from this
requirement as not having a significant effect on the human
environment. Included in the exclusion are rules that are clarifying,
corrective, or procedural that do not substantially change the effect
of the regulations being amended. This proposed rule is procedural in
nature and, therefore, falls under this exception; consequently, no
environmental consideration is necessary.
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    \2\ Order No. 486, Regulations Implementing the National
Environmental Policy Act, 52 FR 47897 (Dec. 17, 1987), FERC Stats. &
Regs. Preambles 1986-1990 ] 30,783 (1987).
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Regulatory Flexibility Act Certification

    11. The Regulatory Flexibility Act of 1980 (RFA) \3\ generally
requires a description and analysis of final rules that will have
significant economic impact on a substantial number of small entities.
The Commission is not

required to make such analysis if a rule would not have such an effect.
The Commission certifies that this rule will not have such an impact on
small entities as it merely clarifies existing requirements. An
analysis under the RFA therefore, is not required.
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    \3\ 5 U.S.C. 601-612.
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Document Availability

    12. In addition to publishing the full text of this document in the
Federal Register, the Commission provides all interested persons an
opportunity to view and/or print the contents of this document via the
Internet through FERC's Home Page (http://www.ferc.gov) and in FERC's

Public Reference Room during normal business hours (8:30 a.m. to 5 p.m.
Eastern time) at 888 First Street, NE., Room 2A, Washington DC 20426.
    13. From FERC's Home Page on the Internet, this information is
available in the Commission's document management system, eLibrary. The
full text of this document is available on eLibrary in PDF and
Microsoft Word format for viewing, printing, and/or downloading. To
access this document in eLibrary, type the docket number excluding the
last three digits of this document in the docket number field.
    14. User assistance is available for eLibrary and the FERC's Web
site during normal business hours. For assistance, please contact the
Commission's Online Support at 1-866-208-3676 (toll free) or TTY (202)
502-8659, or e-mail at<EMAIL_ADDRESS>You may also contact
the Public Reference Room at<PHONE_NUMBER> or e-mail at
<EMAIL_ADDRESS>

Effective Date

    15. These regulations are effective immediately upon publication in
the Federal Register. In accordance with 5 U.S.C. 553(d)(3), the
Commission finds that good cause exists to make this Final Rule
effective immediately upon publication. It concerns only a matter of
procedure affecting formatting of filings.
    16. The provisions of 5 U.S.C. 801 regarding Congressional review
of Final Rules does not apply to this Final Rule, because the rule
concerns agency procedure and practice and will not substantially
affect the rights of non-agency parties.
    17. The Commission is issuing this as a final rule without a period
for public comment. Under 5 U.S.C. 553(b), notice and comment
procedures are unnecessary where a rulemaking concerns only agency
procedure and practice, or where the agency finds that notice and
comment is unnecessary. This rule concerns only a clarification of a
matter of agency procedure and will not significantly affect regulated
entities or the general public.

List of Subjects in 18 CFR Part 385

    Administrative practice and procedure, Electric utilities,
Penalties, Pipelines, Reporting and recordkeeping requirements.

    By the Commission.
Magalie R. Salas,
Secretary.

0
In consideration of the foregoing, the Commission amends part 385,
chapter I, title 18, Code of Federal Regulations, as follows.

PART 385--RULES OF PRACTICE AND PROCEDURE

0
1. The authority citation for part 385 continues to read as follows:

    Authority: 5 U.S.C. 551-557; 15 U.S.C. 717-717z; 3301-3432; 16
U.S.C. 791a-825r; 2601-2645; 28 U.S.C. 2461; 31 U.S.C. 3701, 9701;
42 U.S.C. 7101-7352; 49 U.S.C. 60502; 49 App. U.S.C. 1085 (1988).

0
2. Section 385.203 is amended by revising paragraph (a)(7) to read as
follows:

Sec.  385.203  Content of pleadings and tariff or rate filings (Rule
203).

    (a) * * *
    (7) The position taken by the participant filing any pleading, to
the extent known when the pleading is filed, and the basis in fact and
law for such position, including a separate section entitled
``Statement of Issues,'' listing each issue presented to the Commission
in a separately enumerated paragraph that includes representative
Commission and court precedent on which the participant is relying; any
issue not so listed will be deemed waived;
* * * * *

0
3. Section 385.713 is amended by revising paragraph (c)(2) to read as
follows:

Sec.  385.713  Request for rehearing (Rule 713).

* * * * *
    (c) * * *
    (2) Conform to the requirements in Rule 203(a), which are
applicable to pleadings, including, but not limited to, the requirement
for a separate section entitled ``Statement of Issues,'' listing each
issue in a separately enumerated paragraph that includes representative
Commission and court precedent on which the party is relying; any issue
not so listed will be deemed waived; and
* * * * *
[FR Doc. 05-19004 Filed 9-22-05; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 86, Number 95 (Wednesday, May 19, 2021)]
[Rules and Regulations]
[Pages 27034-27035]
[FR Doc No: 2021-10532]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2021-0094]

Safety Zone; Annual Swim Around Key West, Key West, FL

AGENCY: Coast Guard, DHS.

ACTION: Notice of enforcement of regulation.

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SUMMARY: The Coast Guard will enforce the safety zone for the 45th
Annual Swim Around Key West, Key West, Florida from 8 a.m. until 4 p.m.
on June 26, 2021. Our regulation for recurring safety zones within the
Captain of the Port Key West Zone identifies the regulated area for
this event. This action is necessary to ensure the safety of event
participants and spectators. During the enforcement period, no person
or vessel may enter, transit through, anchor in, or remain within the
regulated area without approval from the Captain of the Port Key West
or a designated representative.

DATES: The regulations in 33 CFR 165.786, Table to Sec.  165.786, Item
6.2, will be enforced from 8 a.m. until 4 p.m. on June 26, 2021.

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice,
call or email Gregory Bergstrom, Sector Key West Waterways Management
Department, Coast Guard; telephone<PHONE_NUMBER>; email
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Coast Guard will enforce the safety zone
in 33 CFR 165.786, for the Annual Swim Around Key West regulated area
from 8 a.m. to 4 p.m. on June 26, 2021. This action is being taken to
provide for the safety of life on navigable waterways during this
event. Our regulation for recurring marine events within Sector Key
West, Table to Sec.  165.786, Item 6.2, specifices the location of the
regulated area. During the enforcement period, no person or vessel may
enter, transit through, anchor in, or remain within the

established regulated areas without approval from the Captain of the
Port Key West or designated representative. The Coast Guard may be
assisted by other Federal, State, or local law enforcement agencies in
enforcing this regulation.
    The Coast Guard will provide notice of the regulated area by Local
Notice to Mariners and Broadcast Notice to Mariners. If the Captain of
the Port Key West determines that the regulated area need not be
enforced for the full duration stated in this publication, he or she
may use a Broadcast Notice to Mariners to grant general permission to
enter the regulated area.

    Dated: May 13, 2021.
Adam Chamie,
Captain, U.S. Coast Guard, Captain of the Port Key West.
[FR Doc. 2021-10532 Filed 5-18-21; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 81, Number 86 (Wednesday, May 4, 2016)]
[Notices]
[Page 26856]
[FR Doc No: 2016-10369]

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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

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

    Extension: Rule 204-3, SEC File No. 270-42, OMB Control No.
3235-0047.

    Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission
(``Commission'') has submitted to the Office of Management and Budget a
request for extension of the previously approved collection of
information discussed below.
    The title for the collection of information is ``Rule 204-3 (17 CFR
275.204-3) under the Investment Advisers Act of 1940.'' (15 U.S.C.
80b). Rule 204-3, the ``brochure rule,'' requires advisers to deliver
their brochures and brochure supplements at the start of an advisory
relationship and to deliver annually thereafter the full updated
brochures or a summary of material changes to their brochures. The rule
also requires that advisers deliver amended brochures or brochure
supplements (or just a statement describing the amendments) to clients
only when disciplinary information in the brochures or supplements
becomes materially inaccurate.
    The brochure assists the client in determining whether to retain,
or continue employing, the adviser. The information that Rule 204-3
requires to be contained in the brochure is also used by the Commission
and staff in its enforcement, regulatory, and examination programs.
This collection of information is found at 17 CFR 275.204-3 and is
mandatory.
    The respondents to this information collection are investment
advisers registered with the Commission. The Commission has estimated
that compliance with rule 204-3 imposes a burden of approximately 39
hours annually based on an average adviser having 1,494 clients. Our
latest data indicate that there were 11,956 advisers registered with
the Commission as of January 4, 2016. Based on this figure, the
Commission estimates a total annual burden of 466,145 for this
collection of information.
    Rule 204-3 does not require recordkeeping or record retention. The
collection of information requirements under the rule are mandatory.
The information collected pursuant to the rule is not filed with the
Commission, but rather takes the form of disclosures to clients and
prospective clients. Accordingly, these disclosures are not kept
confidential. An agency may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless it displays
a currently valid control number.
    The public may view the background documentation for this
information collection at the following Web site, www.reginfo.gov.
Comments should be directed to: (i) Desk Officer for the Securities and
Exchange Commission, Office of Information and Regulatory Affairs,
Office of Management and Budget, Room 10102, New Executive Office
Building, Washington, DC 20503, or by sending an email to:
<EMAIL_ADDRESS>and (ii) Pamela Dyson, Director/Chief
Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or send an email
to<EMAIL_ADDRESS>Comments must be submitted to OMB within 30
days of this notice.

    Dated: April 28, 2016.
 Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-10369 Filed 5-3-16; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 86, Number 83 (Monday, May 3, 2021)]
[Notices]
[Pages 23415-23416]
[FR Doc No: 2021-09156]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-4501-DR; Docket ID FEMA-2021-0001]

Georgia; Amendment No. 3 to Notice of a Major Disaster
Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of a major disaster declaration
for the State of Georgia (FEMA-4501-DR), dated March 29, 2020, and
related determinations.

DATES: This amendment was issued March 11, 2021.

FOR FURTHER INFORMATION CONTACT: Dean Webster, Office of Response and
Recovery, Federal Emergency Management Agency, 500 C Street SW,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration
for the State of Georgia is hereby amended to include Individual
Assistance limited to

COVID-19 Funeral Assistance under Other Needs Assistance for those
areas determined to have been adversely affected by the event declared
a major disaster by the President in his declaration of March 29, 2020.

    Individual Assistance limited to COVID-19 Funeral Assistance
under Other Needs Assistance for all areas in the State of Georgia
(already designated for Individual Assistance, limited to the Crisis
Counseling Program and emergency protective measures [Category B]
not authorized under other Federal statutes, including direct
Federal assistance).

(The following Catalog of Federal Domestic Assistance Numbers (CFDA)
are to be used for reporting and drawing funds: 97.030, Community
Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling;
97.033, Disaster Legal Services; 97.034, Disaster Unemployment
Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048,
Disaster Housing Assistance to Individuals and Households In
Presidentially Declared Disaster Areas; 97.049, Presidentially
Declared Disaster Assistance--Disaster Housing Operations for
Individuals and Households; 97.050, Presidentially Declared Disaster
Assistance to Individuals and Households--Other Needs; 97.036,
Disaster Grants--Public Assistance (Presidentially Declared
Disasters); 97.039, Hazard Mitigation Grant.)

Robert J. Fenton,
Senior Official Performing the Duties of the Administrator, Federal
Emergency Management Agency.
[FR Doc. 2021-09156 Filed 4-30-21; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register Volume 78, Number 173 (Friday, September 6, 2013)]
[Notices]
[Pages 54943-54944]
[FR Doc No: 2013-21631]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-70294; File No. SR-NYSEMKT-2013-72]

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and
Immediate Effectiveness of Proposed Rule Change To Delete Certain
Obsolete Rules That Relate to Its Disciplinary Proceedings and Make a
Conforming Change

August 30, 2013.
    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 August 23, 2013, NYSE MKT LLC (the ``Exchange'' or ``NYSE
MKT'') 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
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.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to delete certain obsolete rules that relate
to its disciplinary proceedings and make a conforming change. The text
of the proposed rule change is available on the Exchange's Web site at
www.nyse.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 self-regulatory organization
included statements concerning the purpose of, and basis for, the
proposed rule change and discussed any comments it received on the
proposed rule change. The text of those statements may be examined at
the places specified in Item IV below. The Exchange has prepared
summaries, set forth in sections A, B, and C below, of the most
significant parts of such statements.

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

1. Purpose
    The Exchange proposes to delete certain obsolete rules that relate
to its disciplinary proceedings and make a conforming change.
    In September 2008, NYSE Euronext acquired the American Stock
Exchange LLC, now known as NYSE MKT.\3\ As part of the integration of
the companies, in October 2008, the Exchange adopted disciplinary rules
that were substantially the same as those of the New York Stock
Exchange LLC (``NYSE'') and established certain transitional rules.\4\
Thereafter, the Exchange relocated its trading floor from 86 Trinity
Place in New York, New York to the NYSE's facilities at 11 Wall Street
in New York, New York.
---------------------------------------------------------------------------

    \3\ See Securities Exchange Act Release No. 58673 (September 29,
2008), 73 FR 57707 (October 3, 2008) (SR-Amex-2008-62 and SR-NYSE-
2008-60).
    \4\ See id. and Securities Exchange Act Release Nos. 58705
(October 1, 2008), 73 FR 58995 (October 8, 2008) (SR-Amex-2008-63),
and 58286 (August 1, 2008), 73 FR 46097 (August 7, 2008) (SR-Amex-
2008-64).
---------------------------------------------------------------------------

    It is no longer necessary to maintain the transitional rules
because all disciplinary proceedings under such rules have been
completed. As such, the Exchange proposes to delete Part 1B of Rule
476A and mark it ``Reserved,'' and delete in their entirety Rules 478T
and

590, Parts 1-3, because each of these rules is obsolete. Part 1B of
Rule 476A sets forth minor rule violations and fines that were
applicable only to trading activity and conduct on legacy Exchange
trading systems located at 86 Trinity Place. Similarly, the minor rule
violations and fines listed in Parts 1-3 of Rule 590 applied only to
transactions and/or conduct that occurred on or through the legacy
systems or facilities of the Exchange located at 86 Trinity Place.\5\
Rule 478T sets forth temporary procedures that governed legacy
disciplinary proceedings that were commenced by the Exchange and still
pending as of October 1, 2008, the date when the Exchange adopted
disciplinary rules substantially similar to those of the NYSE.\6\ All
legacy proceedings have been completed. The Exchange also proposes a
conforming change to Rule 0 to remove references to these obsolete
rules.
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    \5\ See Rule 590, Part 1.
    \6\ See supra n.3.
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2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\7\ in general, and furthers the
objectives of Section 6(b)(5) of the Act,\8\ in particular, because it
promotes just and equitable principles of trade, removes impediments to
and perfects the mechanism of a free and open market and a national
market system, and, in general, helps to protect investors and the
public interest by providing transparency as to which rules are
operable and reducing potential confusion that may result from having
obsolete rules in the Exchange's rulebook. The Exchange further
believes that the proposal removes impediments to and perfects the
mechanism of a free and open market by ensuring that persons subject to
the Exchange's jurisdiction, regulators, and the public can more easily
navigate the Exchange's rulebook and better understand what obligations
attach and when.
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    \7\ 15 U.S.C. 78f(b).
    \8\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The proposed change is not
designed to address any competitive issue but rather to delete obsolete
rules, thereby increasing transparency, reducing confusion, and making
the Exchange's rules easier to understand.

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

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

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

    Because the foregoing proposed rule change does not significantly
affect the protection of investors or the public interest, does not
impose any significant burden on competition, and, by its terms, does
not become operative for 30 days from the date on which it was filed,
or such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \9\ and Rule 19b-
4(f)(6) thereunder.\10\
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    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change, along with a
brief description and text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    The Exchange has requested that the Commission waive the 30-day
operative delay. The Commission believes that waiver of the 30-day
operative delay is consistent with the protection of investors and the
public interest in that the rules at issue are no longer operative and
the proposed rule change will reduce confusion and add clarity to the
Exchange's rulebook. Therefore, the Commission designates the proposal
operative upon filing.\11\
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    \11\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

    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 under
Section 19(b)(2)(B) \12\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSEMKT-2013-72 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEMKT-2013-72. 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 the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-NYSEMKT-2013-72 and should
be submitted on or before September 27, 2013.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\13\
---------------------------------------------------------------------------

    \13\ 17 CFR 200.30-3(a)(12).
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Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013-21631 Filed 9-5-13; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 169 (Friday, August 30, 2013)]
[Rules and Regulations]
[Pages 53671-53675]
[FR Doc No: 2013-21171]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2012-0202]
RIN 1625-AA11; 1625-AA87

Regulated Navigation Areas, Security Zones: Dignitary Arrival/
Departure and United Nations Meetings, New York, NY

AGENCY: Coast Guard, DHS.

ACTION: Final rule.

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SUMMARY: The Coast Guard is amending its regulation establishing
security zones that are enforceable in connection with the arrival or
departure of international leaders for United Nations meetings in New
York, NY. This rule establishes new regulated navigation areas,
modifies certain security zones, and better organizes the regulation.
The amendments will assist the Coast Guard in protecting public safety
and visiting dignitaries during these events, and thus promote the
Coast Guard's maritime safety and maritime security missions.

DATES: This rule is effective September 30, 2013.

ADDRESSES: Documents mentioned in this preamble are part of docket
[USCG-2012-0202]. To view documents mentioned in this preamble as being
available in the docket, go to  http://www.regulations.gov, type the
docket number in the ``SEARCH'' box and click ``SEARCH.'' Click on Open
Docket Folder on the line associated with this rulemaking. You may also
visit the Docket Management Facility in Room W12-140 on the ground
floor of the Department of Transportation West Building, 1200 New
Jersey Avenue SE., Washington, DC 20590, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or email Mr. Jeff Yunker, Coast Guard Sector New York, Waterways
Management Division; telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>or Chief Craig Lapiejko, Coast Guard First
District Waterways Management Branch, telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>If you have questions on viewing or
submitting material to the docket, call Barbara Hairston, Program
Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Table of Acronyms

DHS Department of Homeland Security
FR Federal Register
NPRM Notice of Proposed Rulemaking
SNPRM Supplemental Notice of Proposed Rulemaking
RNA Regulated Navigation Area
UN United Nations
UNGA United Nations General Assembly

A. Regulatory History and Information

    On September 11, 2012, we published a notice of proposed rulemaking
(NPRM) entitled ``Security Zones; Dignitary Arrival/Departure and
United Nations Meetings, New York, NY'' in the Federal Register (77 FR
55777). We received seven comments on the NPRM.
    After publication of the NPRM we determined that an RNA is the more
appropriate means to regulate the movement of vessels or individuals
instead of the security zones originally proposed or already codified
at 33 CFR 165.164. On April 19, 2013, we published a supplemental
notice of proposed rulemaking (SNPRM) entitled ``Regulated Navigation
Areas, Security Zones: Dignitary Arrival/Departure and United Nations
Meetings, New York, NY in the Federal Register (78 FR 23515). We
received one comment on the SNPRM.

B. Basis and Purpose

    The legal basis for the proposed rule is 33 U.S.C. 1231; 46 U.S.C.
Chapter 701, 3306, 3703; 50 U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1,
6.04-6, 160.5; and Department of Homeland Security Delegation No.
0170.1, which collectively authorize the Coast Guard to establish RNAs
and security zones.
    On five occasions since March 2011, the United States Secret
Service has requested that the Coast Guard establish a temporary
security zone on the waters of the East River and Bronx Kill during the
arrival and departure of the President of the United States to and from
Randalls and Wards Islands, New York.
    This regulation carries out three related actions: (1) Establishes
new regulated navigation areas in the waters near the United Nations
(UN) during UN visits by international leaders; (2) revises the Wall
Street Heliport security zone to identify the northern boundary of the
security zone on the Manhattan shoreline at Wall Street, which is
necessary due to the removal of Pier 13 that is currently referenced in
33 CFR 165.164(a)(1); and (3) revises the United Nations security zone
to clarify enforcement times for the security zone, provide a more
detailed description of the security zone, and provide a better
understanding of the transit restrictions that would be enacted.

C. Discussion of Comments, Changes and the Final Rule

    After publication of the SNPRM in the Federal Register (78 FR
23515) the National Oceanic and Atmospheric Administration (NOAA)
submitted a comment recommending that 33 CFR 165.164(a)(4) be revised
to state the United Nations Security Zone extends about 180 yards
offshore of Manhattan instead of the currently published 175 yards.
This recommendation only changes the description of the security zone's
boundaries without changing its geographical coordinates. The Coast
Guard agrees and has made this change to the final rule.
    The Coast Guard is amending the existing security zone regulation
relating to the arrival and departure of dignitaries for UN meetings in
New York City, 33 CFR 165.164. Our amendments are substantively similar
to the proposals contained in our 2012 NPRM, but we are reorganizing
and making a non-substantive revision of Sec.  165.164, and we are
redesignating three existing security zones as regulated navigation
areas. Please see the NPRM for a further discussion of how we have
enforced Sec.  165.164 security zones in the past. We have now
determined that an RNA is the more appropriate means to regulate the
movement of vessels or individuals instead of the security zones
originally proposed or already codified at 33 CFR 165.164. We are
designating the Wall Street Heliport, Randalls and Wards Islands, and
United Nations Full River Closure security zones as RNAs. The Marine
Air Terminal, United Nations, and United Nations West Channel Closure
security zones will remain designated as security zones as they do not
completely restrict vessel traffic on that portion of the Bowery Bay
and East River during enforcement of the security zones.
    We are reorganizing Sec.  165.164 and adding descriptive
designations to name each of the several locations covered by that
regulation.
    We are revising Sec.  165.164(a)(1) relating to the Wall Street
Heliport. We are removing a reference to Pier 13, which no longer
exists, but otherwise the boundaries of the designated area will not
change. The existing security zone is now designated a regulated
navigation area.
    We are adding a new Sec.  165.164(a)(2) and establishing an RNA on
the waters of the East River and Bronx Kill in the vicinity of Randalls
and Wards Islands. The RNA is approximately 2,150 yards long and 860
yards wide, and encompasses approximately 0.21 square nautical miles.
It will be enforced from 30 minutes before a dignitary's arrival until
15 minutes after the dignitary's departure from the area.
    We are making no changes to Sec.  165.164(a)(3), other than to
designate it as the Marine Air Terminal, La Guardia Airport Security
Zone.
    We are designating the security zone created by Sec.  165.164(a)(4)
as the United Nations Security Zone, and we are rewording the
description of this zone's boundaries for clarity, without changing its
geographical coordinates. In new paragraph (d), we state that this zone
is in force at all times.
    We are transferring the security zone described in existing Sec.
165.164(a)(5) to paragraph (a)(6), and designating it the United
Nations Full River Closure RNA. The content of existing paragraph
(a)(6) is addressed in new paragraph (d). When enforced, the UN Full
River Closure RNA will fully close the East River to vessel traffic
within its boundaries. We are creating a new security zone in paragraph
(a)(5), to be designated the United Nations West Channel Closure
Security Zone. When in force, it will close only a portion of the
western channel of the river. Vessels

capable of transiting the shallower waters of the eastern channel can
do so.
    The content of existing paragraph (a)(7) is addressed in new
paragraph (d).
    We are adding a new Sec.  165.164(b) to define terms used in the
regulation. The content of existing paragraph (b) is being moved to
paragraph (c).
    We are adding a new Sec.  165.164(d) to describe how and when each
regulated navigation area or security zone will be enforced, and how
the public will be notified that enforcement is in effect.
    Finally, we are adding a new Sec.  165.164(e) to describe how
vessel operators may obtain permission to enter or operate within a
regulated navigation area or security zone.

D. Regulatory Analyses

    We developed this rule after considering numerous statutes and
executive orders related to rulemaking. Below we summarize our analyses
based on these statutes and executive orders.

1. Regulatory Planning and Review

    This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866, Regulatory Planning and Review, as
supplemented by Executive Order 13563, Improving Regulation and
Regulatory Review, and does not require an assessment of potential
costs and benefits under section 6(a)(3) of Executive Order 12866 or
under section 1 of Executive Order 13563. The Office of Management and
Budget has not reviewed it under those Orders.
    This determination is based on the limited time that vessels will
be restricted from the Randalls and Wards Islands RNA. The RNA will be
activated for approximately 60 minutes approximately six times per year
or when necessary. The Coast Guard expects minimal adverse impact to
mariners from the RNA's activation based on the limited duration of the
enforcement period, the limited geographic area affected and because
affected mariners may request authorization from the COTP or the
designated on-scene representative to transit the RNA.

2. Impact on Small Entities

    The Regulatory Flexibility Act of 1980 (RFA), 5 U.S.C. 601-612, as
amended, requires federal agencies to consider the potential impact of
regulations on small entities during rulemaking. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000. The Coast Guard received zero comments from the Small Business
Administration on this rule. The Coast Guard certifies under 5 U.S.C.
605(b) that this rule will not have a significant economic impact on a
substantial number of small entities.
    This rule will affect the following entities, some of which may be
small entities: The owners and operators of vessels intending to
transit or anchor in a portion of the East River or Bronx Kill, in the
vicinity of Randalls or Wards Islands, NY during the enforcement
periods.
    These RNAs will not have a significant economic impact on a
substantial number of small entities for the following reasons: The RNA
is of limited size and duration. Persons or vessels may request
permission to transit the RNA from the COTP or the designated on-scene
representative.
    Additionally, before and during the enforcement period, the Coast
Guard will issue maritime advisories widely available to users of the
waterway, including marine information broadcasts, and distribute a
written notice online at http://homeport.uscg.mil/newyork.

3. Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this rule. If the rule would affect your
small business, organization, or governmental jurisdiction and you have
questions concerning its provisions or options for compliance, please
contact the person listed in the FOR FURTHER INFORMATION CONTACT,
above.
    Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247). The Coast Guard will not retaliate against small
entities that question or complain about this rule or any policy or
action of the Coast Guard.

4. Collection of Information

    This rule will not call for a new collection of information under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

5. Federalism

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. We have analyzed this rule under that Order and determined
that this rule does not have implications for federalism.

6. Protest Activities

    The Coast Guard respects the First Amendment rights of protesters.
Protesters are asked to contact the person listed in the FOR FURTHER
INFORMATION CONTACT section to coordinate protest activities so that
your message can be received without jeopardizing the safety or
security of people, places or vessels.

7. Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this rule will not result in
such an expenditure, we do discuss the effects of this rule elsewhere
in this preamble.

8. Taking of Private Property

    This rule will not cause a taking of private property or otherwise
have taking implications under Executive Order 12630, Governmental
Actions and Interference with Constitutionally Protected Property
Rights.

9. Civil Justice Reform

    This rule meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988, Civil Justice Reform, to minimize litigation,
eliminate ambiguity, and reduce burden.

10. Protection of Children

    We have analyzed this rule under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. This rule
is not an economically significant rule and does not create an
environmental risk to health or risk to safety that may
disproportionately affect children.

11. Indian Tribal Governments

    This rule does not have tribal implications under Executive Order

13175, Consultation and Coordination with Indian Tribal Governments,
because it does not have a substantial direct effect on one or more
Indian tribes, on the relationship between the Federal Government and
Indian tribes, or on the distribution of power and responsibilities
between the Federal Government and Indian tribes.

12. Energy Effects

    This action is not a ``significant energy action'' under Executive
Order 13211, Actions Concerning Regulations That Significantly Affect
Energy Supply, Distribution, or Use.

13. Technical Standards

    This rule does not use technical standards. Therefore, we did not
consider the use of voluntary consensus standards.

14. Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have determined
that this action is one of a category of actions that do not
individually or cumulatively have a significant effect on the human
environment. This rule involves the establishment of an RNA and
revisions to current RNAs and security zones. This rule is
categorically excluded from further review under paragraph 34(g) of
Figure 2-1 of the Commandant Instruction. An environmental analysis
checklist supporting this determination and a Categorical Exclusion
Determination are available in the docket where indicated under
ADDRESSES.

List of Subjects in 33 CFR Part 165

    Harbors, Marine safety, Navigation (water), Reporting and
recordkeeping requirements, Security measures, Waterways.

    For the reasons discussed in the preamble, the Coast Guard amends
33 CFR part 165 as follows:

PART 165--REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREA

0
1. The authority citation for part 165 continues to read as follows:

    Authority:  33 U.S.C. 1231; 46 U.S.C. Chapter 701, 3306, 3703;
50 U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1, 6.04-6, 160.5; Pub. L.
107-295, 116 Stat. 2064; Department of Homeland Security Delegation
No. 0170.1.

0
2. Revise Sec.  165.164 to read as follows:

Sec.  165.164  Regulated Navigation Areas, Security Zones: Dignitary
Arrival/Departure and United Nations Meetings, New York, NY.

    (a) Location. The following areas are regulated navigation areas
(RNA) or security zones:
    (1) Wall Street Heliport RNA. All waters of the East River within
the following boundaries: East of a line drawn between approximate
position 40[deg]42[min]01[sec] N, 074[deg]00[min]39[sec] W (east of The
Battery) to 40[deg]41[min]36[sec] N, 074[deg]00[min]52[sec] W (point
north of Governors Island) and north of a line drawn from the point
north of Governors Island to the southwest corner of Pier 7 North,
Brooklyn; and south of a line drawn between 40[deg]42[min]14.8[sec] N,
074[deg]00[min]20.3[sec] W (Wall Street, Manhattan), and the northwest
corner of Pier 2 North, Brooklyn (NAD 1983).
    (2) Randalls and Wards Islands RNA: All waters of the East River
between the Hell Gate Rail Road Bridge (mile 8.2), and a line drawn
from a point at approximate position 40[deg]47[min]27.12[sec] N,
073[deg]54[min]35.14[sec] W (Lawrence Point, Queens) to a point at
approximate position 40[deg]47[min]52.55[sec] N,
073[deg]54[min]35.25[sec] W (Port Morris Stacks), and all waters of the
Bronx Kill southeast of the Bronx Kill Rail Road Bridge (mile 0.6) (NAD
1983).
    (3) Marine Air Terminal, La Guardia Airport Security Zone: All
waters of Bowery Bay, Queens, New York, south of a line drawn from the
western end of La Guardia Airport at approximate position
40[deg]46[min]47[sec] N, 073[deg]53[min]05[sec] W to the Rikers Island
Bridge at approximate position 40[deg]46[min]51[sec] N,
073[deg]53[min]21[sec] W and east of a line drawn between the point at
the Rikers Island Bridge to a point on the shore in Queens, New York,
at approximate position 40[deg]46[min]36[sec] N, 073[deg]53[min]31[sec]
W (NAD 1983).
    (4) United Nations Security Zone. All waters of the East River
bound by the following points: 40[deg]44[min]37[sec] N,
073[deg]58[min]16.5[sec] W (the base of East 35th Street, Manhattan),
then east to 40[deg]44[min]34.5[sec] N, 073[deg]58[min]10.5[sec] W
(about 180 yards offshore of Manhattan), then northeasterly to
40[deg]45[min]29[sec] N, 073[deg]57[min]26.5[sec] W (about 125 yards
offshore of Manhattan at the Queensboro Bridge), then northwesterly to
40[deg]45[min]31[sec] N, 073[deg]57[min]30.5[sec] W (Manhattan
shoreline at the Queensboro Bridge), then southerly along the shoreline
to the starting point at 40[deg]44[min]37[sec] N,
073[deg]58[min]16.5[sec] W (NAD 1983).
    (5) United Nations West Channel Closure Security Zone. All waters
of the East River north of a line drawn from approximate position
40[deg]44[min]37[sec] N, 073[deg]58[min]16.5[sec] W (the base of East
35th Street, Manhattan), to approximate position
40[deg]44[min]31.04[sec] N, 073[deg]58[min]03.10[sec] W (approximately
400 yards east of the Manhattan shoreline), all waters west of a line
drawn from approximate position 40[deg]44[min]31.04[sec] N,
073[deg]58[min]03.10[sec] W (approximately 400 yards east of the
Manhattan shoreline), to the southern tip of Roosevelt Island at
approximate position 40[deg]44[min]57.96[sec] N,
073[deg]57[min]41.57[sec] W, then along the western shoreline of
Roosevelt Island to the Queensboro Bridge, and all waters south of the
Queensboro Bridge (NAD 1983).
    (6) United Nations Full River Closure RNA. All waters of the East
River north of a line drawn from approximate position
40[deg]44[min]37[sec] N, 073[deg]58[min]16.5[sec] W (the base of East
35th Street, Manhattan), to approximate position 40[deg]44[min]23[sec]
N, 073[deg]57[min]44.5[sec] W (Hunters Point, Long Island City), and
south of the Queensboro Bridge (NAD 1983).
    (b) Definitions. As used in this section--
    Designated representative means any Coast Guard commissioned,
warrant, or petty officer who has been designated by the COTP to act on
the COTP's behalf. The designated representative may be on a Coast
Guard vessel, or onboard a federal, state, or local agency vessel that
is authorized to act in support of the Coast Guard.
    Dignitary means the President or Vice President of the United
States, or visiting heads of foreign states or governments.
    (c) Regulations. In accordance with the general regulations in 33
CFR part 165, no person or vessel may enter or move within a RNA or
security zone created by this section during enforcement periods unless
granted permission to do so by the COTP New York or the designated
representative. Vessel operators and persons given permission to enter
or operate in the RNA or security zone must comply with all directions
given to them by the COTP or the designated representative. Upon being
hailed by a U.S. Coast Guard or New York City police vessel by siren,
radio, flashing lights, or other means, the operator of a vessel must
proceed as directed, and follow any instructions to anchor or moor up
to a waterfront facility.
    (d) Enforcement. The security zone described in paragraph (a)(4) of
this section is effective and will be enforced at all times. Coast
Guard Sector New York will provide actual notice to mariners for the
purpose of enforcement for the regulated navigation areas and security
zones described in paragraphs (a)(1), (a)(2), (a)(3), (a)(5), and
(a)(6). The Captain of the Port will also provide notice to the
maritime public regarding

the activation of these RNAs and security zones by appropriate means,
which may include but are not limited to a Local Notice to Mariners or
marine information broadcasts, and at http://homeport.uscg.mil/newyork.
    (e) Contact Information. Vessel operators desiring to enter or
operate within a RNA or security zone shall telephone the COTP at (718)
354-4356 or the designated representative via VHF channel 16 to obtain
permission to do so.

    Dated: August 7, 2013.
D.B. Abel,
Rear Admiral, U.S. Coast Guard, Commander, First Coast Guard District.
[FR Doc. 2013-21171 Filed 8-29-13; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 77, Number 93 (Monday, May 14, 2012)]
[Notices]
[Pages 28417-28419]
[FR Doc No: 2012-11532]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-66940; File No. SR-CME-2012-14]

Self-Regulatory Organizations; Chicago Mercantile Exchange, Inc.;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend the Fee Schedule Applicable to OTC S&P GSCI-ER Swaps Contracts

May 8, 2012.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934

(``Act''),\1\ and Rule 19b-4 \2\ thereunder, notice is hereby given
that on April 25, 2012, Chicago Mercantile Exchange, Inc. (``CME'')
filed with the Securities and Exchange Commission (``Commission'') the
proposed rule change described in Items I, II and III, below, which
Items have been prepared primarily by CME. CME filed the proposed rule
change pursuant to Section 19(b)(3)(A)(ii) \3\ of the Act and Rule 19b-
4(f)(2) \4\ thereunder, so that the proposed rule change was effective
upon filing with the Commission. The Commission is publishing this
notice to solicit comments on the proposed rule change from interested
parties.
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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)(ii).
    \4\ 17 CFR 240.19b-4(f)(2).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    CME is proposing to amend the fee schedule that currently applies
to its OTC S&P GSCI-ER swaps clearing offering.

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

    In its filing with the Commission, CME 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. CME has prepared summaries, set forth in sections A, B,
and C below, of the most significant aspects of these statements.\5\
---------------------------------------------------------------------------

    \5\ The Commission has modified the text of the summaries
prepared by CME.
---------------------------------------------------------------------------

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

    CME currently offers clearing for certain OTC swap products. CME
proposes to change the fee structure for cleared swap contracts in S&P
GSCI-ER, S&P GSCI Gold ER, S&P GSCI Crude Oil ER, S&P GSCI-ER 2 Month
Forward and S&P GSCI ER 3 Month Forward. As the proposed changes relate
to fees, they became effective when they were filed on April 25, 2012.
CME applied the new fee structure, however, only to contract months
with a trade date of May 1, 2012 or later.
    Currently, fees for these OTC swap products are assessed as a
portion (.0005 annually) of the notional value of the open positions in
the contracts. This contrasts with the flat fees CME charges on futures
and options on futures products. CME believes the marketplace would
prefer a fee structure for OTC swap products that charges fees on a per
contract basis. This type of fee structure is also easier to support
from an operational standpoint. CME expects this change will attract
additional interest and liquidity in these products.
    CME has also certified the proposed rule changes that are the
subject of this filing to its primary regulator, the Commodity Futures
Trading Commission (``CFTC''), in CME Submission 12-119.
    The proposed CME rule amendments establish or change a member due,
fee or other charge imposed by CME under Section 19(b)(3)(A)(ii) of the
Act and Rule 19b-4(f)(2) thereunder. CME believes that the proposed
rule change is consistent with the requirements of the Act and the
rules and regulations thereunder, particularly, Section
17A(b)(3)(D),\6\ in that the proposed rule change provides for the
equitable allocation of reasonable dues, fees, and other charges among
participants. CME notes that it operates in a highly competitive market
in which market participants can readily direct business to competing
venues.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78q-1(b)(3)(D).
---------------------------------------------------------------------------

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

    CME does not believe the proposed rule change will have any impact
or impose any burden on competition.

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

    CME has not solicited, and does not intend to solicit, comments
regarding this proposed rule change. CME has not received any
unsolicited written comments from interested parties. CME will notify
the Commission of any written comments received by CME.

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

    The foregoing proposed rule change was filed pursuant to Section
19(b)(3)(A)(ii) \7\ of the Act and Rule 19b-4(f)(2) \8\ thereunder, and
thus became effective upon filing because it establishes or changes a
due, fee, or other charge applicable only to a member. At any time
within 60 days after 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.
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    \7\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \8\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

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 may be submitted by using the
Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml), or by sending an email to<EMAIL_ADDRESS>Please
include File No. SR-CME-2012-14 on the subject line.
     Paper comments should be sent in triplicate to Elizabeth
M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street
NE., Washington, DC 20549-1090.

All submissions should refer to File Number SR-CME-2012-14. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such filing also will be available
for inspection and copying at the principal office of CME, and on CME's
Web site at http://www.cmegroup.com/market-regulation/files/SEC_19b-4_12-14.pdf. All comments received will be posted without change; the
Commission does not edit personal identifying information from
submissions. You should submit only information that you wish to make
available publicly.

    All submissions should refer to File Number SR-CME-2012-14 and
should be submitted on or before June 4, 2012.
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    \9\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and markets,
pursuant to delegated authority.\9\
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-11532 Filed 5-11-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 204 (Friday, October 21, 2011)]
[Notices]
[Pages 65504-65505]
[FR Doc No: 2011-27225]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RD11-10-000]

Proposed Agency Information Collection

AGENCY: Federal Energy Regulatory Commission, DOE.

ACTION: Notice and Request for Comments

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SUMMARY: The Federal Energy Regulatory Commission (Commission) invites
public comment in Docket No. RD11-10-000 on a proposed collection of
information that the Commission is developing for submission to the
Office of Management and Budget (OMB) pursuant to the Paperwork
Reduction Act of 1995. Comments are invited on: (a) Whether the
proposed collection of information is necessary for the proper
performance of the functions of the agency, including whether the
information shall have practical utility; (b) the accuracy of the
agency's estimate of the burden of the proposed collection of
information, including the validity of the methodology and assumptions
used; (c) ways to enhance the quality, utility, and clarity of the
information to be collected; and (d) ways to minimize the burden of the
collection of information on respondents, including through the use of
automated collection techniques or other forms of information
technology.

DATES: Comments regarding this proposed information collection must be
received on or before December 20, 2011.

ADDRESSES: Comments, identified by docket number, may be filed in the
following ways:
     Electronic Filing through http://www.ferc.gov. Documents
created electronically using word processing software should be filed
in native applications or print-to-PDF format and not in a scanned
format.
     Mail/Hand Delivery: Those unable to file electronically
may mail or hand-deliver an original of their comments to: Federal
Energy Regulatory Commission, Secretary of the Commission, 888 First
Street, NE., Washington, DC 20426.

FOR FURTHER INFORMATION CONTACT: Ellen Brown may be reached by e-mail
at<EMAIL_ADDRESS>telephone at<PHONE_NUMBER>, and fax at
(202) 273-0873.

SUPPLEMENTARY INFORMATION: The proposed information collection in
Docket No. RD11-10-000 relates to a proposed Reliability Standard, FAC-
008-3--Facility Ratings, developed by the North American Electric
Reliability Corporation (NERC), and submitted to the Commission for
approval. NERC's petition related to proposed Reliability Standard FAC-
008-3 is pending before the Commission. The proposed Reliability
Standard modifies the currently effective version Reliability Standard
FAC-008-1 and subsumes Reliability Standard FAC-009-1. Concurrent with
the effectiveness of FAC-008-3, Reliability Standards FAC-008-1 and
FAC-009-1 will be retired. The information collection requirements
contained in Reliability Standards FAC-008 and FAC-009 are contained in

FERC-725A (OMB Control Number 1902-0244).
    There is a net increase in information collection and reporting
that would result from implementing proposed Reliability Standard FAC-
008-3 and retiring the two superseded Reliability Standards. The
breakdown is as follows:

----------------------------------------------------------------------------------------------------------------
                                                                Additional reporting    Additional recordkeeping
            FAC-008-3                     Applies to:         beyond FAC-008-1 and FAC-   beyond  FAC-008-1 and
                                                                        009-1                   FAC-009-1
----------------------------------------------------------------------------------------------------------------
R1...............................  Generator owners.........  None, this requirement    Retention period
                                                               is derived from R1 of     increased by 2 years.
                                                               FAC-008-1.
R2...............................  Generator owners.........  None, this requirement    Retention period
                                                               is derived from R1 of     increased by 2 years.
                                                               FAC-008-1.
R3...............................  Transmission owners......  None, this requirement    Retention period
                                                               is derived from R1 of     increased by 2 years.
                                                               FAC-008-1.
R4...............................  Generator owners and       None, this requirement    Retention period
                                    Transmission owners.       is derived from R2 of     increased by 2 years.
                                                               FAC-008-1.
R5...............................  Generator owners and       None, this requirement    Retention period
                                    Transmission owners.       is derived from R3 of     increased by 2 years.
                                                               FAC-008-1.
R6...............................  Generator owners and       None, this requirement    Retention period
                                    Transmission owners.       is derived from R1 of     increased by 2 years.
                                                               FAC-008-1.
R7...............................  Generator owners.........  None, this requirement    Retention period
                                                               is derived from R2 of     increased by 2 years.
                                                               FAC-008-1.
R8...............................  Generator owners that are  Newly added reporting of  New retention period of
                                    subject to R2 and          the next most limiting    3 years.
                                    Transmission owners.       equipment and the
                                                               thermal rating for the
                                                               next most limiting
                                                               equipment.
----------------------------------------------------------------------------------------------------------------

    Burden Statement: Public reporting burden for this proposed
collection is estimated as:

----------------------------------------------------------------------------------------------------------------
                                      Number of respondents per      Number of       Hours per
Additional proposed burden in FERC-  compliance registry summary   responses per  respondent per   Total annual
                725A                    as of August 29, 2011       respondent       response          hours
                                     (A)........................             (B)             (C)     (A x B x C)
----------------------------------------------------------------------------------------------------------------
Report the next most limiting        83 \1\ Generator owners....               1              80           6,640
 equipment and the thermal rating
 for the next most limiting
 equipment.
Report the next most limiting        342 Transmission owners....               1          \2\ 20           6,840
 equipment and the thermal rating
 for the next most limiting
 equipment.
Increase in retention time by 2      833 Generator owners.......               1               2           1,666
 years for R1 through R7.
Increase in retention time by 2      342 Transmission owners....               1               2             684
 years for R1 through R7.
Compliance sub-total...............  ...........................  ..............  ..............          13,480
Recordkeeping sub-total............  ...........................  ..............  ..............           2,350
                                    ----------------------------------------------------------------------------
    Total..........................  ...........................  ..............  ..............          15,830
----------------------------------------------------------------------------------------------------------------

    Estimated  cost burden to respondents is $1,683,400; [i.e., (13,480
hours @ $120 an hour (compliance cost)) + (2,350 hours @ $28 an hour
(recordkeeping cost))]. The reporting burden includes the total time,
effort, or financial resources expended to generate, maintain, retain,
or disclose or provide the information including: (1) Reviewing
instructions; (2) developing, acquiring, installing, and utilizing
technology and systems for the purposes of collecting, validating,
verifying, processing, maintaining, disclosing and providing
information; (3) adjusting the existing ways to comply with any
previously applicable instructions and requirements; (4) training
personnel to respond to a collection of information; (5) searching data
sources; (6) completing and reviewing the collection of information;
and (7) transmitting, or otherwise disclosing the information.
---------------------------------------------------------------------------

    \1\ Requirement R8 applies to generator owners that own
facilities between the step-up transformer and the point of
interconnection. We estimate that 10% of all NERC registered
generator owners own such facilities.
    \2\ Transmission Owner estimate based on the supplemental work
required to report the next most limiting equipment and assumes all
prerequisite work was performed in compliance with currently
effective Reliability Standard FAC-008-1.
---------------------------------------------------------------------------

    The estimate of cost for respondents is based upon salaries for
professional and clerical support, as well as direct and indirect
overhead costs. Direct costs include all costs directly attributable to
providing this information, such as administrative costs and the cost
for information technology. Indirect or overhead costs are costs
incurred by an organization in support of its mission. These costs
apply to activities which benefit the whole organization rather than
any particular function or activity.

    Dated: October 13, 2011.
 Kimberly D. Bose,
Secretary.
[FR Doc. 2011-27225 Filed 10-20-11; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: December 1, 2008 (Volume 73, Number 231)]
[Notices]
[Page 72872]
[DOCID:fr01de08-129]

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SECURITIES AND EXCHANGE COMMISSION

Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.

Extension:
    Form N-17f-2; SEC File No. 270-317; OMB Control No. 3235-0360.

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 350l et seq.), the Securities and Exchange
Commission (the ``Commission'') is soliciting comments on the
collection of information summarized below. The Commission plans to
submit this existing collection of information to the Office of
Management and Budget for extension and approval.
    Form N-17f-2 (17 CFR 274.220) under the Act is entitled
``Certificate of Accounting of Securities and Similar Investments in
the Custody of Management Investment Companies.'' Form N-17f-2 is the
cover sheet for the accountant examination certificates filed under
rule 17f-2 (17 CFR 270.17f-2) by registered management investment
companies (``funds'') maintaining custody of securities or other
investments. Form N-17f-2 facilitates the filing of the accountant's
examination certificates prepared under rule 17f-2. The use of the form
allows the certificates to be filed electronically, and increases the
accessibility of the examination certificates to both the Commission's
examination staff and interested investors by ensuring that the
certificates are filed under the proper Commission file number and the
correct name of a fund.
    Commission staff estimates that on an annual basis it takes: (i) On
average 1.25 hours of fund accounting personnel at a total cost of
$188.75 to prepare each Form N-17f-2; \1\ and (ii) .75 hours of
clerical time at a total cost of $48.75 to file the Form N-17f-2 with
the Commission.\2\ Approximately 300 funds currently file Form N-17f-2
with the Commission, and each fund is required to make three filings
annually for a total annual hourly burden per fund of approximately 6
hours at a total cost of $712.50. The total annual hour burden for Form
N-17f-2 is therefore estimated to be approximately 1800 hours. Based on
the total annual costs per fund listed above, the total cost of Form N-
17f-2's collection of information requirements is estimated to be
approximately $213,750.\3\
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    \1\ This estimate is based on the following calculation: 1.25 x
$151 (fund senior accountant's hourly rate) = $188.75.
    \2\ This estimate is based on the following calculation: 75 x
$65 (secretary hourly rate) = $48.75.
    \3\ This estimate is based on the following calculation: 300
funds x $712.50 (total annual cost per fund) = $213,750.
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    The estimate of average burden hours is made solely for the
purposes of the Paperwork Reduction Act, and is not derived from a
comprehensive or even a representative survey or study of the costs of
Commission rules and forms. Complying with the collections of
information required by Form N-17f-2 is mandatory for those funds that
maintain custody of their own assets. Responses will not be kept
confidential. An agency may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless it displays
a currently valid control number.
    The Commission requests written comments on: (a) Whether the
collection of information is necessary for the proper performance of
the functions of the Commission, including whether the information has
practical utility; (b) the accuracy of the Commission's estimate of the
burdens of the collection of information; (c) ways to enhance the
quality, utility, and clarity of the information collected; and (d)
ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
    Please direct your written comments to Lewis W. Walker, Acting
Director/CIO, Securities and Exchange Commission, c/o Shirley
Martinson, 6432 General Green Way, Alexandria, VA 22312; or send an e-
mail to<EMAIL_ADDRESS>
    Dated: November 20, 2008.
Florence E. Harmon,
Acting Secretary.
 [FR Doc. E8-28427 Filed 11-28-08; 8:45 am]

BILLING CODE 8011-01-P