[Federal Register Volume 81, Number 211 (Tuesday, November 1, 2016)]
[Notices]
[Pages 75816-75820]
[FR Doc No: 2016-26375]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OW-2015-0499; FRL-9954-82-OW]

Final National Pollutant Discharge Elimination System (NPDES)
Pesticide General Permit for Point Source Discharges From the
Application of Pesticides; Reissuance

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of final permit issuance.

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SUMMARY: This notice announces issuance by all ten Environmental
Protection Agency (EPA) Regions of the final 2016 National Pollutant
Discharge Elimination System (NPDES) pesticide general permit (PGP)--
the ``2016 PGP.'' The 2016 PGP, which has an effective date of October
31, 2016, replaces the existing permit (``2011 PGP'') that expires at
midnight on October 31, 2016, and authorizes certain point source
discharges from the application of pesticides to waters of the United
States in accordance with the terms and conditions described therein.
EPA is issuing this permit for five (5) years in all areas of the
country where EPA is the NPDES permitting authority.

DATES: The permit is effective on October 31, 2016, and will expire at
midnight, October 31, 2021. In accordance with 40 CFR part 23, this
permit shall be considered issued for the purpose of judicial review on
November 15, 2016. Under Section 509(b) of the Clean Water Act,
judicial review of this general permit can be requested by filing a
petition for review in the United States Court of Appeals within 120
days after the permit is considered issued. Under Section 509(b) of the
Clean Water Act, the requirements of this permit may not be challenged
later in civil or criminal proceedings to enforce these requirements.
In addition, this permit may not be challenged in other agency
proceedings. Deadlines for submittal of a Notices of Intent to be
covered, if required, are provided in Part 1.2.3, Table 1-2, of the
2016 PGP.

FOR FURTHER INFORMATION CONTACT: EPA Regional Office listed in Section
I.C., or you can send an email to<EMAIL_ADDRESS>You may also contact
Prasad Chumble, EPA Headquarters, Office of Water, Office of Wastewater
Management at tel.:<PHONE_NUMBER> or email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: This section is organized as follows:

Table of Contents

I. General Information
    A. Does this action apply to me?
    B. How can I get copies of this document and other related
information?
    C. Who are the EPA regional contacts for this final permit?
II. Background
III. Scope and Applicability
    A. Geographic Coverage
    B. Categories of Pesticide Use-Patterns Covered
    C. Summary of Updates to the 2011 PGP and from the Proposed 2016
PGP.
    D. Summary of 2016 PGP Terms and Requirements
IV. Cost Impacts of the PGP
V. Executive Order 13175: Consultation and Coordination With Indian
Tribal Governments

I. General Information

A. Does this action apply to me?

    You may be affected by this action if you apply pesticides, under
the use patterns in Section III.B, that result in a discharge to waters
of the United States in one of the geographic areas identified in
Section III.A. Potentially affected entities, as categorized in the
North American Industry Classification System (NAICS), may include, but
are not limited to:

         Table 1--Entities Potentially Regulated by the 2016 PGP
------------------------------------------------------------------------
                                                        Examples of
           Category                   NAICS         potentially affected
                                                          entities
------------------------------------------------------------------------
Agriculture parties--General    111 Crop           Producers of crops
 agricultural interests,         Production.        mainly for food and
 farmers/producers, forestry,                       fiber, including
 and irrigation.                                    farms, orchards,
                                                    groves, greenhouses,
                                                    and nurseries that
                                                    have irrigation
                                                    ditches requiring
                                                    pest control.
                                113110 Timber      The operation of
                                 Tract Operations.  timber tracts for
                                                    the purpose of
                                                    selling standing
                                                    timber.
                                113210 Forest      Growing trees for
                                 Nurseries          reforestation and/or
                                 Gathering of       gathering forest
                                 Forest Products.   products, such as
                                                    gums, barks, balsam
                                                    needles, rhizomes,
                                                    fibers, Spanish
                                                    moss, ginseng, and
                                                    truffles.
                                221310 Water       Operating irrigation
                                 Supply for         systems.
                                 Irrigation.
Pesticide parties (includes     325320 Pesticide   Formulation and
 pesticide manufacturers,        and Other          preparation of
 other pesticide users/          Agricultural       agricultural pest
 interests, and consultants).    Chemical           control chemicals.
                                 Manufacturing.
Public health parties           923120             Government
 (includes mosquito or other     Administration     establishments
 vector control districts and    of Public Health   primarily engaged in
 commercial applicators that     Programs.          the planning,
 service these).                                    administration, and
                                                    coordination of
                                                    public health
                                                    programs and
                                                    services, including
                                                    environmental health
                                                    activities.
Resource management parties     924110             Government
 (includes State departments     Administration     establishments
 of fish and wildlife, State     of Air and Water   primarily engaged in
 departments of pesticide        Resource and       the administration,
 regulation, State               Solid Waste        regulation, and
 environmental agencies, and     Management         enforcement of air
 universities).                  Programs.          and water resource
                                                    programs; the
                                                    administration and
                                                    regulation of water
                                                    and air pollution
                                                    control and
                                                    prevention programs;
                                                    the administration
                                                    and regulation of
                                                    flood control
                                                    programs; the
                                                    administration and
                                                    regulation of
                                                    drainage development
                                                    and water resource
                                                    consumption
                                                    programs; and
                                                    coordination of
                                                    these activities at
                                                    intergovernmental
                                                    levels.

                                924120             Government
                                 Administration     establishments
                                 of Conservation    primarily engaged in
                                 Programs.          the administration,
                                                    regulation,
                                                    supervision and
                                                    control of land use,
                                                    including
                                                    recreational areas;
                                                    conservation and
                                                    preservation of
                                                    natural resources;
                                                    erosion control;
                                                    geological survey
                                                    program
                                                    administration;
                                                    weather forecasting
                                                    program
                                                    administration; and
                                                    the administration
                                                    and protection of
                                                    publicly and
                                                    privately owned
                                                    forest lands.
                                                    Government
                                                    establishments
                                                    responsible for
                                                    planning,
                                                    management,
                                                    regulation and
                                                    conservation of
                                                    game, fish, and
                                                    wildlife
                                                    populations,
                                                    including wildlife
                                                    management areas and
                                                    field stations; and
                                                    other administrative
                                                    matters relating to
                                                    the protection of
                                                    fish, game, and
                                                    wildlife are
                                                    included in this
                                                    industry.
Utility parties (includes       221 Utilities....  Provide electric
 utilities).                                        power, natural gas,
                                                    steam supply, water
                                                    supply, and sewage
                                                    removal through a
                                                    permanent
                                                    infrastructure of
                                                    lines, mains, and
                                                    pipes.
------------------------------------------------------------------------

B. How can I get copies of this document and other related information?

    1. Docket. EPA has established an official public docket for this
action under Docket ID No. EPA-HQ-OW-2015-0499. The official public
docket is the collection of materials that are available for public
viewing at the Water Docket in the EPA Docket Center, (EPA/DC) WJC West
Building, Room 3334, 1301 Constitution Ave. NW., Washington, DC 20460.
Although all documents in the docket are listed in an index, some
information is not publicly available, i.e., Confidential Business
Information (CBI) or other information whose disclosure is restricted
by statute. Publicly available docket materials are available in hard
copy at the EPA Docket Center Public Reading Room, open from 8:30 a.m.
to 4:30 p.m., Monday through Friday, excluding legal holidays. The
telephone number for the Public Reading Room and the Water Docket is
(202) 566-1744.
    2. Electronic Access. You may access this Federal Register document
electronically through the United States government on-line source for
federal regulations at http://www.regulations.gov.
    An electronic version of the public docket is available through the
EPA's electronic public docket and comment system, EPA Dockets. You may
use EPA Dockets at http://www.regulations.gov to view public comments,
access the index listing of the contents of the official public docket,
and to access those documents in the public docket that are available
electronically. For additional information about the EPA's public
docket, visit the EPA Docket Center homepage at http://www.epa.gov/dockets. Although not all docket materials may be available
electronically, you may still access any of the publicly available
docket materials at the EPA Docket Center.
    Electronic versions of the 2016 PGP and Fact Sheet are also
available on the EPA's NPDES Web site at https://www.epa.gov/npdes/pesticide-permitting.

C. Who are the EPA regional contacts for this final permit?

    For EPA Region 1, contact George Papadopoulos at tel.: (617) 918-
1579; or email at<EMAIL_ADDRESS>    For EPA Region 2, contact Maureen Krudner at tel.:<PHONE_NUMBER>;
or email at<EMAIL_ADDRESS>    For EPA Region 3, contact Mark Smith at tel.:<PHONE_NUMBER>; or
email at<EMAIL_ADDRESS>    For EPA Region 4, contact Sam Sampath at tel.:<PHONE_NUMBER>; or
email at<EMAIL_ADDRESS>    For EPA Region 5, contact Jason Hewitt at tel.:<PHONE_NUMBER>; or
email at<EMAIL_ADDRESS>    For EPA Region 6, contact Kilty Baskin at tel.:<PHONE_NUMBER> or
email at<EMAIL_ADDRESS>    For EPA Region 7, contact Kimberly Hill at tel.:<PHONE_NUMBER> or
email at<EMAIL_ADDRESS>    For EPA Region 8, contact David Rise at tel.:<PHONE_NUMBER> or
email at<EMAIL_ADDRESS>    For EPA Region 9, contact Pascal Mues at tel.:<PHONE_NUMBER> or
email at<EMAIL_ADDRESS>    For EPA Region 10, contact Dirk Helder at tel.:<PHONE_NUMBER> or
email at<EMAIL_ADDRESS>
II. Background

    Section 301(a) of the Clean Water Act (CWA) provides that ``the
discharge of any pollutant by any person shall be unlawful'' unless the
discharge is in compliance with certain other Sections of the Act. 33
U.S.C. 1311(a). The CWA defines ``discharge of a pollutant'' as ``(A)
any addition of any pollutant to navigable waters from any point
source, (B) any addition of any pollutant to the waters of the
contiguous zone or the ocean from any point source other than a vessel
or other floating craft.'' 33 U.S.C. 1362(12). A ``point source'' is
any ``discernible, confined and discrete conveyance'' but does not
include ``agricultural stormwater discharges and return flows from
irrigated agriculture.'' 33 U.S.C. 1362(14).
    The term ``pollutant'' includes, among other things, ``garbage . .
. chemical wastes, biological materials . . . and industrial,
municipal, and agricultural waste discharged into water.'' 33 U.S.C.
1362(6).
    A person may discharge a pollutant without violating the Section
301 prohibition by obtaining authorization to discharge (referred to
herein as ``coverage'') under a Section 402 NPDES permit (33 U.S.C.
1342). Under Section 402(a), EPA may ``issue a permit for the discharge
of any pollutant, or combination of pollutants, notwithstanding Section
1311(a)'' upon certain conditions required by the Act.
    EPA issued the first Pesticide General Permit (``2011 PGP'') on
October 31, 2011, in response to the United States Sixth Circuit Court
of Appeals ruling vacating EPA's 2006 Final Rule on Aquatic Pesticides.
National Cotton Council of America. v. EPA, 553 F.3d 927 (6th Cir.
2009). EPA is issuing the 2016 PGP to replace the 2011 PGP which
expires at midnight on October 31, 2016. Similar to the 2011 PGP, the
2016 PGP provides coverage for certain point source discharges from the
application of pesticides to waters of the United States in areas where
EPA is the NPDES permitting authority.
    EPA published the draft 2016 PGP and accompanying Fact Sheet in the
Federal Register on January 26, 2016 (81 FR 4289), soliciting comments
on the draft permit. EPA also conducted formal consultation with Indian
Tribal Governments. EPA received 28 written comment letters on the
draft permit.

EPA considered all comments received during the comment period in
preparing the final permit. EPA responded to all significant comments
in the Response to Comment Document which is available as part of the
docket for this permit.

III. Scope and Applicability

A. Geographic Coverage

    EPA provides permit coverage for classes of point source discharges
that occur in areas where EPA is the NPDES permitting authority. The
geographic coverage of the 2016 PGP is listed in Appendix C of the
permit and also listed below. This permit also applies in all areas of
Indian Country that are not covered by an EPA-approved permitting
program, for example, the areas of Indian Country described below:
EPA Region 1
 Massachusetts, including Indian Country within Massachusetts
 Indian Country within Connecticut
 New Hampshire
 Indian Country within Rhode Island
 Federal Facilities within Vermont
EPA Region 2
 Indian Country within New York State
 Puerto Rico
EPA Region 3
 The District of Columbia
 Federal Facilities within Delaware
EPA Region 4
 Indian Country within Alabama
 Indian Country within Florida
 Indian Country within Mississippi
 Indian Country within North Carolina
EPA Region 5
 Indian Country within Michigan
 Indian Country within Minnesota, excluding Fond du Lac Band of
Chippewa
 Indian Country within Wisconsin, excluding Lac du Flambeau
Band of Lake Superior Chippewa Indians
EPA Region 6
 Indian Country within Louisiana
 New Mexico, including Indian Country within New Mexico, except
Navajo Reservation Lands (see Region 9) and Ute Mountain Reservation
Lands (see Region 8)
 Indian Country within Oklahoma
 Discharges in Texas that are not under the authority of the
Texas Commission on Environmental Quality (formerly TNRCC), including
activities associated with the exploration, development, or production
of oil or gas or geothermal resources, including transportation of
crude oil or natural gas by pipeline, including Indian Country.
EPA Region 7
 Indian Country within Iowa
 Indian Country within Kansas
 Indian Country within Nebraska, except Pine Ridge Reservation
lands (see Region 8)
EPA Region 8
 Federal Facilities in Colorado, including those on Indian
Country within Colorado as well as the portion of the Ute Mountain
Reservation located in New Mexico
 Indian Country within Montana
 Indian Country within North Dakota
 Indian Country within South Dakota, as well as the portion of
the Pine Ridge Reservation located in Nebraska (see Region 7)
 Indian Country within Utah, except Goshute and Navajo
Reservation lands (see Region 9)
 Indian Country within Wyoming
PA Region 9
 The Island of American Samoa
 Indian Country within Arizona as well as Navajo Reservation
lands in New Mexico (see Region 6) and Utah (see Region 8), excluding
Hualapai Tribe
 Indian Country within California, excluding Hoopa Valley Tribe
 The Island of Guam
 The Johnston Atoll
 Midway Island, Wake Island, and other unincorporated U.S.
possessions
 The Commonwealth of the Northern Mariana Islands
 Indian Country within the State of Nevada, as well as the Duck
Valley Reservation in Idaho, the Fort McDermitt Reservation in Oregon
(see Region 10) and the Goshute Reservation in Utah (see Region 8)
EPA Region 10
 Indian Country and the Denali National Park and Preserve
within Alaska
 Idaho, including Indian Country within Idaho, except Duck
Valley Reservation lands (see Region 9)
 Indian Country within Oregon, except Fort McDermitt
Reservation lands (see Region 9)
 Federal Facilities in Washington, including those located on
Indian Country within Washington

B. Categories of Pesticide Use-Patterns Covered

    This permit regulates discharges to waters of the United States
from the application of (1) biological pesticides, and (2) chemical
pesticides that leave a residue. These apply to the following pesticide
use patterns:
     Mosquito and Other Flying Insect Pest Control--to control
public health/nuisance and other flying insect pests that develop or
are present during a portion of their life cycle in or above standing
or flowing water. Public health/nuisance and other flying insect pests
in this use category include mosquitoes and black flies.
     Weed and Algae Pest Control--to control weeds, algae, and
pathogens that are pests in water and at water's edge, including
ditches and/or canals.
     Animal Pest Control--to control animal pests in water and
at water's edge. Animal pests in this use category include fish,
lampreys, insects, mollusks, and pathogens.
     Forest Canopy Pest Control--application of a pesticide to
a forest canopy to control the population of a pest species (e.g.,
insect or pathogen) where, to target the pests effectively, a portion
of the pesticide unavoidably will be applied over and deposited to
water.
    The scope of activities encompassed by these pesticide use patterns
is described in greater detail in Part III.1.1 of the Fact Sheet for
the 2016 PGP.

C. Summary of Updates to the 2011 PGP and From the Proposed 2016 PGP

    The 2016 PGP replaces the 2011 PGP, which was issued for a five-
year term on October 31, 2011 (76 FR 68750) and expires October 31,
2016, at midnight. While the requirements of the 2016 PGP remain the
same as those in the 2011 PGP, some minor updates have been added and
are discussed in more detail in the 2016 PGP Fact Sheet, such as:
     Added electronic reporting requirements in Part 7.8 of the
PGP to be consistent with EPA's Electronic Reporting Rule (78 FR
46005); and
     Updated the definition of National Marine Fisheries
Service (NMFS) Listed Resources of Concern to include additional
species as a result of consultation between EPA and NMFS, as required
under Section 7 of the Endangered Species Act.
    EPA published the draft 2016 PGP for public comment on January 26,
2016 (81 FR 4289). The following is a summary of permit modifications
from the draft 2016 PGP:
     Changed the date when Notices Of Intent (NOIs) are
required from October 31, 2016, to January 12, 2017, in order to allow
Decision-makers enough time to read and understand the permit
requirements and comply with the reporting and recordkeeping
requirements of the permit; and

     Updated Part 9.0 of the 2016 PGP to reflect state and
tribal CWA Section 401 certifications.

D. Summary of 2016 PGP Terms and Requirements

    The 2016 PGP is similar to the 2011 PGP, and is structured in the
same nine parts: (1) Coverage under the permit, (2) technology-based
effluent limitations, (3) water quality-based effluent limitations, (4)
monitoring, (5) pesticide discharge management plan, (6) corrective
action, (7) recordkeeping and Annual Reporting, (8) EPA contact
information and mailing addresses, and (9) permit conditions applicable
to specific states, Indian Country, or territories. Additionally, as
with the 2011 PGP, the 2016 PGP includes nine appendices with
additional conditions and guidance for permittees: (A) Definitions,
abbreviations, and acronyms, (B) standard permit conditions, (C) areas
covered, (D) NOI form, (E) Notice of Termination (NOT) form, (F)
Pesticide Discharge Evaluation worksheet (PDEW), (G) Annual Reporting
template, (H) Adverse Incident template, and (I) endangered species
procedures.
    The following is a summary of the 2016 PGP's requirements:
     The PGP defines ``Operator'' (i.e., the entity required to
obtain NPDES permit coverage for discharges) to include any (a)
Applicator who performs the application of pesticides or has day-to-day
control of the application of pesticides that results in a discharge to
waters of the United States, or (b) Decision-maker who controls any
decision to apply pesticides that results in a discharge to waters of
the United States. There may be instances when a single entity acts as
both an Applicator and a Decision-maker.
     All Applicators are required to minimize pesticide
discharges by using only the amount of pesticide and frequency of
pesticide application necessary to control the target pest, maintain
pesticide application equipment in proper operating condition, control
discharges as necessary to meet applicable water quality standards, and
monitor for and report any adverse incidents.
     All Decision-makers are required, to the extent not
determined by the Applicator, to minimize pesticide discharges by using
only the amount of pesticide and frequency of pesticide application
necessary to control the target pest. All Decision-makers are also
required to control discharges as necessary to meet applicable water
quality standards and monitor for and report any adverse incidents.
     Coverage under this permit is available only for
discharges and discharge-related activities that are not likely to
adversely affect species that are federally-listed as endangered or
threatened (``listed'') under the Endangered Species Act (ESA) or
habitat that is federally-designated as critical under the ESA
(``critical habitat''), except for certain cases specified in the
permit involving prior consultation with the NMFS, and for Declared
Pest Emergency Situations. The permit contains several provisions
addressing listed species, including for certain listed species
identified in the permit as NMFS Listed Resources of Concern, that
Decision-makers whose discharges may affect these resources certify
compliance with one of six criteria which together ensure that any
potential adverse effects have been properly considered and addressed.
These NMFS Listed Resources of Concern for the PGP are identified in
detail on EPA's Web site at https://www.epa.gov/npdes/pesticide-permitting-ESA-procedures. Other requirements that address protection
of listed species include the waiting periods between submission of an
NOI and authorization to discharge, and specific permit conditions
requiring compliance with the results of any ESA Section 7 consultation
with the Services, or ESA Section 10 permit issued by the Services.
     Certain Decision-makers [i.e., any agency for which pest
management for land resource stewardship is an integral part of the
organization's operations, entities with a specific responsibility to
control pests (e.g., mosquito and weed control districts), local
governments or other entities that apply pesticides in excess of
specified annual treatment area thresholds, and entities that discharge
pesticides to Tier 3 waters or to waters of the United States
containing NMFS Listed Resources of Concern] are required to also
submit an NOI to obtain authorization to discharge and implement pest
management options to reduce the discharge of pesticides to waters of
the United States. Of this group, certain large Decision-makers must
also develop a Pesticide Discharge Management Plan (PDMP), submit
annual reports, and maintain detailed records. Certain small Decision-
makers are required to complete a pesticide discharge evaluation
worksheet for each pesticide application (in lieu of the more
comprehensive PDMP), an annual report, and detailed recordkeeping.
     Permit conditions take effect as of October 31, 2016;
however, Operators with eligible discharges are authorized for permit
coverage (or automatically covered) through January 12, 2017 without
submission of an NOI. Thus, for any discharges commencing on or before
January 12, 2017 that will continue after this date, an NOI must be
submitted no later than January 2, 2017 to ensure uninterrupted permit
coverage, and for any discharge occurring after January 12, 2017, no
later than 10 days before the first discharge occurring after January
12, 2017.

IV. Cost Impacts of the PGP

    EPA expects the costs that covered entities, including small
businesses, will bear to comply with this permit to be minimal. A copy
of the EPA's cost impact analysis, titled, ``Cost Impact Analysis for
the EPA's Final 2016 Pesticide General Permit (PGP)'' is available in
the docket for this permit.

V. Executive Order 13175: Consultation and Coordination With Indian
Tribal Governments

    In compliance with Executive Order 13175, EPA consulted with tribal
officials to gain an understanding of, and where necessary, to address
tribal implications of the 2016 PGP. In the course of this
consultation, EPA undertook the following activities:
     October 28, 2015--EPA mailed notification letters to
tribal leaders initiating consultation and coordination on the renewal
of the PGP. The initiation letter was posted on the tribal portal Web
site at https://www.epa.gov/tribal.
     November 19, 2015--EPA held an informational
teleconference open to all tribal representatives, and reserved the
last part of the teleconference for official consultation comments.
Seven tribal officials participated. EPA also invited tribes to submit
written comments on the draft 2016 PGP. The presentation was posted on
the tribal portal Web site at http://tcots.epa.gov.
    EPA did not receive any comments during the formal tribal
consultation period. EPA notes that as part of the finalization of this
permit, the Agency completed Section 401 certification procedures with
all applicable tribes where this permit will apply (see Part 9 and
Appendix C of the PGP).

    Authority: Clean Water Act, 33 U.S.C. 1251 et seq.

    Dated: October 24, 2016.
H. Curtis Spalding,
Regional Administrator, EPA Region 1.
    Dated: October 24, 2016.
Javier Laureano,
Director, Clean Water Division, EPA Region 2.
    Dated: October 24, 2016.
Carmen R. Guerrero-Perez,
Division Director, Caribbean Environmental Protection Division, EPA
Region 2.
    Dated: October 24, 2016.
Jon M. Capacasa,
Director, Water Protection Division, EPA Region 3.
    Dated: October 24, 2016.
James D. Giattina,
Director, Water Protection Division, EPA Region 4.
    Dated: October 24, 2016.
Christopher Korleski,
Director, Water Division, EPA Region 5.
    Dated: October 24, 2016.
William K. Honker,
Director, Water Division, EPA Region 6.
    Dated: October 24, 2016.
Karen A. Flournoy,
Director, Water, Wetlands and Pesticides Division, EPA Region 7.
    Dated: October 24, 2016.
Darcy O'Connor,
Acting Assistant Regional Administrator, Office of Water Protection,
EPA Region 8.
    Dated: October 24, 2016.
Tom[aacute]s Torres,
Division Director, Water Division, EPA Region 9.

    Dated: October 24, 2016.
Christine Psyk,
Deputy Director, Office of Water and Watersheds, EPA Region 10.
[FR Doc. 2016-26375 Filed 10-31-16; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register Volume 85, Number 164 (Monday, August 24, 2020)]
[Notices]
[Page 52174]
[FR Doc No: 2020-18463]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-89592; File No. SR-NYSENAT-2020-05]

Self-Regulatory Organizations; NYSE National, Inc.; Notice of
Designation of a Longer Period for Commission Action on Proceedings to
Determine Whether to Approve or Disapprove a Proposed Rule Change to
Establish Fees for the NYSE National Integrated Feed

August 18, 2020.
    On February 3, 2020, NYSE National, Inc. (``NYSE National'') filed
with the Securities and Exchange Commission (``Commission''), pursuant
to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')
\1\ and Rule 19b-4 thereunder,\2\ a proposed rule change to establish
fees for the NYSE National Integrated Feed. The proposed rule change
was immediately effective upon filing with the Commission pursuant to
Section 19(b)(3)(A) of the Act.\3\ The proposed rule change was
published for comment in the Federal Register on February 20, 2020.\4\
On April 1, 2020, the Division of Trading and Markets, for the
Commission pursuant to delegated authority, temporarily suspended the
proposed rule change and instituted proceedings to determine whether to
approve or disapprove the proposed rule change.\5\ On June 12, 2020,
the Commission issued a request for information and additional comment
on the proposed rule change.\6\
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ See Securities Exchange Act Release No. 88211 (February 14,
2020), 85 FR 9847.
    \5\ See Securities Exchange Act Release No. 88538, 85 FR 19541
(April 7, 2020).
    \6\ See Securities Exchange Act Release No. 89065, 85 FR 37123
(June 19, 2020). Comments received on the proposed rule change are
available on the Commission's website at: https://www.sec.gov/comments/sr-nysenat-2020-05/srnysenat202005.htm.
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    Section 19(b)(2) of the Act \7\ provides that, after initiating
disapproval proceedings, the Commission shall issue an order approving
or disapproving the proposed rule change not later than 180 days after
the date of publication of notice of filing of the proposed rule
change. The Commission may extend the period for issuing an order
approving or disapproving the proposed rule change, however, by not
more than 60 days if the Commission determines that a longer period is
appropriate and publishes the reasons for such determination. The date
of publication of notice of filing of the proposed rule change was
February 20, 2020. August 18, 2020, is 180 days from that date, and
October 17, 2020, is 240 days from that date.
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    \7\ 15 U.S.C. 78s(b)(2).
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    The Commission finds it appropriate to designate a longer period
within which to issue an order approving or disapproving the proposed
rule change so that it has sufficient time to consider this proposed
rule change. Accordingly, the Commission, pursuant to Section 19(b)(2)
of the Act,\8\ designates October 17, 2020, as the date by which the
Commission shall either approve or disapprove the proposed rule change
(File No. SR-NYSENAT-2020-05).
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    \8\ Id.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\9\
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    \9\ 17 CFR 200.30-3(a)(57).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-18463 Filed 8-21-20; 8:45 am]
BILLING CODE 8011-01-P


Comment Info: =================

General Comment:Over the years I've used many different methods to help me quit smoking. None of them worked until I tried using a personal vapor (aka e-cigarette). When I purchased the personal electronic vapor I was able to quit smoking that day. I did have one cigarette the next day and another 3 years later, but two cigarettes in 4 years is a far cry from the 3 packs a day I was smoking.

I've seen many articles in the popular press that seem to say that using a personal vapor is the same as "smoking". I hope the FDA does not make the same mistake.

Please extend the comment period for this proposed rule to at least 180 days so you will have time get to the truth.

Thank you


[Federal Register Volume 81, Number 235 (Wednesday, December 7, 2016)]
[Notices]
[Pages 88284-88286]
[FR Doc No: 2016-29294]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-79450; File No. SR-BatsBZX-2016-80]

Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of
Filing of Proposed Rule Changes to BZX Rule 14.11, Other Securities,
and BZX Rule 14.12, Failure To Meet Listing Standards

December 1, 2016.
    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 November 18, 2016, Bats BZX Exchange, Inc. (the ``Exchange'' or
``BZX'') filed with the Securities and Exchange Commission (``SEC'' or
``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 filed a proposal to amend the listing rules for
exchange-traded products in Bats Rule 14.11 (``ETPs'') to add
additional continued listing standards as well as a related amendment
to Rule 14.12, entitled ``Failure to Meet Listing Standards.'' The
Exchange is also proposing to make certain cleanup changes throughout
Rule 14.11 in order to make the rule text more clear.
    The text of the proposed rule change is available at the Exchange's
Web site at www.batstrading.com, at the principal office of the
Exchange, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The Exchange proposes to amend the listing rules for ETPs in Bats
Rule 14.11, entitled ``Other Securities,'' to add additional continued
listing standards as well as a related amendment to Rule 14.12,
entitled ``Failure to Meet Listing Standards.'' The Exchange is also
proposing to make certain cleanup changes throughout Rule 14.11 in
order to make the rule text more clear.
    The proposed rule changes are being made at the request of and as
part of discussions with the Commission. Based on concerns about
certain of the ETP listing rules applying only on an initial basis, SEC
staff has requested that the Exchange adopt certain additional
continued listing standards for ETPs. As a result, the proposed
amendment reflects guidance provided by SEC staff to clarify that most
initial listing standards, as well as certain representations
(``Continued Listing Representations'') included in Exchange rule
filings pursuant to Section 19(b) of the Act \3\ to list an ETP on the
Exchange (``Rule Filing''), are also considered continued listing
standards. Continued Listing Representations will also be required to
be maintained on a continuous basis and include any of the
representations regarding the index composition, the description of the
portfolio or reference assets, limitations on portfolio holdings or
reference assets,

dissemination and availability of index and intraday indicative values
(as applicable), and the applicability of Exchange rules and
surveillance procedures made in any filing to list a series of ETPs.
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    \3\ 15 U.S.C. 78s(b).
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    The proposed rule changes require that ETPs listed by the Exchange
without a Rule Filing must maintain the initial index or reference
asset criteria, among other requirements, on both an initial listing
and continual basis. For example, in the case of a domestic equity
index, these criteria generally include: (a) Stocks with 90% of the
weight of the index must have a minimum market value of at least $75
million; (b) stocks with 70% of the weight of the index must have a
minimum monthly trading volume of at least 250,000 shares; (c) the most
heavily weighted component cannot exceed 30% of the weight of the
index, and the five most heavily weighted stocks cannot exceed 65%; (d)
there must be at least 13 stocks in the index; and (e) all securities
in the index must be listed in the U.S. Such requirements are currently
only applicable on an initial listing basis, but the proposal would
require that such criteria be met on a continual basis as well. The
Exchange is also proposing similar changes as it relates to the
comparable criteria for international indexes, fixed-income indexes,
indexes with a combination of components, and other underlying
reference assets. Where an ETP fails to meet the proposed applicable
continued listing requirements, the Exchange would, generally, initiate
delisting proceedings pursuant to Rule 14.12.
    If an ETP is listed on the Exchange pursuant to a Rule Filing, this
proposed rule change would require that the issuer of the security
comply on an ongoing basis with any Continued Listing Representations,
which include any of the representations in the rule filing regarding
the index composition, the description of the portfolio or reference
assets, limitations on portfolio holdings or reference assets,
dissemination and availability of index and intraday indicative values
(as applicable), and the applicability of Exchange rules and
surveillance procedures made in any filing to list a series of ETPs. As
proposed, where an ETP fails to meet the Continued Listing
Representations, the Exchange would initiate delisting proceedings
pursuant to Rule 14.12.
    The Exchange is also proposing to modify its rules such that
issuers of securities listed under Rule 14.11 would be required to
provide the Exchange with prompt notification after an Executive
Officer \4\ of the [sic] becomes aware of any noncompliance. In
addition, while listed ETPs are currently subject to the delisting
process in Rule 14.12, the rules will be clarified to make this
explicit. As proposed, Rule 14.12 will also be clarified to make
explicit that an ETP that it is deficient under one or more listing
standards may submit a plan to regain compliance to the Listing
Qualifications Department. In this regard, the Exchange proposes to
allow issuers of ETPs 45 calendar days to submit such a plan, which is
consistent with deficiencies from most other rules that allow issuers
to submit a plan to regain compliance.\5\ Exchange staff will review
the plan and may grant a limited period of time for the ETP to regain
compliance as permitted under Rule 14.12. If Exchange staff does not
accept the plan, a Staff Delisting Determination will be issued, which
could be appealed to a Hearings Panel pursuant to Rule 14.12(h).
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    \4\ As defined in Rule 14.10(c)(1)(A), the term ``Executive
Officer'' means those officers covered in Rule 16a-1(f) under the
Act.
    \5\ The Exchange notes that the following deficiencies are
allowed 45 calendar days to submit a plan to regain compliance:
Deficiencies from the standards of Rules 14.10(f)(3) (Quorum),
14.10(h) (Review of Related Party Transactions), 14.10(i)
(Shareholder Approval), 14.6(c)(3) (Auditor Registration), 14.7
(Direct Registration Program), 14.10(d) (Code of Conduct),
14.10(e)(1)(D)(v) (Quorum of Limited Partnerships),
14.10(e)(1)(D)(vii) (Related Party Transactions of Limited
Partnerships), or 14.10(j) (Voting Rights).
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2. Statutory Basis
    The Exchange believes that the proposal is consistent with Section
6(b) of the Act \6\ in general and Section 6(b)(5) of the Act \7\ in
particular in that it is designed to promote just and equitable
principles of trade, to remove impediments to and perfect the mechanism
of a free and open market and a national market system, and, in general
to protect investors and the public interest.
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    \6\ 15 U.S.C. 78f.
    \7\ 15 U.S.C. 78f(b)(5).
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    The proposed rule changes accomplish these objectives by enhancing
the current continued listing standards by clarifying that most initial
listing standards, as well as Continued Listing Representations, are
considered continued listing standards. Additionally, the Exchange is
proposing to require issuers to provide the Exchange with prompt
notification after an Executive Officer of the [sic] becomes aware of
any noncompliance and to clarify that deficiencies will be subject to
potential trade halts and delisting proceedings pursuant to Rule 14.12.
The Exchange believes that these amendments will enhance the Exchange's
listing rules, thereby serving to improve the national market system
and protect investors and the public interest.
    The Exchange does not believe that the cleanup changes have any
impact on the reasonable and equitable and not unfairly discriminatory
nature of the proposal.
    For these reasons, the Exchange believes that the proposed rule
change is consistent with the requirements of Section 6(b)(5) of the
Act.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act, as amended. The Exchange
believes that the proposed rule change to amend Rule 14.11 related to
the listing of ETPs, the notification requirement in Rule 14.11(a), and
the proposed related amendments to Rule 14.12 will have no impact on
competition. Furthermore, since Commission staff has provided the same
guidance regarding ETP continued listing requirements to all listing
exchanges, the Exchange believes that there will be no effect on
competition.

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

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

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

    Within 45 days of the date of publication of this notice in the
Federal Register or within such longer period up to 90 days (i) as the
Commission may designate if it finds such longer period to be
appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:
    (A) By order approve or disapprove such proposed rule change, or
    (B) institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please
include File Number SR-BatsBZX-2016-80 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-BatsBZX-2016-80. 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-BatsBZX-2016-80 and should
be submitted on or before December 28, 2016.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\8\
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    \8\ 17 CFR 200.30-3(a)(12).
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Brent J. Fields,
Secretary.
[FR Doc. 2016-29294 Filed 12-6-16; 8:45 am]
 BILLING CODE 8011-01-P