UNITED STATES ENVIRONMENTAL PROTECTION AGENCY                NATIONAL VEHICLE AND FUEL EMISSIONS LABORATORY
                              2565 PLYMOUTH ROAD
                        ANN ARBOR, MICHIGAN 48105-2498

                                   OFFICE OF
                               AIR AND RADIATION

MEMORANDUM

SUBJECT:	Emissions Summary Files for Final Heavy Duty GHG Phase 2 Standards

FROM:	Margaret Zawacki
		Assessment and Standards Division, Office of Transportation and Air Quality

		Alison Eyth and Jeff Vukovich
     		Emissions Inventory and Analysis Group, Office of Air Quality Planning and Standards

TO:		Docket EPA-HQ-OAR-2014-0827

DATE:		July 19, 2016

The purpose of this memorandum is to transmit emissions summary files for the inventories used in the air quality modeling for the Final Heavy Duty GHG Phase 2 standards.  The emissions modeling analyses are discussed in the Emissions Inventory for Air Quality Modeling Technical Support Document: Final Heavy Duty GHG Phase 2 Standards.  Following is a brief description of the information contained in the files.

The files contain county level delimited summaries for criteria pollutants and select hazardous air pollutants (e.g. benzene, acetaldehyde, formaldehyde, acrolein, 1,3-butadiene, ethanol, naphthalene) by emissions modeling sector for the scenarios listed below.  Summaries are included by month using average day emissions and separately with annual totals for the following scenarios: 2011 baseline, 2040 reference case, and 2040 control case.

The files are named "2011ei_2040ei_ref_ctl_county_sector_report.xlsx" and "2011ei_2040ei_ref_ctl_onroad_county_extended_idle_report.xlsx".


[Federal Register Volume 76, Number 240 (Wednesday, December 14, 2011)]
[Notices]
[Page 77877]
[FR Doc No: 2011-32067]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-65917; File No. SR-Phlx-2011-143]

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of
Withdrawal of Proposed Rule Change To Modify Commentary .01 to Rule
1009 Regarding Criteria for Listing an Option on an Underlying Covered
Security

December 8, 2011.
    On October 24, 2011, NASDAQ OMX PHLX LLC (``Phlx'') filed with the
Securities and Exchange Commission (``Commission'') a proposed rule
change pursuant to Section 19(b)(1) of the Securities Exchange Act of
1934 \1\ and Rule 19b-4 thereunder \2\ to amend Commentary .01 to Rule
1009 to modify the criteria for listing options on an underlying
covered security. Notice of the proposed rule change was published in
the Federal Register on November 14, 2011.\3\ The Commission received
two comment letters on the proposed rule change.\4\ On December 2,
2011, Phlx withdrew the proposed rule change (SR-Phlx-2011-143).
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 65706 (November 8,
2011), 76 FR 70520.
    \4\ See letters to Elizabeth M. Murphy, Secretary, Commission,
from Jenny L. Klebes, Senior Attorney, Legal Division, Chicago Board
Options Exchange, dated November 25, 2011; and Janet McGinness,
Senior Vice President--Legal & Corporate Secretary, Legal &
Government Affairs, NYSE Euronext, dated December 1, 2011.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\5\
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    \5\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2011-32067 Filed 12-13-11; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 226 (Friday, November 23, 2012)]
[Rules and Regulations]
[Pages 70121-70122]
[FR Doc No: 2012-28329]

=======================================================================
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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-R05-OAR-2007-1102; EPA-R05-OAR-2008-0782; FRL-9753-7]

Approval and Promulgation of Air Quality Implementation Plans;
Ohio; PBR and PTIO

AGENCY: Environmental Protection Agency (EPA).

ACTION: Withdrawal of direct final rule.

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SUMMARY: Due to the approval of certain terms that were not meant to be
approved, EPA is withdrawing the October 1, 2012 direct final rule
approving a revision to the Ohio State Implementation Plan (SIP). EPA
will address the revision in a subsequent final action based upon the
proposed rulemaking action, which was also published on October 1,
2012. EPA does not expect to institute a second comment period on this
action.

DATES: The direct final rule published at 77 FR 59751 on October 1,
2012, is withdrawn as of November 23, 2012.

FOR FURTHER INFORMATION CONTACT: Kaushal Gupta, Environmental Engineer,
Air Permits Section, Air Programs Branch (AR-18J), Environmental
Protection Agency, Region 5, 77 West Jackson Boulevard, Chicago,
Illinois 60604,<PHONE_NUMBER><EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: EPA is withdrawing the October 1, 2012
direct final rule (77 FR 59751) approving six Permit-by-Rule (PBR)
provisions, a Permit to Install and Operate (PTIO) program, two
permanent exemptions from the Permit to Install (PTI) requirement and a
general permit program as additions to Ohio's SIP. After publication of
the direct final rule, it came to EPA's attention that the following
had been inadvertently included in the rulemaking action:
     The SIP revision classified municipal incinerators capable
of charging more than 250 tons of refuse per day as having a major
stationary source emission threshold of 100 tons per year or more. Ohio
Administrative Code (OAC) 3745-31-01(LLL)(2)(ix).
     The SIP revision allowed Director's discretion for
complying with the public participation notification requirements for
Federal Land Managers. OAC 3745-31-06(H)(2)(d).
     The SIP revision allowed Director's discretion and
specific exemptions with regard to preconstruction activities. OAC
3745-31-33.
    EPA did not intend to act on the above provisions when approving
the PBR and PTIO rules and is therefore withdrawing the direct final
rule. EPA will publish a subsequent final action based upon the
proposed rulemaking action, also published on October 1, 2012 (77 FR
59879), that excludes the above provisions. EPA does not expect to
institute a second comment period on this action.

List of Subjects in 40 CFR Part 52

    Environmental protection, Air pollution control, Incorporation by
reference, Intergovernmental relations, Reporting and recordkeeping
requirements.

    Authority: 42 U.S.C. 7401 et seq.

    Dated: November 8, 2012.
Susan Hedman,
Regional Administrator, Region 5.

PART 52---[AMENDED]

    Accordingly, the amendments to 40 CFR 52.1870 published in the
Federal Register on October 1, 2012 (77 FR 59751) on pages 59754-59755
are withdrawn as of November 23, 2012.

[FR Doc. 2012-28329 Filed 11-21-12; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 83, Number 240 (Friday, December 14, 2018)]
[Notices]
[Pages 64382-64383]
[FR Doc No: 2018-27094]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-401, OMB Control No. 3235-0459]

Proposed Collection; Comment Request

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

Extension:
    Rule 3a-4.

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 350l-3520), 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.
    Rule 3a-4 (17 CFR 270.3a-4) under the Investment Company Act of
1940 (15 U.S.C. 80a) (``Investment Company Act'' or ``Act'') provides a
nonexclusive safe harbor from the definition of investment company
under the Act for certain investment advisory programs. These programs,
which include ``wrap fee'' programs, generally are designed to provide
professional portfolio management services on a discretionary basis to
clients who are investing less than the minimum investments for
individual accounts usually required by the investment adviser but more
than the minimum account size of most mutual funds. Under wrap fee and
similar programs, a client's account is typically managed on a
discretionary basis according to pre-selected investment objectives.
Clients with similar investment objectives often receive the same
investment advice and may hold the same or substantially similar
securities in their accounts. Because of this similarity of management,
some of these investment advisory programs may meet the

definition of investment company under the Act.
    In 1997, the Commission adopted rule 3a-4, which clarifies that
programs organized and operated in accordance with the rule are not
required to register under the Investment Company Act or comply with
the Act's requirements.\1\ These programs differ from investment
companies because, among other things, they provide individualized
investment advice to the client. The rule's provisions have the effect
of ensuring that clients in a program relying on the rule receive
advice tailored to the client's needs.
---------------------------------------------------------------------------

    \1\ Status of Investment Advisory Programs Under the Investment
Company Act of 1940, Investment Company Act Rel. No. 22579 (Mar. 24,
1997) [62 FR 15098 (Mar. 31,1997)] (``Adopting Release''). In
addition, there are no registration requirements under section 5 of
the Securities Act of 1933 for programs that meet the requirements
of rule 3a-4. See 17 CFR 270.3a-4, introductory note.
---------------------------------------------------------------------------

    For a program to be eligible for the rule's safe harbor, each
client's account must be managed on the basis of the client's financial
situation and investment objectives and in accordance with any
reasonable restrictions the client imposes on managing the account.
When an account is opened, the sponsor \2\ (or its designee) must
obtain information from each client regarding the client's financial
situation and investment objectives, and must allow the client an
opportunity to impose reasonable restrictions on managing the
account.\3\ In addition, the sponsor (or its designee) must contact the
client annually to determine whether the client's financial situation
or investment objectives have changed and whether the client wishes to
impose any reasonable restrictions on the management of the account or
reasonably modify existing restrictions. The sponsor (or its designee)
must also notify the client quarterly, in writing, to contact the
sponsor (or its designee) regarding changes to the client's financial
situation, investment objectives, or restrictions on the account's
management.
---------------------------------------------------------------------------

    \2\ For purposes of rule 3a-4, the term ``sponsor'' refers to
any person who receives compensation for sponsoring, organizing or
administering the program, or for selecting, or providing advice to
clients regarding the selection of, persons responsible for managing
the client's account in the program.
    \3\ Clients specifically must be allowed to designate securities
that should not be purchased for the account or that should be sold
if held in the account. The rule does not require that a client be
able to require particular securities be purchased for the account.
---------------------------------------------------------------------------

    Additionally, the sponsor (or its designee) must provide each
client with a quarterly statement describing all activity in the
client's account during the previous quarter. The sponsor and personnel
of the client's account manager who know about the client's account and
its management must be reasonably available to consult with the client.
Each client also must retain certain indicia of ownership of all
securities and funds in the account.
    The Commission staff estimates that 19,618,731 clients participate
each year in investment advisory programs relying on rule 3a-4.\4\ Of
that number, the staff estimates that 3,531,372 are new clients and
16,087,359 are continuing clients.\5\ The staff estimates that each
year the investment advisory program sponsors' staff engage in 1.5
hours per new client and 1 hour per continuing client to prepare,
conduct and/or review interviews regarding the client's financial
situation and investment objectives as required by the rule.\6\
Furthermore, the staff estimates that each year the investment advisory
program sponsors' staff spends 1 hour per client to prepare and mail
quarterly client account statements, including notices to update
information.\7\ Based on the estimates above, the Commission estimates
that the total annual burden of the rule's paperwork requirements is
41,003,148 hours.\8\
---------------------------------------------------------------------------

    \4\ These estimates are based on an analysis of the number of
individual clients from Form ADV Item 5D(a)(1) and (b)(1) of
advisers that report they provide portfolio management to wrap
programs as indicated in Form ADV Item 5I(2)(b) and (c), and the
number of individual clients of advisers that identify as internet
advisers in Form ADV Item 2A(11). From analysis comparing reported
individual client assets in Form ADV Item 5D(a)(3) and 5D(b)(3) to
reported wrap portfolio manager assets in Form ADV Item 5I(2)(b) and
(c), we discount the estimated number of individual clients of non-
internet advisers providing portfolio management to wrap programs by
10%. These estimates are based on the number of new clients expected
due to average year-over-year growth in individual clients from Form
ADV Item 5D(a)(1) and (b)(1) (about 8%) and an assumed rate of
yearly client turnover of 10%.
    \5\ These estimates are based on the number of new clients
expected due to average year-over-year growth in individual clients
from Form ADV Item 5D(a)(1) and (b)(1) (about 8%) and an assumed
rate of yearly client turnover of 10%.
    \6\ These estimates are based upon consultation with investment
advisers that operate investment advisory programs that rely on rule
3a-4.
    \7\ The staff bases this estimate in part on the fact that, by
business necessity, computer records already will be available that
contain the information in the quarterly reports.
    \8\ This estimate is based on the following calculation:
(16,087,359 continuing clients x 1 hour) + (3,531,372 new clients x
1.5 hours) + (19,618,731 total clients x (0.25 hours x 4
statements)) = 41,003,148 hours. We note that the breakdown of
burden hours between professional and staff time discussed below may
not equal the estimate of total burden hours due to rounding.
---------------------------------------------------------------------------

    The estimate of average burden hours is made solely for the
purposes of the Paperwork Reduction Act. The estimate is not derived
from a comprehensive or even a representative survey or study of the
costs of Commission rules and forms. 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.
    Written comments are invited on: (a) Whether the collections of
information are 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 collections of information; (c) ways to enhance the quality,
utility, and clarity of the information collected; and (d) ways to
minimize the burdens of the collections 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 Charles Riddle, Acting
Director/Chief Information Officer, Securities and Exchange Commission,
C/O Candace Kenner, 100 F Street NE, Washington, DC 20549; or send an
email to<EMAIL_ADDRESS>
    Dated: December 10, 2018.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2018-27094 Filed 12-13-18; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 86, Number 194 (Tuesday, October 12, 2021)]
[Notices]
[Pages 56701-56702]
[FR Doc No: 2021-22126]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER22-12-000]

Puckett Solar, LLC; Supplemental Notice That Initial Market-Based
Rate Filing Includes Request for Blanket Section 204 Authorization

    This is a supplemental notice in the above-referenced proceeding of
Puckett Solar, LLC's application for market-based rate authority, with
an accompanying rate tariff, noting that such application includes a
request for blanket authorization, under 18 CFR part 34, of future
issuances of securities and assumptions of liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888

First Street NE, Washington, DC 20426, in accordance with Rules 211 and
214 of the Commission's Rules of Practice and Procedure (18 CFR 385.211
and 385.214). Anyone filing a motion to intervene or protest must serve
a copy of that document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is October 25, 2021.
    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 may mail similar pleadings to
the Federal Energy Regulatory Commission, 888 First Street NE,
Washington, DC 20426. Hand delivered submissions in docketed
proceedings should be delivered to Health and Human Services, 12225
Wilkins Avenue, Rockville, Maryland 20852.
    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 the Commission's Home Page (http://www.ferc.gov) using
the ``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. At this time,
the Commission has suspended access to the Commission's Public
Reference Room, due to the proclamation declaring a National Emergency
concerning the Novel Coronavirus Disease (COVID-19), issued by the
President on March 13, 2020. For assistance, contact the Federal Energy
Regulatory Commission at [email protected] or call toll-free,
(886) 208-3676 or TYY,<PHONE_NUMBER>.

    Dated: October 5, 2021.
Kimberly D. Bose,
Secretary.
[FR Doc. 2021-22126 Filed 10-8-21; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 85, Number 193 (Monday, October 5, 2020)]
[Notices]
[Page 62723]
[FR Doc No: 2020-21951]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. OR20-13-000]

Enerplus Resources (USA) Corporation v. Targa Badlands LLC, Targa
Assets LLCm Targa Fort Berthold LLC; Notice of Complaint

    Take notice that on September 28, 2020, pursuant to sections 306,
and 309 of the Federal Power Act, 16 U.S.C. 825e, and 825h, and Rule
206 of the Federal Energy Regulatory Commission's (Commission) Rules of
Practice and Procedure, 18 CFR 385.206, Enerplus Resources (USA)
Corporation (Complainant) filed a formal complaint against Targa
Badlands LLC, Targa Assets LLC and, Targa Fort Berthold LLC
(Respondents), challenging the lawfulness of the rates charged by Targa
Badlands LLC, Targa Assets LLC and Targa Fort Berthold LLC, all as more
fully explained in the complaint.
    The Complainant certifies that copies of the complaint were served
on the contacts listed for Respondents in the Commission's list of
Corporate Officials.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211, 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. The Respondent's
answer and all interventions, or protests must be filed on or before
the comment date. The Respondent's answer, motions to intervene, and
protests must be served on the Complainants.
    The Commission strongly encourages electronic filings of comments,
protests and interventions in lieu of paper using the ``eFiling'' link
at http://www.ferc.gov. Persons unable to file electronically may mail
similar pleadings to the Federal Energy Regulatory Commission, 888
First Street NE, Washington, DC 20426. Hand delivered submissions in
docketed proceedings should be delivered to Health and Human Services,
12225 Wilkins Avenue, Rockville, Maryland 20852.
    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 the Commission's Home Page (http://ferc.gov) using the
``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. At this time,
the Commission has suspended access to the Commission's Public
Reference Room, due to the proclamation declaring a National Emergency
concerning the Novel Coronavirus Disease (COVID-19), issued by the
President on March 13, 2020. For assistance, contact the Federal Energy
Regulatory Commission at<EMAIL_ADDRESS>or call toll-free,
(886) 208-3676 or TYY,<PHONE_NUMBER>.
    Comment Date: 5:00 p.m. Eastern Time on October 19, 2020.

    Dated: September 29, 2020.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2020-21951 Filed 10-2-20; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: July 24, 2006 (Volume 71, Number 141)]
[Notices]
[Page 41789]
[DOCID:fr24jy06-57]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP06-433-000]

CenterPoint Energy Gas Transmission Company; Notice of Proposed
Changes in FERC Gas Tariff

July 14, 2006.
    Take notice that on July 12, 2006, CenterPoint Energy Gas
Transmission Company (CEGT) tendered for filing as part of its FERC Gas
Tariff, Sixth Revised Volume No. 1, the tariff sheets listed on
Appendix A to be effective September 1, 2006. CEGT states that the
purpose of this filing is to amend various provisions of its Tariff,
including Forms of Service Agreements, to provide for a more
streamlined contracting process for its Shippers. Additionally, CEGT is
proposing to make certain clarifying and ``housekeeping'' changes.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211 and 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed in accordance with the provisions of
section 154.210 of the Commission's regulations (18 CFR 154.210).
Anyone filing an intervention or protest must serve a copy of that
document on the Applicant. Anyone filing an intervention or protest on
or before the intervention or protest date need not serve motions to
intervene or protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov.
 Persons unable to file electronically should submit an

original and 14 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426.
    This filing is accessible online at http://www.ferc.gov, using the

``eLibrary'' link and is available for review in the Commission's
Public Reference Room in Washington, DC. There is an ``eSubscription''
link on the Web site that enables subscribers to receive e-mail
notification when a document is added to a subscribed docket(s). For
assistance with any FERC Online service, please e-mail
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For

TTY, call<PHONE_NUMBER>.

Magalie R. Salas,
Secretary.
[FR Doc. E6-11670 Filed 7-21-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 85, Number 121 (Tuesday, June 23, 2020)]
[Notices]
[Page 37650]
[FR Doc No: 2020-13444]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. AD20-9-000]

Hybrid Resources; Supplemental Notice of Technical Conference

    Take notice that the Federal Energy Regulatory Commission
(Commission) staff technical conference regarding projects that are
comprised of more than one resource type at the same plant location
(hybrid resources) will be held on Thursday, July 23, 2020 from
approximately 9:30 a.m. to 4:30 p.m. Eastern Time. The technical
conference will be held electronically. An additional supplemental
notice will be issued prior to the technical conference with further
details regarding the agenda and organization, as well as the details
for accessing the conference.
    The conference will be open for the public to attend
electronically. There is no fee for attendance. All individuals
interested in attending the conference must register by July 15.
Individuals may register for the conference here: https://www.ferc.gov/whats-new/registration/07-23-20-form.asp.
    Commission conferences are accessible under section 508 of the
Rehabilitation Act of 1973. For accessibility accommodations, please
send an email to<EMAIL_ADDRESS>or call toll free 1-866-208-
3372 (voice) or<PHONE_NUMBER> (TTY) or send a fax to<PHONE_NUMBER> with
the required accommodations.
    For more information about this technical conference, please
contact Kaitlin Johnson,<PHONE_NUMBER><EMAIL_ADDRESS>for
technical questions or Sarah McKinley,<PHONE_NUMBER>,
<EMAIL_ADDRESS>for logistical issues.

    Dated: June 16, 2020.
Kimberly D. Bose,
Secretary.
[FR Doc. 2020-13444 Filed 6-22-20; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 37 (Wednesday, February 25, 2015)]
[Notices]
[Pages 10121-10122]
[FR Doc No: 2015-03833]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2013-N-0878]

Agency Information Collection Activities; Submission for Office
of Management and Budget Review; Comment Request; Premarket
Notification for a New Dietary Ingredient

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA or we) is announcing
that a proposed collection of information has been submitted to the
Office of Management and Budget (OMB) for review and clearance under
the Paperwork Reduction Act of 1995 (the PRA).

DATES: Fax written comments on the collection of information by March
27, 2015.

ADDRESSES: To ensure that comments on the information collection are
received, OMB recommends that written comments be faxed to the Office
of Information and Regulatory Affairs, OMB, Attn: FDA Desk Officer,
FAX:<PHONE_NUMBER>, or emailed to<EMAIL_ADDRESS>All
comments should be identified with the OMB control number 0910-0330.
Also include the FDA docket number found in brackets in the heading of
this document.

FOR FURTHER INFORMATION CONTACT: FDA PRA Staff, Office of Operations,
Food and Drug Administration, 8455 Colesville Rd., COLE--14526, Silver
Spring, MD 20993-0002<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: In compliance with 44 U.S.C. 3507, FDA has
submitted the following proposed collection of information to OMB for
review and clearance.

Premarket Notification for a New Dietary Ingredient--21 CFR 190.6 (OMB
Control Number 0910-0330)--Extension

    Section 413(a) of the Federal Food, Drug, and Cosmetic Act (the
FD&C Act) (21 U.S.C. 350b(a)) provides that at least 75 days before the
introduction or delivery for introduction into interstate commerce of a
dietary supplement that contains a new dietary ingredient, the
manufacturer or distributor of the dietary supplement or of the new
dietary ingredient is to submit to us (as delegate for the Secretary of
Health and Human Services) information upon which the manufacturer or
distributor has based its conclusion that a dietary supplement
containing the new dietary ingredient will reasonably be expected to be
safe. FDA's implementing regulation, 21 CFR 190.6, requires this
information to be submitted to the Office of Nutrition, Labeling, and
Dietary Supplements (ONLDS) in the form of a notification. Under Sec.
190.6(b), the notification must include the following: (1) The name and
complete address of the manufacturer or distributor, (2) the name of
the new dietary ingredient, (3) a description of the dietary
supplement(s) that contain the new dietary ingredient, including the
level of the new dietary ingredient in the dietary supplement and the
dietary supplement's conditions of use, (4) the history of use or other
evidence of safety establishing that the new dietary ingredient will
reasonably be expected to be safe when used under the conditions
recommended or suggested in the labeling of the dietary supplement, and
(5) the signature of a responsible person designated by the
manufacturer or distributor.
    These premarket notification requirements are designed to enable us
to monitor the introduction into the marketplace of new dietary
ingredients and dietary supplements that contain new dietary
ingredients, in order to protect consumers from ingredients and
products whose safety is unknown. We use the information collected in
new dietary ingredient notifications to evaluate the safety of new
dietary ingredients in dietary supplements and to support regulatory
action against ingredients and products that are potentially unsafe.
    We are developing an electronic portal that interested persons will
be able to use to electronically submit their notifications to ONLDS
via FDA Unified Registration and Listing System (FURLS). Firms that
prefer to submit a paper notification in a format of their own choosing
will still have the option to do so, however. Form FDA 3880 prompts a
submitter to input the elements of a new dietary ingredient
notification (NDIN) in a standard format and helps the submitter
organize its NDIN to focus on the information needed for our safety
review. Safety information will be submitted via a supplemental form
entitled ``New Dietary Ingredient (NDI) Safety Information.'' This form
provides a standard format to describe the history of use or other
evidence of safety on which the manufacturer or distributor bases its
conclusion that the new dietary ingredient will be reasonably expected
to be safe under the conditions of use recommended or suggested in the
labeling of the dietary supplement, as well as related identity
information that is necessary to demonstrate safety by showing that the
new dietary ingredient and dietary supplement(s) that are the subject
of the notification are the same or similar to the ingredients and
products for which safety data and information have been provided.
Draft screenshots of Form FDA 3880 and the supplemental safety
information form are available for comment at http://www.fda.gov/Food/DietarySupplements/NewDietaryIngredientsNotificationProcess/ucm356620.htm.
    Description of Respondents: The respondents to this collection of
information are manufacturers and distributors in the dietary
supplement industry; specifically, firms that manufacture or distribute
new dietary ingredients or dietary supplements that contain a new
dietary ingredient.
    In the Federal Register of November 14, 2014 (79 FR 68275), we
published a 60-day notice requesting public comment on the proposed
extension of this collection of information. We received three comments
in response to the notice. Two of the comments were unrelated to the
PRA, and therefore we did not consider them.

    The third comment asserted that we underestimated the reporting
burden of the NDIN procedures under Sec.  190.6 by failing to take into
account the recommendations in the draft guidance entitled ``Dietary
Supplements: New Dietary Ingredient Notifications and Related Issues''
(the 2011 draft guidance) (available at http://www.fda.gov/Food/GuidanceRegulation/GuidanceDocumentsRegulatoryInformation/DietarySupplements/ucm257563.htm). FDA announced the availability of
the 2011 draft guidance for comment in a notice published in the
Federal Register of July 5, 2011 (76 FR 39111).
    Although we agree with the commenter that information collection
recommendations in guidance are subject to the PRA, we intend to meet
our PRA obligations in that regard separately at a later time. The 2011
draft guidance was published solely for the purpose of seeking comment,
and it has not been made final. Moreover, FDA intends to publish a
revised draft guidance for comment later this year, and the revised
draft guidance will supersede the 2011 draft guidance. Although we
expect the revised draft guidance to be followed by a final guidance,
there will be an interim period where no guidance on NDINs is in
effect. The purpose of the current PRA proceeding is to seek comment on
and obtain OMB approval for the NDIN collections of information in
effect during this interim period, which are those found in the FDA's
NDIN regulations at Sec.  190.6 and in the electronic NDIN submission
forms that we have made available for comment. After publishing a
revised draft guidance on NDINs and related issues, we intend to
publish a 60-day notice inviting comment on the proposed collections of
information associated with that document. At that time, we will
carefully evaluate all comments we receive.
    We estimate the burden of this collection of information as
follows:

                                                     Table 1--Estimated Annual Reporting Burden \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Number of
                           21 CFR section                               Number of      responses per     Total annual    Average burden    Total hours
                                                                       respondents       respondent       responses       per response
--------------------------------------------------------------------------------------------------------------------------------------------------------
190.6..............................................................              55                1               55               20            1,100
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ There are no operating and maintenance costs associated with this collection of information.

    We believe that the burden of the premarket notification
requirement on industry is limited and reasonable because we are
requesting only safety and identity information that the manufacturer
or distributor should already have developed to satisfy itself that a
dietary supplement containing a new dietary ingredient is in compliance
with the FD&C Act. In the past, commenters have argued that our burden
estimate is too low. We carefully considered the issue and believe that
burden estimates of greater than 20 hours per notification likely
include the burden associated with researching and generating safety
data for a new dietary ingredient. Under section 413(a)(2) of the FD&C
Act, a dietary supplement that contains a new dietary ingredient is
deemed to be adulterated unless there is a history of use or other
evidence of safety establishing that the new dietary ingredient will
reasonably be expected to be safe under the conditions of use
recommended or suggested in the labeling of the dietary supplement.
This requirement is separate from and additional to the requirement to
submit a premarket notification for the new dietary ingredient. FDA's
regulation on NDINs, Sec.  190.6(a), requires the manufacturer or
distributor of the dietary supplement, or of the new dietary
ingredient, to submit to FDA the information that forms the basis for
its conclusion that a dietary supplement containing the new dietary
ingredient will reasonably be expected to be safe. Thus, Sec.  190.6
only requires the manufacturer or distributor to extract and summarize
information that should have already been developed to meet the safety
requirement in section 413(a)(2) of the FD&C Act. We estimate that
extracting and summarizing the relevant information from what exists in
the company's files and presenting it in a format that meets the
requirements of Sec.  190.6 will take approximately 20 hours of work
per notification. However, we seek comments on this estimate. We
encourage comments offering alternative burden estimates to include
documentation to support the alternative estimate.
    We further estimate that 55 respondents will submit 1 premarket
notification each. We base our estimate of the number of respondents on
notifications received over the past 3 years, which averaged about 55
notifications per year.

    Dated: February 19, 2015.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2015-03833 Filed 2-24-15; 8:45 am]
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[Federal Register Volume 80, Number 208 (Wednesday, October 28, 2015)]
[Notices]
[Page 66122]
[FR Doc No: 2015-27462]

=======================================================================
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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Agency Information Collection Activities: Requests for Comments;
Clearance of Renewed Approval of Information Collection: Specific
Release Form

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice and request for comments.

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SUMMARY: In accordance with the Paperwork Reduction Act of 1995, FAA
invites public comments about our intention to request the Office of
Management and Budget (OMB) approval to renew an information
collection. The information garnered from a Specific Release form will
be used by FAA Special Agents to obtain information related to a
specific investigation. That information is then provided to the FAA
decision making authority to make FAA employment and/or pilot
certification/revocation determinations.

DATES: Written comments should be submitted by December 28, 2015.

ADDRESSES: Send comments to the FAA at the following address: Ronda
Thompson, Room 300, Federal Aviation Administration, ASP-110, 950
L'Enfant Plaza SW., Washington, DC 20024.
    Public Comments Invited: You are asked to comment on any aspect of
this information collection, including (a) Whether the proposed
collection of information is necessary for FAA's performance; (b) the
accuracy of the estimated burden; (c) ways for FAA to enhance the
quality, utility and clarity of the information collection; and (d)
ways that the burden could be minimized without reducing the quality of
the collected information. The agency will summarize and/or include
your comments in the request for OMB's clearance of this information
collection.

FOR FURTHER INFORMATION CONTACT: Ronda Thompson at<PHONE_NUMBER>, or
by email at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:
    OMB Control Number: 2120-0740.
    Title: Specific Release Form.
    Form Numbers: FAA Form 1600-81.
    Type of Review: Renewal of an information collection.
    Background Investigations are conducted under 49 U.S.C. Sections
106, 40113, 40114, 46101, and 46104, the Aviation Drug Trafficking
Control Act of 1984, the Anti-Drug Abuse Act of 1986, and the Anti-Drug
Abuse Act of 1988. The public respondents are pilots or FAA job
applicants from whom additional information is needed to complete a
thorough investigation. The information garnered from a signed Specific
Release form is used by FAA Special Agents to obtain information
related to a specific investigation.
    Respondents: Approximately 270 subjects of investigation.
    Frequency: Information is collected as needed.
    Estimated Average Burden per Response: 5 minutes.
    Estimated Total Annual Burden: 23 hours.

    Issued in Washington, DC, on October 21, 2015.
Ronda Thompson,
FAA Information Collection Clearance Officer Policy, Performance and
Records Management Branch, ASP-110.
[FR Doc. 2015-27462 Filed 10-27-15; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register: March 15, 2010 (Volume 75, Number 49)]
[Notices]
[Page 12323-12325]
[DOCID:fr15mr10-100]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-61668; File No. SR-NASDAQ-2010-028]

Self-Regulatory Organizations; The NASDAQ Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Modify Routing of Orders From NASDAQ Options Market to an Affiliated
Exchange

March 5, 2010.
    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 February 26, 2010, The NASDAQ Stock Market LLC (``Nasdaq'') 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 Nasdaq. Nasdaq has designated the proposed rule
change as constituting a non-controversial rule change under Rule 19b-
4(f)(6) under the Act,\3\ which renders the proposal effective upon
filing with the Commission. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

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

    Nasdaq proposes to amend Chapter VI, Sections 1(e)(7) and 11(b) of
the Rules of the NASDAQ Options Market (``NOM'') to modify the
restriction on routing of certain orders to an exchange that is an
affiliate of NOM.
    The text of the proposed rule change is below. Proposed new
language is italicized; proposed deletions are in [brackets].
Options Rules
Chapter VI Trading System
* * * * *
Sec. 1 Definitions
    The following definitions apply to Chapter VI for the trading of
options listed on NOM.
    (a)-(d) No change.
    (e) The term ``Order Type'' shall mean the unique processing
prescribed for designated orders that are eligible for entry into the
System, and shall include:
    (1)-(6) No change.
    (7) ``Exchange Direct Orders'' are orders that are directed to an
exchange other than NOM as directed by the entering party without
checking the NOM book. If unexecuted, the order (or unexecuted portion
thereof) shall be returned to the entering party. This order type may
only be used for orders with time-in-force parameters of IOC.
    Exchange Direct[ed] Orders may not be directed to a facility of an
exchange that is an affiliate of Nasdaq other than the Boston Options
Exchange  or NASDAQ OMX PHLX.
    (8) No change.
    (f)-(h) No change.
Sec. 11 Order Routing
    (a) No change.
    (b) For Non-System securities, the order routing process shall be
available to Participants from 9:30 a.m. Eastern Time until market
close and shall route orders based on the participant's instructions.
Notwithstanding the foregoing, the order routing process will not be
available to route Non-System Securities to a facility of an exchange
that is an affiliate of Nasdaq other than the Boston Options Exchange
or NASDAQ OMX PHLX.
    (c)-(e) No change.
* * * * *

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

    In its filing with the Commission, Nasdaq 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. Nasdaq has prepared summaries, set forth in Sections A,
B, and C below, of the most significant aspects of such statements.

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

1. Purpose
a. Background
    NASDAQ OMX PHLX, Inc. (``PHLX'') is a wholly-owned subsidiary of
The NASDAQ OMX Group, Inc. (``NASDAQ OMX''), a Delaware corporation.
NASDAQ OMX also indirectly owns NASDAQ Options Services, LLC (``NOS''
or the ``Routing Facility''), a registered broker-dealer and a PHLX
member. Thus, NOS is deemed an affiliate of PHLX.
b. Affiliation and Order Routing
    Nasdaq is proposing that NOS be permitted to route Exchange Direct
Orders in System Securities \4\ to PHLX without checking the NOM book
prior to routing. Exchange Direct Orders are orders that route directly
to other options markets on an immediate-or cancel basis without first
checking the NOM book for liquidity.\5\ In addition, the proposed rule
change would permit the routing by NOS of orders (including Exchange
Direct Orders) in Non-System Securities from NOM to PHLX.
---------------------------------------------------------------------------

    \4\ Pursuant to Chapter VI, Section 1(b), ``System Securities''
are all options that are currently trading on NOM pursuant to
Chapter IV of the NOM rules. All other options are ``Non-System
Securities.''
    \5\ See Chapter VI, Section 1(e)(7) of the NOM Rules.
---------------------------------------------------------------------------

    NOS is the approved outbound routing facility of Nasdaq for NOM.
Under NOM Rule Chapter VI, Section 11: (1) NOM routes orders in options
via NOS, which serves as the sole ``Routing Facility'' of NOM; (2) the
sole function of the Routing Facility is to route orders in options to
away markets pursuant to NOM rules, solely on behalf of NOM; (3) NOS is
a member of an unaffiliated self-regulatory organization, which is the
designated examining authority for the broker-dealer; (4) the Routing
Facility is subject to regulation as a facility of Nasdaq, including
the requirement to file proposed rule changes under Section 19 of the
Act; (5) NOM must establish and maintain procedures and internal
controls reasonably designed to adequately restrict the flow of
confidential and proprietary information between Nasdaq and its
facilities (including the Routing Facility), and any other entity; and
(6) the books, records, premises, officers, directors, agents, and
employees of the Routing Facility, as a facility of Nasdaq, shall be
deemed to be the books, records, premises, officers, directors, agents,
and employees of Nasdaq for

purposes of and subject to oversight pursuant to the Act, and the books
and records of the Routing Facility, as a facility of Nasdaq, shall be
subject at all times to inspection and copying by Nasdaq and the
Commission.
    The Commission has approved NOS's affiliation with PHLX subject to
the conditions that: (1) NOS remains a facility of Nasdaq; (2) use of
NOS's routing function by Nasdaq members continues to be optional \6\
and (3) NOS does not provide routing of orders in options from NOM to
PHLX or any trading facilities thereof, unless such orders first
attempt to access any liquidity on the NOM book.\7\
---------------------------------------------------------------------------

    \6\ Because only Nasdaq members who are Options Participants may
enter orders into NOM, it also follows that routing by NOS is
available only to Nasdaq members who are Options Participants.
Pursuant to Chapter I, Section 1(a)(40) of the NOM Rules, the term
``Options Participant'' means a firm, or organization that is
registered with Nasdaq for purposes of participating in options
trading on NOM as a ``Nasdaq Options Order Entry Firm'' or ``Nasdaq
Options Market Maker''.
    \7\ See Securities Exchange Act Release No. 58179 (July 17,
2008), 73 FR 42874 (July 23, 2008).
---------------------------------------------------------------------------

    Currently, Chapter VI, Section 1(e)(7) of the NOM rules prohibits
the routing of Exchange Direct Orders to a facility of an exchange that
is an affiliate of Nasdaq, with the exception of Exchange Direct Orders
routed to the Boston Options Exchange (``BOX''), a facility of BX,
which is an affiliate of Nasdaq. In order to modify the conditions
noted above regarding the operation of NOS and allow NOS to route
Exchange Direct Orders directly to PHLX, Nasdaq is proposing to amend
Chapter VI, Section 1(e)(7) of the NOM Rules to expand the exception
for routing to affiliates to permit routing by NOS to PHLX. Under the
proposed rule change, an Options Participant could enter an order into
NOM designated as an ``Exchange Direct Order'' with instructions to
route that order directly to PHLX without first checking the NOM book.
    In addition, Nasdaq is proposing to amend Chapter VI, Section 11(b)
of the NOM Rules to permit the routing of orders in Non-System
Securities via NOS from NOM to PHLX. As a result, orders in Non-System
Securities that are routed to away markets under normal procedures
could be routed to PHLX, as well as those that are entered as Exchange
Direct Orders with instructions to route directly to PHLX.
    Nasdaq and other exchanges previously have adopted rules that
permit exchanges to accept routing of inbound orders from affiliates,
subject to certain limitations and conditions intended to address the
Commission's concerns regarding affiliation.\8\ Specifically, the
proposed rule change to Chapter VI, Section 1(e)(7) is consistent with:
(i) Nasdaq adopting rule changes to permit NOS, in its operation as a
routing facility for NOM, to route orders from NOM to BOX, a facility
of BX, which is an affiliate of Nasdaq, and (ii) in the equities
markets, by Nasdaq in adopting rule changes to permit NASDAQ Execution
Services, Inc., in its operation as the routing facility of Nasdaq, to
route orders from Nasdaq to BX.\9\
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    \8\ See Securities Exchange Act Release Nos. 60354 (July 21,
2009), 74 FR 37074 (July 27, 2009)(SR-NASDAQ-2009-065); 60349 (July
20, 2009), 74 FR 37071 (July 27, 2009)(SR-BX-2009-035); 59153
(December 23, 2008), 73 FR 80485 (December 31, 2008)(SR-NASDAQ-2008-
098); 59154 (December 23, 2008), 73 FR 80468 (December 31, 2008)(SR-
BSE-2008-48); 59010 (November 24, 2008), 73 FR 73373 (December 2,
2008) (SR-NYSEArca-2008-130); 58681 (September 29, 2008), 73 FR
58285 (October 6, 2008)(SR-NYSEArca-2008-90); 58680 (September 29,
2008), 73 FR 58283 (October 6, 2008)(SR-NYSE-2008-76); 58673
(September 29, 2008), 73 FR 57707 (October 3, 2008)(SR-Amex-2008-62)
(collectively, the ``Affiliation Orders'').
    \9\ See Securities Exchange Act Release Nos. 60354 (July 21,
2009), 74 FR 37074 (July 27, 2009)(SR-NASDAQ-2009-065); 59153
(December 23, 2008), 73 FR 80485 (December 31, 2008)(SR-NASDAQ-2008-
098).
---------------------------------------------------------------------------

    In the orders approving the above-mentioned rule changes, the
Commission noted its concerns about potential informational advantages
and conflicts of interest between an exchange's self-regulatory
obligations and its commercial interest when the exchange is affiliated
with one of its members, but determined that the proposed limitations
and conditions were sufficient to mitigate its concerns.
    With respect to concerns identified by the Commission regarding the
potential for informational advantages favoring NOS vis-[agrave]-vis
other non-affiliated PHLX members, these concerns are addressed by: (i)
Existing NOM Rule Chapter VI, Section 11(e) which requires NOS to
establish and maintain procedures and internal controls reasonably
designed to adequately restrict the flow of confidential and
proprietary information between Nasdaq and its facilities (including
NOS) and any other entity and (ii) existing PHLX Rule 1080(m)(iii)(C)
which requires PHLX to establish and maintain procedures and internal
controls reasonably designed to adequately restrict the flow of
confidential and proprietary information between PHLX and NOS and any
other entity, including any affiliate of NOS.
    In addition, PHLX is proposing a rule change and certain
undertakings intended to manage the flow of confidential and
proprietary information between NOS and PHLX and to minimize potential
conflicts of interest.\10\
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    \10\ See SR-Phlx-2010-036.
---------------------------------------------------------------------------

2. Statutory Basis
    Nasdaq believes that the proposed rule change is consistent with
the provisions of Section 6 of the Act,\11\ in general, and with
Section 6(b)(5) of the Act,\12\ in particular, in that the proposal is
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in regulating, clearing,
settling, processing information with respect to, and facilitating
transactions in securities, to remove impediments to and perfect the
mechanism of a free and open market and a national market system, and,
in general, to protect investors and the public interest. The proposed
rule changes would permit routing of Exchange Direct Orders from NOM to
PHLX through NOS while minimizing the potential for conflicts of
interest and informational advantages involved where a broker-dealer is
affiliated with an exchange facility to which it is routing orders.
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78f.
    \12\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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

    Nasdaq does not believe that the proposed rule change will result
in any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act, as amended.

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

    Written comments were neither solicited nor received.

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

    Because the proposed rule change: (i) Does not significantly affect
the protection of investors or the public interest; (ii) does not
impose any significant burden on competition; and (iii) does not become
operative for 30 days after the date of the filing, or such shorter
time as the Commission may designate if consistent with the protection
of investors and the public interest, the proposed rule change has
become effective pursuant to Section 19(b)(3)(A) of the Act \13\ and
Rule 19b-4(f)(6) thereunder.\14\
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78s(b)(3)(A).
    \14\ 17 CFR 240.19b-4(f)(6).

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

    A proposed rule change filed under 19b-4(f)(6) normally may not
become operative prior to 30 days after the date of filing.\15\
However, Rule 19b-4(f)(6)(iii) \16\ permits the Commission to designate
a shorter time if such action is consistent with the protection of
investors and the public interest. Nasdaq has requested that the
Commission waive the 30-day operative delay. The Commission notes that
Nasdaq's proposal is consistent with its rules regarding order routing
to BOX \17\ and the rules of other national securities exchanges and
does not raise any new substantive issues.\18\ For these reasons, the
Commission believes that waiving the 30-day operative delay is
consistent with the protection of investors and the public interest,
and designates the proposed rule change to be operative upon filing
with the Commission.\19\
---------------------------------------------------------------------------

    \15\ 17 CFR 240.19b-4(f)(6)(iii). In addition, Rule 19b-
4(f)(6)(iii) requires that a self-regulatory organization submit to
the Commission written notice of its 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. Nasdaq has satisfied this requirement.
    \16\ Id.
    \17\ See supra note 9.
    \18\ See Affiliation Orders, supra note 8.
    \19\ For the 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 may summarily abrogate such rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in furtherance of the purposes of the Act.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-NASDAQ-2010-028 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-NASDAQ-2010-028. This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/
rules/sro.shtml). Copies of the submission, all subsequent amendments,
all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for Web site
viewing and printing in the Commission's Public Reference Room, 100 F
Street, NE., Washington, DC 20549 on official business days between the
hours of 10 a.m. and 3 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of Nasdaq. 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-NASDAQ-2010-028 and should
be submitted on or before April 5, 2010.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\20\
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    \20\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-5530 Filed 3-12-10; 8:45 am]
BILLING CODE 8011-01-P