[Federal Register Volume 77, Number 238 (Tuesday, December 11, 2012)]
[Notices]
[Pages 73711-73716]
[FR Doc No: 2012-29843]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-68363; File No. S7-966]

Program for Allocation of Regulatory Responsibilities Pursuant to
Rule 17d-2; Notice of Filing and Order Approving and Declaring
Effective an Amendment to the Plan for the Allocation of Regulatory
Responsibilities Among the BATS Exchange, Inc., BOX Options Exchange,
LLC, the Chicago Board Options Exchange, Incorporated, C2 Options
Exchange, Incorporated, the International Securities Exchange, LLC,
Financial Industry Regulatory Authority, Inc., Miami International
Securities Exchange, LLC, the New York Stock Exchange LLC, NYSE MKT
LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc.,
and NASDAQ OMX PHLX, LLC. Concerning Options-Related Sales Practice
Matters

December 5, 2012.
    Notice is hereby given that the Securities and Exchange Commission
(``Commission'') has issued an Order, pursuant to Section 17(d) of the
Securities Exchange Act of 1934 (``Act''),\1\ approving and declaring
effective an amendment to the plan for allocating regulatory
responsibility filed on November 20, 2012, pursuant to Rule 17d-2 of
the Act,\2\ by the BATS Exchange, Inc. (``BATS''), BOX Options
Exchange, LLC (``BOX'') the Chicago Board Options Exchange,
Incorporated (``CBOE''), C2 Options Exchange, Incorporated (``C2''),
the International Securities Exchange, LLC (``ISE''), Financial
Industry Regulatory Authority, Inc. (``FINRA''), Miami International
Securities Exchange, LLC (``MIAX''), the New York Stock Exchange LLC
(``NYSE''), NYSE MKT LLC (``NYSE MKT''), NYSE Arca, Inc. (``Arca''),
The NASDAQ Stock Market LLC (``NASDAQ''), NASDAQ OMX BX, Inc. (``BX''),
and NASDAQ OMX PHLX, Inc. (``Phlx'') (collectively, ``SRO
participants'').
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78q(d).
    \2\ 17 CFR 240.17d-2.
---------------------------------------------------------------------------

I. Introduction

    Section 19(g)(1) of the Act,\3\ among other things, requires every
self-regulatory organization (``SRO'') registered as either a national
securities exchange or national securities association to examine for,
and enforce compliance by, its members and persons associated with its
members with the Act, the rules and regulations thereunder, and the
SRO's own rules, unless the SRO is relieved of this responsibility
pursuant to Section 17(d) \4\ or Section 19(g)(2) \5\ of the Act.
Without this relief, the statutory obligation of each individual SRO
could result in a pattern of multiple examinations of broker-dealers
that maintain memberships in more than one SRO (``common members'').
Such regulatory duplication would add unnecessary expenses for common
members and their SROs.
---------------------------------------------------------------------------

    \3\ 15 U.S.C. 78s(g)(1).
    \4\ 15 U.S.C. 78q(d).
    \5\ 15 U.S.C. 78s(g)(2).
---------------------------------------------------------------------------

    Section 17(d)(1) of the Act \6\ was intended, in part, to eliminate
unnecessary multiple examinations and regulatory duplication.\7\ With
respect to a common member, Section 17(d)(1) authorizes the Commission,
by rule or order, to relieve an SRO of the responsibility to receive
regulatory reports, to examine for and enforce compliance with
applicable statutes, rules, and regulations, or to perform other
specified regulatory functions.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78q(d)(1).
    \7\ See Securities Act Amendments of 1975, Report of the Senate
Committee on Banking, Housing, and Urban Affairs to Accompany S.
249, S. Rep. No. 94-75, 94th Cong., 1st Session 32 (1975).
---------------------------------------------------------------------------

    To implement Section 17(d)(1), the Commission adopted two rules:
Rule 17d-1 and Rule 17d-2 under the Act.\8\ Rule 17d-1 authorizes the
Commission to name a single SRO as the designated examining authority
(``DEA'') to examine common members for compliance with the financial
responsibility requirements imposed by the Act, or by Commission or SRO
rules.\9\ When an SRO has been named as a common member's DEA, all
other SROs to which the common member belongs are relieved of the
responsibility to examine the firm for compliance with the applicable
financial responsibility rules. On its face, Rule 17d-1 deals only with
an SRO's obligations to enforce member compliance with financial
responsibility requirements. Rule 17d-1 does not relieve an SRO from
its obligation to examine a common member for compliance with its own
rules and provisions of the federal securities laws governing matters
other than financial responsibility, including sales practices and
trading activities and practices.
---------------------------------------------------------------------------

    \8\ 17 CFR 240.17d-1 and 17 CFR 240.17d-2, respectively.
    \9\ See Securities Exchange Act Release No. 12352 (April 20,
1976), 41 FR 18808 (May 7, 1976).
---------------------------------------------------------------------------

    To address regulatory duplication in these and other areas, the
Commission adopted Rule 17d-2 under the Act.\10\ Rule 17d-2 permits
SROs to propose joint plans for the allocation of regulatory
responsibilities with respect to their common members. Under paragraph
(c) of Rule 17d-2, the Commission may declare such a plan effective if,
after providing for notice and comment, it determines that the plan is
necessary or appropriate in the public interest and for the protection
of investors, to foster cooperation and coordination among the SROs, to
remove impediments to, and foster the development of, a national market
system and a national clearance and settlement system, and is in
conformity with the factors set forth in Section 17(d) of the Act.
Commission approval of a plan filed pursuant to Rule 17d-2 relieves an
SRO of those regulatory responsibilities allocated by the plan to
another SRO.
---------------------------------------------------------------------------

    \10\ See Securities Exchange Act Release No. 12935 (October 28,
1976), 41 FR 49091 (November 8, 1976).
---------------------------------------------------------------------------

II. The Plan

    On September 8, 1983, the Commission approved the SRO participants'
plan for allocating regulatory responsibilities pursuant to Rule 17d-
2.\11\ On May 23, 2000, the Commission approved an amendment to the
plan that added the ISE as a participant.\12\ On November 8, 2002, the

Commission approved another amendment that replaced the original plan
in its entirety and, among other things, allocated regulatory
responsibilities among all the participants in a more equitable
manner.\13\ On February 5, 2004, the parties submitted an amendment to
the plan, primarily to include the Boston Stock Exchange, which was
establishing a new options trading facility to be known as the Boston
Options Exchange (``BOX''), as an SRO participant.\14\ On December 5,
2007, the parties submitted an amendment to the plan to, among other
things, provide that the National Association of Securities Dealers
(``NASD'') (n/k/a the Financial Industry Regulatory Authority, Inc. or
``FINRA'') and NYSE are Designated Options Examining Authorities under
the plan.\15\ On June 5, 2008, the parties submitted an amendment to
the plan primarily to remove the NYSE as a Designated Options Examining
Authority, leaving FINRA as the sole Designated Options Examining
Authority for all common members that are members of FINRA.\16\ On
February 9, 2010, the parties submitted a proposed amendment to the
plan to add BATS and C2 as SRO participants and to reflect the name
changes of the American Stock Exchange LLC to the NYSE Amex LLC, the
Boston Stock Exchange, Inc., to the NASDAQ OMX BX, Inc. and the
Philadelphia Stock Exchange, Inc. to the NASDAQ OMX PHLX, Inc. \17\ On
May 2, 2012, the parties submitted a proposed plan amendment to add BOX
as an SRO participant, and to amend Section XIII of the plan to set
forth a revised procedure for adding new participants to the plan.\18\
---------------------------------------------------------------------------

    \11\ See Securities Exchange Act Release No. 20158 (September 8,
1983), 48 FR 41256 (September 14, 1983).
    \12\ See Securities Exchange Act Release No. 42816 (May 23,
2000), 65 FR 34759 (May 31, 2000).
    \13\ See Securities Exchange Act Release No. 46800 (November 8,
2002), 67 FR 69774 (November 19, 2002).
    \14\ See Securities Exchange Act Release No. 49197 (February 5,
2004), 69 FR 7046 (February 12, 2004).
    \15\ See Securities Exchange Act Release No. 55532 (March 26,
2007), 72 FR 15729 (April 2, 2007).
    \16\ See Securities Exchange Act Release No. 57987 (June 18,
2008), 73 FR 36156 (June 25, 2008).
    \17\ See Securities Exchange Act Release No. 61589 (February 25,
2010), 75 FR 9976 (March 4, 2010).
    \18\ See Securities Exchange Act Release No. 66974 (May 11,
2012), 77 FR 29705 (May 18, 2012).
---------------------------------------------------------------------------

    The plan reduces regulatory duplication for a large number of firms
currently members of two or more of the SRO participants by allocating
regulatory responsibility for certain options-related sales practice
matters to one of the SRO participants. Generally, under the plan, the
SRO participant responsible for conducting options-related sales
practice examinations of a firm, and investigating options-related
customer complaints and terminations for cause of associated persons of
that firm, is known as the firm's ``Designated Options Examining
Authority'' (``DOEA''). Pursuant to the plan, any other SRO of which
the firm is a member is relieved of these responsibilities during the
period in which the firm is assigned to another SRO acting as that
firm's DOEA.

III. Proposed Amendment to the Plan

    On November 20, 2012, the parties submitted a proposed amendment to
the plan. The primary purpose of the amendment is to add MIAX as an SRO
participant. The amendment also reflects the name change of the NYSE
Amex LLC to NYSE MKT LLC. The text of the proposed amended 17d-2 plan
is as follows (additions are italicized; deletions are [bracketed]):
* * * * *

Agreement by and among BATS Exchange, Inc., BOX Options Exchange, LLC,
the Chicago Board Options Exchange, Incorporated, C2 Options Exchange,
Incorporated, the International Securities Exchange, LLC, Financial
Industry Regulatory Authority, Inc., [the] Miami International
Securities Exchange, LLC, the New York Stock Exchange LLC, the NYSE
[Amex] MKT LLC, the NYSE Arca, Inc., The NASDAQ Stock Market LLC,
NASDAQ OMX BX, Inc. and the NASDAQ OMX PHLX LLC Pursuant to Rule 17d-2
under the Securities Exchange Act of 1934.

    This agreement (``Agreement''), by and among BATS Exchange, Inc.,
BOX Options Exchange, LLC, the Chicago Board Options Exchange,
Incorporated, C2 Options Exchange, Incorporated, the International
Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc.
(``FINRA''), Miami International Securities Exchange, LLC, The NASDAQ
Stock Market LLC (``NASDAQ''), NASDAQ OMX BX, Inc., the New York Stock
Exchange LLC (``NYSE''), the NYSE [Amex] MKT LLC, the NYSE Arca, Inc.,
and the NASDAQ OMX PHLX LLC, hereinafter collectively referred to as
the Participants, is made this [25th] 19th day of [April] November,
2012, pursuant to the provisions of Rule 17d-2 under the Securities
Exchange Act of 1934 (the ``Exchange Act''), which allows for plans
among self-regulatory organizations to allocate regulatory
responsibility. This Agreement shall be administered by a committee
known as the Options Self-Regulatory Council (the ``Council'').
    This Agreement amends and restates the agreement entered into among
the Participants on [February 5, 2010] April 25, 2012, entitled
``Agreement by and among BATS Exchange, Inc., BOX Options Exchange,
LLC, the Chicago Board Options Exchange, Incorporated, C2 Options
Exchange, Incorporated, the International Securities Exchange, LLC,
Financial Industry Regulatory Authority, Inc., the New York Stock
Exchange LLC, NYSE Amex LLC, the NYSE Arca, Inc., the NASDAQ Stock
Market LLC, NASDAQ OMX BX, Inc. and the NASDAQ OMX PHLX, Inc., Pursuant
to Rule 17d-2 under the Securities Exchange Act of 1934.''
    WHEREAS, the Participants are desirous of allocating regulatory
responsibilities with respect to broker-dealers, and persons associated
therewith, that are members \1\ of more than one Participant (the
``Common Members'') and conduct a public business for compliance with
Common Rules (as hereinafter defined) relating to the conduct by
broker-dealers of accounts for listed options, index warrants, currency
index warrants and currency warrants (collectively, ``Covered
Securities''); and
---------------------------------------------------------------------------

    \1\ In the case of BOX Options Exchange, LLC (``BOX''), NASDAQ
OMX BX, Inc. (``BX'') and NASDAQ members are those persons who are
options participants (as defined in the BOX, BX and NASDAQ Options
Market Rules).
---------------------------------------------------------------------------

    WHEREAS, the Participants are desirous of executing a plan for this
purpose pursuant to the provisions of Rule 17d-2 and filing such plan
with the Securities and Exchange Commission (``SEC'' or the
``Commission'') for its approval;
    NOW, THEREFORE, in consideration of the mutual covenants contained
hereafter, the Participants agree as follows:

    I. As used herein the term Designated Options Examining
Authority (``DOEA'') shall mean: (1) FINRA insofar as it shall
perform Regulatory Responsibility (as hereinafter defined) for its
broker-dealer members that also are members of another Participant
or (2) the Designated Examination Authority (``DEA'') pursuant to
SEC Rule 17d-1 under the Securities Exchange Act (``Rule 17d-1'')
for a broker-dealer that is a member of a more than one Participant
(but not a member of FINRA).
    II. As used herein, the term ``Regulatory Responsibility'' shall
mean the examination and enforcement responsibilities relating to
compliance by Common Members with the rules of the applicable
Participant that are substantially similar to the rules of the other
Participants (the ``Common Rules''), insofar as they apply to the
conduct of accounts for Covered Securities. A list of the current
Common Rules of each Participant applicable to the conduct of
accounts for Covered Securities is attached hereto as Exhibit A.
Each year within 30 days of the anniversary date of the commencement
of operation of this Agreement, each Participant shall submit in
writing to FINRA and each DEA

performing as a DOEA for any members of such Participant any
revisions to Exhibit A reflecting changes in the rules of the
Participant, and confirm that all other rules of the Participant
listed in Exhibit A continue to meet the definition of Common Rules
as defined in this Agreement. Within 30 days from the date that
FINRA and each DEA performing as a DOEA has received revisions and/
or confirmation that no change has been made to Exhibit A from all
Participants, FINRA and each DEA performing as a DOEA shall confirm
in writing to each Participant whether the rules listed in any
updated Exhibit A are Common Rules as defined in this Agreement.
Notwithstanding anything herein to the contrary, it is explicitly
understood that the term ``Regulatory Responsibility'' does not
include, and each of the Participants shall (unless allocated
pursuant to Rule 17d-2 otherwise than under this Agreement) retain
full responsibility for, each of the following:
    (a) Surveillance and enforcement with respect to trading
activities or practices involving its own marketplace, including
without limitation its rules relating to the rights and obligations
of specialists and other market makers;
    (b) Registration pursuant to its applicable rules of associated
persons;
    (c) Discharge of its duties and obligations as a DEA; and
    (d) Evaluation of advertising, responsibility for which shall
remain with the Participant to which a Common Member submits same
for approval.
    III. Apparent violations of another Participant's rules
discovered by a DOEA, but which rules are not within the scope of
the discovering DOEA's Regulatory Responsibility, shall be referred
to the relevant Participant for such action as the Participant to
which such matter has been referred deems appropriate.
Notwithstanding the foregoing, nothing contained herein shall
preclude a DOEA in its discretion from requesting that another
Participant conduct an enforcement proceeding on a matter for which
the requesting DOEA has Regulatory Responsibility. If such other
Participants agree, the Regulatory Responsibility in such case shall
be deemed transferred to the accepting Participant and confirmed in
writing by the Participants involved. Each Participant agrees, upon
request, to make available promptly all relevant files, records and/
or witnesses necessary to assist another Participant in an
investigation or enforcement proceeding.
    IV. The Council shall be composed of one representative
designated by each of the Participants. Each Participant shall also
designate one or more persons as its alternate representative(s). In
the absence of the representative of a Participant, such alternate
representative shall have the same powers, duties and
responsibilities as the representative. Each Participant may, at any
time, by notice to the then Chair of the Council, replace its
representative and/or its alternate representative on such Council.
A majority of the Council shall constitute a quorum and, unless
specifically otherwise required, the affirmative vote of a majority
of the Council members present (in person, by telephone or by
written consent) shall be necessary to constitute action by the
Council. The representative from FINRA shall serve as Chair of the
Council. All notices and other communications for the Council shall
be sent to it in care of the Chair or to each of the
representatives.
    V. The Council shall determine the times and locations of
Council meetings, provided that the Chair, acting alone, may also
call a meeting of the Council in the event the Chair determines that
there is good cause to do so. To the extent reasonably possible,
notice of any meeting shall be given at least ten-business days
prior thereto. Notwithstanding anything herein to the contrary,
representatives shall always be given the option of participating in
any meeting telephonically at their own expense rather than in
person.
    VI. FINRA shall have Regulatory Responsibility for all Common
Members that are members of FINRA. For the purpose of fulfilling the
Participants' Regulatory Responsibilities for Common Members that
are not members of FINRA, the Participant that is the DEA shall
serve as the DOEA. All Participants shall promptly notify the DOEAs
no later than the next scheduled meeting of any change in membership
of Common Members. A DOEA may request that a Common Member that is
allocated to it be reallocated to another DOEA by giving thirty days
written notice thereof. The DOEAs in their discretion may approve
such request and reallocate such Common Member to another DOEA.
    VII. Each DOEA shall conduct an examination of each Common
Member. The Participants agree that, upon request, relevant
information in their respective files relative to a Common Member
will be made available to the applicable DOEA. At each meeting of
the Council, each DOEA shall be prepared to report on the status of
its examination program for the previous quarter and any period
prior thereto that has not previously been reported to the Council.
    VIII. Each DOEA will promptly furnish a copy of the Examination
report, relating to Covered Securities, of any examination made
pursuant to the provisions of this Agreement to each other
Participant of which the Common Member examined is a member.
    IX. Each DOEA's Regulatory Responsibility shall for each Common
Member allocated to it include investigations into terminations
``for cause'' of associated persons relating to Covered Securities,
unless such termination is related solely to another Participant's
market. In the latter instance, that Participant to whose market the
termination for cause relates shall discharge Regulatory
Responsibility with respect to such termination for cause. In
connection with a DOEA's examination, investigation and/or
enforcement proceeding regarding a Covered Security-related
termination for cause, the other Participants of which the Common
Member is a member shall furnish, upon request, copies of all
pertinent materials related thereto in their possession. As used in
this Section, ``for cause'' shall include, without limitation,
terminations characterized on Form U5 under the label ``Permitted to
Resign,'' ``Discharge'' or ``Other.''
    X. Each DOEA shall discharge the Regulatory Responsibility for
each Common Member allocated to it relative to a Covered Securities-
related customer complaint \2\ unless such complaint is uniquely
related to another Participant's market. In the latter instance, the
DOEA shall forward the matter to that Participant to whose market
the matter relates, and the latter shall discharge Regulatory
Responsibility with respect thereto. If a Participant receives a
customer complaint for a Common Member related to a Covered Security
for which the Participant is not the DOEA, the Participant shall
promptly forward a copy of such complaint to the DOEA.
---------------------------------------------------------------------------

    \2\ For purposes of complaints, they can be reported pursuant to
Form U4, Form U5 or RE-3 and any amendments thereto.
---------------------------------------------------------------------------

    XI. Any written notice required or permitted to be given under
this Agreement shall be deemed given if sent by certified mail,
return receipt requested, or by a comparable means of electronic
communication to each Participant entitled to receipt thereof, to
the attention of the Participant's representative on the Council at
the Participant's then principal office or by email at such address
as the representative shall have filed in writing with the Chair.
    XII. The Participants shall notify the Common Members of this
Agreement by means of a uniform joint notice approved by the
Council.
    XIII. This Agreement may be amended to add a new Participant
provided that such Participant does not assume Regulatory
Responsibility, solely by an amendment by FINRA and such new
Participant. All other Participants expressly consent to allow FINRA
to add new Participants to this Agreement as provided above. FINRA
will promptly notify all Participants of any such amendments to add
new Participants. All other amendments to this Agreement must be
approved in writing by each Participant. All amendments, including
adding a new Participant, must be filed with and approved by the SEC
before they become effective.
    XIV. Any of the Participants may manifest its intention to
cancel its participation in this Agreement at any time by giving the
Council written notice thereof at least 90 days prior to the
effective date of such cancellation. Upon receipt of such notice the
Council shall allocate, in accordance with the provisions of this
Agreement, any Common Members for which the petitioning party was
the DOEA. Until such time as the Council has completed the
reallocation described above; the petitioning Participant shall
retain all its rights, privileges, duties and obligations hereunder.
    XV. The cancellation of its participation in this Agreement by
any Participant shall not terminate this Agreement as to the
remaining Participants. This Agreement will only terminate following
notice to the Commission, in writing, by the then Participants that
they intend to terminate the Agreement and the expiration of the
applicable notice period. Such notice shall be given at least six
months prior to the intended date of termination, provided that in
the event a notice of cancellation is

received from a Participant that, assuming the effectiveness
thereof, would result in there being just one remaining member of
the Council, notice to the Commission of termination of this
Agreement shall be given promptly upon the receipt of such notice of
cancellation, which termination shall be effective upon the
effectiveness of the cancellation that triggered the notice of
termination to the Commission.
    XVI. No Participant nor the Council nor any of their respective
directors, governors, officers, employees or representatives shall
be liable to any other Participant in this Agreement for any
liability, loss or damage resulting from or claimed to have resulted
from any delays, inaccuracies, errors or omissions with respect to
the provision of Regulatory Responsibility as provided hereby or for
the failure to provide any such Responsibility, except with respect
to such liability, loss or damages as shall have been suffered by
one or more of the Participants and caused by the willful misconduct
of one or more of the other participants or their respective
directors, governors, officers, employees or representatives. No
warranties, express or implied, are made by any or all of the
Participants or the Council with respect to any Regulatory
Responsibility to be performed by each of them hereunder.
    XVII. Pursuant to Section 17(d)(1)(A) of the Securities Exchange
Act of 1934 and Rule 17d-2 promulgated pursuant thereto, the
Participants join in requesting the Securities and Exchange
Commission, upon its approval of this Agreement or any part thereof,
to relieve those Participants which are from time to time
participants in this Agreement which are not the DOEA as to a Common
Member of any and all Regulatory Responsibility with respect to the
matters allocated to the DOEA.

REVISED November 19, 2012

EXHIBIT A

RULES ENFORCED UNDER 17d-2 AGREEMENT

    Pursuant to Section II of the Agreement by and among BATS Exchange,
Inc. (``BATS''), BOX Options Exchange, LLC (``BOX''), the Chicago Board
Options Exchange, Incorporated (``CBOE''), C2 Options Exchange,
Incorporated (``C2''), the International Securities Exchange, LLC
(``ISE''), Financial Industry Regulatory Authority, Inc. (``FINRA''),
Miami International Securities Exchange, LLC (``MIAX''), The NASDAQ
Stock Market LLC (``NASDAQ''), NASDAQ OMX BX, Inc. (``BX''), the New
York Stock Exchange LLC (``NYSE''), the NYSE [Amex] MKT LLC (``NYSE
[Amex] MKT''), the NYSE Arca, Inc. (``NYSE ARCA''), and the NASDAQ OMX
PHLX LLC (``PHLX'') pursuant to Rule 17d-2 under the Securities
Exchange Act of 1934 dated November 19, 2012 (the ``Agreement''), a
revised list of the current Common Rules of each Participant, as
compared to those of FINRA, applicable to the conduct of accounts for
Covered Securities is set forth in this Exhibit A.

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

------------------------------------------------------------------------
                           Opening of Accounts
------------------------------------------------------------------------
NYSE [Amex] MKT......................  Rules 411, 921 and 1101
BATS.................................  Rule 26.2
BOX..................................  Rule 4020 \1\
CBOE.................................  Rule 9.7
C2*..................................  CBOE Rule 9.7
ISE..................................  Rule 608
FINRA................................  Rules 2360(b)(16) and 2352
NYSE.................................  Rule 721 \2\
MIAX.................................  Rule 1307
PHLX.................................  Rule 1024(b) and (c) \3\
NYSE ARCA............................  Options Rules 9.2(a) and 9.18(b)
                                        and Equities Rule 8.4
BX...................................  Chapter XI, Section 9
NASDAQ...............................  Chapter XI, Section 7
------------------------------------------------------------------------
                               Supervision
------------------------------------------------------------------------
NYSE [Amex] MKT......................  Rules 411, 922 and 1104
BATS.................................  Rule 26.3
BOX..................................  Rule 4030
CBOE.................................  Rule 9.8
C2...................................  CBOE Rule 9.8
ISE..................................  Rule 609
FINRA................................  Rules 2360(b)(20),
                                        2360(b)(17)(B), 2360(b)(16)(E),
                                        2355 and 2358
MIAX.................................  Rule 1308
NYSE.................................  N/A
PHLX.................................  Rule 1025
NYSE ARCA............................  Options Rules 9.2(b) and
                                        9.18(d)(2)(G) and Equities Rule
                                        8.7
BX...................................  Chapter XI, Section 10
NASDAQ...............................  Chapter XI, Section 8
------------------------------------------------------------------------
                               Suitability
------------------------------------------------------------------------
NYSE [Amex] MKT......................  Rules 923 and 1102
BATS.................................  Rule 26.4
BOX..................................  Rule 4040
CBOE.................................  Rule 9.9
C2...................................  CBOE Rule 9.9
ISE..................................  Rule 610
FINRA................................  Rule 2360(b)(19) and 2353
MIAX.................................  Rule 1309
NYSE.................................  Rule 723
PHLX.................................  Rule 1026
NYSE ARCA............................  Options Rule 9.18(c) and Equities
                                        Rule 8.5
BX...................................  Chapter XI, Section 11
NASDAQ...............................  Chapter XI, Section 9
------------------------------------------------------------------------
                         Discretionary Accounts
------------------------------------------------------------------------
NYSE MKT [Amex]......................  Rules 421, 924 and 1103
BATS.................................  Rule 26.5 \4\
BOX..................................  Rule 4050 \4\
CBOE.................................  Rule 9.10
C2...................................  CBOE Rule 9.10
ISE..................................  Rule 611
FINRA................................  Rules 2360(b)(18) and 2354
MIAX.................................  Rule 1310
NYSE.................................  N/A
PHLX.................................  Rule 1027
NYSE ARCA............................  Options Rule 9.18(e) and Equities
                                        Rule 8.6
BX...................................  Chapter XI, Section 12
NASDAQ...............................  Chapter XI, Section 10
------------------------------------------------------------------------
                  Customer Communications (Advertising)
------------------------------------------------------------------------
NYSE MKT [Amex]......................  Rules 991 and 1106
BATS.................................  Rule 26.16
BOX..................................  Rule 4170
CBOE.................................  Rule 9.21 \5\
C2...................................  CBOE Rule 9.21 \5\
ISE..................................  Rule 623 \6\
FINRA................................  Rules 2220 and 2357
MIAX.................................  Rule 1322
NYSE.................................  N/A
PHLX.................................  N/A
NYSE ARCA............................  Options Rules 9.21(a) and 9.21(b)
BX...................................  Chapter XI, Section 24
NASDAQ...............................  Chapter XI, Section 22
------------------------------------------------------------------------
                           Customer Complaints
------------------------------------------------------------------------
NYSE MKT [Amex]......................  Rules 932 and 1105
BATS.................................  Rule 26.17
BOX..................................  Rule 4190
CBOE.................................  Rule 9.23
C2...................................  CBOE Rule 9.23
ISE..................................  Rule 625
FINRA................................  FINRA Rules 2360(b)(17)(A) and
                                        2356
MIAX.................................  Rule 1324
NYSE.................................  Rules 732
PHLX.................................  Rule 1070
NYSE ARCA............................  Options Rule 9.18(I) and Equities
                                        Rule 8.8
BX...................................  Chapter XI, Section 26
NASDAQ...............................  Chapter XI, Section 24
------------------------------------------------------------------------
                           Customer Statements
------------------------------------------------------------------------
NYSE MKT [Amex]......................  Rules 419 and 930
BATS.................................  Rule 26.7
BOX..................................  Rule 4070
CBOE.................................  Rule 9.12
C2...................................  CBOE Rule 9.12
ISE..................................  Rules 613
FINRA................................  Rule 2360(b)(15)
MIAX.................................  Rule 1312
NYSE.................................  Rules 730
PHLX.................................  Rule 1032
NYSE ARCA............................  Options Rule 9.18(j)
BX...................................  Chapter XI, Sections 14
NASDAQ...............................  Chapter XI, Section 12
------------------------------------------------------------------------
                              Confirmations
------------------------------------------------------------------------
NYSE MKT [Amex]......................  Rule 925
BATS.................................  Rule 26.6
BOX..................................  Rule 4060 \7\
CBOE.................................  Rule 9.11
C2...................................  CBOE Rule 9.11
ISE..................................  Rule 612
FINRA................................  Rule 2360(b)(12)
MIAX.................................  Rule 1311
NYSE.................................  Rules 725\8\
PHLX.................................  Rule 1028
NYSE ARCA............................  Options Rule 9.18(f)
BX...................................  Chapter XI, Section 13
NASDAQ...............................  Chapter XI, Section 11
------------------------------------------------------------------------

                Allocation of Exercise Assignment Notices
------------------------------------------------------------------------
NYSE MKT [Amex]......................  Rule 981
BATS.................................  Rule 23.2
BOX..................................  Rule 9010
CBOE.................................  Rule 11.2
C2...................................  CBOE Rule 11.2
ISE..................................  Rule1101
FINRA................................  Rule 2360(b)(23)(C)
MIAX.................................  Rule 701
NYSE.................................  Rule 781
PHLX.................................  Rule 1043
NYSE ARCA............................  Options Rule 6.25(a)
BX...................................  Chapter VII, Section 2
NASDAQ...............................  Chapter VIII, Section 2
------------------------------------------------------------------------
                          Disclosure Documents
------------------------------------------------------------------------
NYSE MKT [Amex]......................  Rules 921 and 926
BATS.................................  Rule 26.10
BOX..................................  Rule 4100
CBOE.................................  Rule 9.15
C2...................................  CBOE Rule 9.15
ISE..................................  Rule 616
FINRA................................  Rule 2360(b)(11)
MIAX.................................  Rule 1315
NYSE.................................  Rule 726 (a) and (c)
PHLX.................................  Rule 1024(b)(v), 1029
NYSE ARCA............................  Options Rule 9.18(g)
BX...................................  Chapter XI, Section 17
NASDAQ...............................  Chapter XI, Section 15
------------------------------------------------------------------------
                 Branch Offices of Member Organizations
------------------------------------------------------------------------
NYSE MKT [Amex]......................  Rule 922(d) \9\
BOX..................................  Rule 4010(b)
CBOE.................................  Rule 9.6
C2...................................  CBOE Rule 9.6
ISE..................................  Rule 607
FINRA................................  Rules 2360(b)(20)(B) and 2355
MIAX.................................  1306
NYSE.................................  N/A
PHLX.................................  N/A
NYSE ARCA............................  Options Rule 9.18(m)
BX...................................  Chapter XI, Section 8
NASDAQ...............................  Chapter XI, Section 6
------------------------------------------------------------------------
                     Prohibition Against Guarantees
------------------------------------------------------------------------
NYSE MKT [Amex]......................  Rule 390
BATS.................................  Rule 26.13
BOX..................................  Rule 4130
CBOE.................................  Rule 9.18
C2...................................  CBOE Rule 9.18
ISE..................................  Rules 619
FINRA................................  Rule 2150(b)
MIAX.................................  Rule 1318
NYSE.................................  Rule 2150(b)
PHLX.................................  Rule 777
NYSE ARCA............................  Options Rule 9.1(e)
BX...................................  Chapter XI, Sections 20 and 21
NASDAQ...............................  Chapter XI, Sections 18 and 19
------------------------------------------------------------------------
                           Sharing in Accounts
------------------------------------------------------------------------
NYSE MKT [Amex]......................  Rule 390
BATS.................................  Rule 26.14
BOX..................................  Rule 4140
CBOE.................................  Rule 9.18(b)
C2...................................  CBOE Rule 9.18(b)
ISE..................................  Rule 620 \10\
FINRA................................  Rule 2150(c)
MIAX.................................  Rule 1319
NYSE.................................  Rules 2150(c)
PHLX.................................  N/A
NYSE ARCA............................  Options Rule 9.1(f)
BX...................................  Chapter XI, Section 21
NASDAQ...............................  Chapter XI, Section 19 \11\
------------------------------------------------------------------------
                           Registration of Rop
------------------------------------------------------------------------
NYSE MKT [Amex]......................  Rule 920
BATS.................................  17.2(g)(1), (2), (6) and (7)
BOX..................................  Rule 2020(c)(1), (e)(1) and IM-
                                        2040-4 and IM-2040-5(b)
CBOE.................................  Rule 9.2
C2...................................  CBOE Rule 9.2
ISE..................................  Rule 601
FINRA................................  NASD Rules 1022(f) & IM-1022-1
MIAX.................................  Rule 1301
NYSE.................................  N/A
PHLX.................................  Rule 1024(a)(i)
NYSE ARCA............................  Options Rule 9.26
BX...................................  Chapter XI, Section 2
NASDAQ...............................  Chapter XI, Section 2
------------------------------------------------------------------------
                  Certification of Registered Personnel
------------------------------------------------------------------------
NYSE MKT [Amex]......................  Rule 920
BATS.................................  Rule 2.5 Interpretation .01(c)
                                        and 11.4(e)
BOX..................................  IM-2040-3
CBOE.................................  Rule 9.3
C2...................................  CBOE Rule 9.3
ISE..................................  Rule 602
FINRA................................  NASD Rule 1032(d)
MIAX.................................  Rule 1302
NYSE.................................  N/A
PHLX.................................  Rule 1024
NYSE ARCA............................  Options Rule 9.27(a)
BX...................................  Chapter XI, Section 3
NASDAQ...............................  Chapter XI, Section 3
------------------------------------------------------------------------
* Pursuant to C2 Chapters 9 and 11, the rules contained in CBOE Chapters
  IX and XI and referenced herein shall apply to C2.
\1\ FINRA shall not have any Regulatory Responsibility regarding the
  requirement for designation of Senior Options Principal and Compliance
  Options Principal.
\2\ FINRA shall not have any Regulatory Responsibility regarding opening
  short uncovered option accounts requirements.
\3\ FINRA shall not have any Regulatory Responsibility regarding foreign
  currency option requirements specified in any of the PHLX rules in
  this Exhibit A.
\4\ FINRA shall not have any Regulatory Responsibility to enforce this
  rule as to time and price discretion in institutional accounts. In
  addition FINRA shall not have any Regulatory Responsibility regarding
  BOX Rule 4050(a)(2).
\5\ FINRA shall not have any Regulatory Responsibility regarding CBOE's
  and C2's requirements to the extent that a customer would meet FINRA's
  definition of Institutional Investor and Institutional Sales Material
  but would not meet the requirements for such definitions in under
  CBOE's and C2's rule.
\6\ FINRA shall not have any Regulatory Responsibility regarding ISE's
  requirements to the extent that a customer would meet FINRA's
  definition of Institutional Investor and Institutional Sales Material
  but would not meet the requirements for such definitions in under such
  rule. In addition, FINRA shall not have any Regulatory Responsibility
  regarding ISE's requirements regarding approval of all market letters.
\7\ FINRA shall not have any Regulatory Responsibility regarding the
  requirement in confirmations to distinguish between BOX option
  transactions and other transactions in option contracts.
\8\ FINRA shall not have any Regulatory Responsibility regarding the
  requirement in confirmations to distinguish between NYSE option
  transactions and other transactions in option contracts.
\9\ FINRA shall only have Regulatory Responsibility for the first
  paragraph and shall not have any Regulatory Responsibility regarding
  the requirements for debt options.
\10\ FINRA shall not have any Regulatory Responsibility regarding ISE's
  requirements to the extent its rule does not contain an exception to
  permit sharing in the profits and losses of an account.
\11\ FINRA shall not have any Regulatory Responsibility regarding
  NASDAQ's requirements to the extent such rules do not contain an
  exception addressing immediate family.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/other.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number S7-966 on the subject line.

Paper Comments

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

All submissions should refer to File Number S7-966. This file number
should be included on the subject line if email is used. To help the
Commission process and review your comments more efficiently, please
use only one method. The Commission will post all comments on the
Commission's Internet Web site (http://www.sec.gov/rules/other.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed plan that are filed with the
Commission, and all written communications relating to the proposed
plan 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, on
official business days between the hours of 10:00 a.m. and 3:00 p.m.
Copies of the plan also will be available for inspection and copying at
the principal offices of BATS, BOX, CBOE, C2, ISE, FINRA, MIAX, NYSE,
NYSE MKT, Arca, NASDAQ, BX and the Phlx. 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 S7-966 and should be submitted on or before
January 2, 2013.

V. Discussion

    The Commission continues to believe that the proposed plan is an
achievement in cooperation among the SRO participants. The Plan, as
amended, will reduce unnecessary regulatory duplication by allocating
to the designated SRO the responsibility for certain options-related
sales practice matters that would otherwise be performed by multiple
SROs. The plan promotes efficiency by reducing costs to firms that are
members of more than one of the SRO participants. In addition, because
the SRO participants coordinate their regulatory functions in
accordance with the plan, the plan promotes, and will continue to
promote, investor protection.
    Under paragraph (c) of Rule 17d-2, the Commission may, after
appropriate notice and comment, declare a plan, or any part of a plan,
effective. In this instance, the Commission believes that appropriate
notice and comment can take place after the proposed amendment is
effective. The primary purpose of the amendment is to add MIAX as an
SRO participant. By declaring it effective today, the amended Plan can
become effective and be implemented without undue delay.\19\ The
Commission notes that the prior version of this plan immediately prior
to this proposed amendment was published for comment and the Commission
did not receive any comments thereon.\20\ Furthermore, the Commission
does not believe that the amendment to the plan raises any new
regulatory issues that the Commission has not previously considered.
---------------------------------------------------------------------------

    \19\ On December 3, 2012, the Commission granted MIAX's
application for registration as a national securities exchange. See
Securities Exchange Act Release No. 68341 (File No. 10-207).
    \20\ See supra note 18 (citing to Securities Exchange Act
Release No. 66974).
---------------------------------------------------------------------------

VI. Conclusion

    This order gives effect to the amended plan submitted to the
Commission that is contained in File No. S7-966.
    It is therefore ordered, pursuant to Section 17(d) of the Act,\21\
that the amended plan dated November 19, 2012, by and between the BATS,
BOX, CBOE, C2, ISE, FINRA, MIAX, NYSE, NYSE MKT, Arca, NASDAQ, BX and
the Phlx filed pursuant to Rule 17d-2 on November 20, 2012 is hereby
approved and declared effective.
---------------------------------------------------------------------------

    \21\ 15 U.S.C. 78q(d).
---------------------------------------------------------------------------

    It is further ordered that those SRO participants that are not the
DOEA as to a particular common member are relieved of those regulatory
responsibilities allocated to the common member's DOEA under the
amended plan to the extent of such allocation.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\22\
---------------------------------------------------------------------------

    \22\ 17 CFR 200.30-3(a)(34).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-29843 Filed 12-10-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 6 (Wednesday, January 9, 2013)]
[Notices]
[Page 1850]
[FR Doc No: 2013-00264]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP13-31-000]

Gulf South Pipeline Company, LP; Notice of Application for
Abandonment

    Take notice that on December 19, 2012, Gulf South Pipeline Company,
LP (Gulf South), 9 Greenway Plaza, Suite 2800, Houston, TX 77046, filed
in Docket No. CP13-31-000, an application pursuant to sections 157.7
and 157.18 of the Commission's Regulations under the Natural Gas Act
(NGA) as amended. Gulf South seeks authority to abandon the Magnolia
Gas Storage Facility (Magnolia Facility) at the Napoleonville salt dome
in Assumption Parish, Louisiana, and the storage services provided from
that facility, all as more fully set forth in the application on file
with the Commission and open to public inspection. Gulf South also
seeks Commission authority to idle the facilities remaining at the
Magnolia Facility which were constructed and placed into natural gas
service in 2003, but are not proposed for refunctionalization as
transmission facilities in Docket No. CP13-12-000. These facilities
will remain physically in place and held for future use.
    The filing may also be viewed on the Web at 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. For
assistance, please contact FERC Online Support at
<EMAIL_ADDRESS>or toll free at<PHONE_NUMBER>, or TTY,
contact<PHONE_NUMBER>.
    Any questions concerning this application may be directed to
Michael E. McMahon, Senior Vice President and General Counsel; J. Kyle
Stephens, Vice President, Regulatory Affairs; or M.L. Gutierrez,
Director, Regulatory Affairs, at Boardwalk Pipeline Partners, LP, 9
Greenway Plaza, Suite 2800, Houston, TX 77046, telephone (713) 479-
8252, fax<PHONE_NUMBER> or email<EMAIL_ADDRESS>
<EMAIL_ADDRESS>or<EMAIL_ADDRESS>    There are two ways to become involved in the Commission's review of
this project. First, any person wishing to obtain legal status by
becoming a party to the proceedings for this project should, before the
comment date of this notice, file with the Federal Energy Regulatory
Commission, 888 First Street NE., Washington, DC 20426, a motion to
intervene in accordance with the requirements of the Commission's Rules
of Practice and Procedure (18 CFR 385.214 or 385.211) and the
Regulations under the NGA (18 CFR 157.10). A person obtaining party
status will be placed on the service list maintained by the Secretary
of the Commission and will receive copies of all documents filed by the
applicant and by all other parties. A party must submit 14 copies of
filings made with the Commission and must mail a copy to the applicant
and to every other party in the proceeding. Only parties to the
proceeding can ask for court review of Commission orders in the
proceeding.
    Persons who wish to comment only on the environmental review of
this project should submit an original and two copies of their comments
to the Secretary of the Commission. Environmental commenter's will be
placed on the Commission's environmental mailing list, will receive
copies of the environmental documents, and will be notified of meetings
associated with the Commission's environmental review process.
Environmental commenter's will not be required to serve copies of filed
documents on all other parties. However, the non-party commentary, will
not receive copies of all documents filed by other parties or issued by
the Commission (except for the mailing of environmental documents
issued by the Commission) and will not have the right to seek court
review of the Commission's final order.
    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 should
submit an original and 7 copies of the protest or intervention to the
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426.
    Comment Date: 5:00 p.m. Eastern Time on January 24, 2013.

    Dated: January 3, 2013.
Kimberly D. Bose,
Secretary.
[FR Doc. 2013-00264 Filed 1-8-13; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 78, Number 76 (Friday, April 19, 2013)]
[Rules and Regulations]
[Pages 23458-23462]
[FR Doc No: 2013-09108]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2013-0306; Directorate Identifier 2013-NM-049-AD;
Amendment 39-17417; AD 2013-07-13]
RIN 2120-AA64

Airworthiness Directives; Dassault Aviation Airplanes

AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).

ACTION: Final rule; request for comments.

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

SUMMARY: We are adopting a new airworthiness directive (AD) for all
Dassault Aviation Model FALCON 7X airplanes. This AD requires revising
the aircraft flight manual (AFM); performing operational tests of the
oxygen mask oxygen assembly; and replacing affected stowage boxes,
which terminates the AFM revision and operational tests. This AD was
prompted by failure of the flight crew oxygen supply due to a
potentially defective flight crew mask oxygen assembly. We are issuing
this AD to prevent failure to supply oxygen upon demand to the flight
crew in flight in ``100%'' and ``Emergency'' modes, which, in an
emergency, may result in incapacitation of the flight crew.

DATES: This AD becomes effective May 6, 2013.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in the AD as of May 6, 2013.
    We must receive comments on this AD by June 3, 2013.

ADDRESSES: You may send comments by any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC 20590.
     Hand Delivery: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov; or in person at the

Docket Operations office between 9 a.m. and 5 p.m., Monday through
Friday, except Federal holidays. The AD docket contains this AD, the
regulatory evaluation, any comments received, and other information.
The street address for the Docket Operations office (telephone (800)
647-5527) is in the ADDRESSES section. Comments will be available in
the AD docket shortly after receipt.

FOR FURTHER INFORMATION CONTACT: Tom Rodriguez, Aerospace Engineer,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
1601 Lind Avenue SW., Renton, Washington 98057-3356; telephone 425-227-
1137; fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Discussion

    The European Aviation Safety Agency (EASA), which is the Technical
Agent for the Member States of the European Community, has issued
emergency EASA Airworthiness Directive 2013-0059-E, dated March 8, 2013
(referred to after this as the Mandatory Continuing Airworthiness
Information, or ``the MCAI''), to correct an unsafe condition for the
specified products. The MCAI states:

    During an aeroplane delivery flight test, the flight crew oxygen
supply failed. The technical investigations carried out by the
flight crew oxygen mask and stowage box manufacturer identified
potentially defective flight crew mask oxygen assembly part number
(P/N) MSE30-005-3-8 including stowage box P/N CSD 30-005-3-8.
    This condition, if not detected and corrected, may cause failure
to supply oxygen upon demand to the flight crew in flight in
``100%'' and ``Emergency'' modes which, in case of an emergency, may
result in incapacitation of the flight crew.
    To address this potential unsafe condition, Dassault Aviation
(DA) issued Service Bulletin (SB) F7X-241, containing instructions
to identify and replace the affected flight crew oxygen masks and
stowage boxes.
    For the reasons described above, this [EASA] AD requires
[revision of the aircraft flight manual and] accomplishment of
operational tests of each flight crew oxygen mask and replacement of
the affected stowage boxes with serviceable parts. Replacement
constitutes terminating action for the [AFM revision and] repetitive
operational tests.

You may obtain further information by examining the MCAI in the AD
docket.

Relevant Service Information

    Dassault Aviation has issued Mandatory Service Bulletin 7X-241,
dated March 7, 2013. The actions described in this service information
are intended to correct the unsafe condition identified in the MCAI.

FAA's Determination and Requirements of This AD

    This product has been approved by the aviation authority of another
country, and is approved for operation in the United States. Pursuant
to our bilateral agreement with the State of Design Authority, we have
been notified of the unsafe condition described in the MCAI and service
information referenced above. We are issuing this AD because we
evaluated all pertinent information and determined the unsafe condition
exists and is likely to exist or develop on other products of the same
type design.

Explanation of Compliance Times

    The MCAI requires revising the AFM before further flight. This AD,
however, provides a compliance time of 14 days, which will provide an
adequate level of safety without unnecessarily grounding airplanes.
    Replacing affected oxygen mask stowage boxes terminates the
requirement to revise the AFM. The MCAI requires replacing the stowage
boxes within a specified time after the effective date. This AD,
however, requires compliance within the specified time after the AFM
revision to avoid potentially conflicting compliance times that could
require operators to replace the stowage box before revising the AFM.

FAA's Determination of the Effective Date

    An unsafe condition exists that requires the immediate adoption of
this AD. The FAA has found that the risk to the flying public justifies
waiving notice and comment prior to adoption of this rule because
failure to supply oxygen upon demand to the flight crew in flight in
``100%'' and ``Emergency'' modes in an emergency may result in
incapacitation of the flight crew. Therefore, we determined that notice
and opportunity for public comment before issuing this AD are
impracticable and that good cause exists for making this amendment
effective in fewer than 30 days.

Comments Invited

    This AD is a final rule that involves requirements affecting flight
safety, and we did not precede it by notice and opportunity for public
comment. We invite you to send any written relevant data, views, or
arguments about this AD. Send your comments to an address listed under
the ADDRESSES section. Include ``Docket No. FAA-2013-0306; Directorate
Identifier 2013-NM-049-AD'' at the beginning of your comments. We
specifically invite comments on the overall regulatory, economic,
environmental, and energy aspects of this AD. We will consider all
comments received by the closing date and may amend this AD because of
those comments.
    We will post all comments we receive, without change, to http://www.regulations.gov, including any personal information you provide. We
will also post a report summarizing each substantive verbal contact we
receive about this AD.

Costs of Compliance

    We estimate that this AD will affect 9 products of U.S. registry.
We also estimate that it will take about 4 work-hours per product to
comply with the basic requirements of this AD. The average labor rate
is $85 per work-hour. Required parts will cost about $0 per product.
Where the service information lists required parts costs that are
covered under warranty, we have assumed that there will be no charge
for these parts. As we do not control warranty coverage for affected
parties, some parties may incur costs higher than estimated here. Based
on these figures, we estimate the cost of this AD to the U.S. operators
to be up to $3,060, or $340 per product.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. ``Subtitle VII: Aviation
Programs,'' describes in more detail the scope of the Agency's
authority.
    We are issuing this rulemaking under the authority described in
``Subtitle VII, Part A, Subpart III, Section 44701: General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.

Regulatory Findings

    We determined that this AD will not have federalism implications
under Executive Order 13132. This AD will not have a substantial direct
effect on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.

    For the reasons discussed above, I certify that this AD:
    1. Is not a ``significant regulatory action'' under Executive Order
12866;
    2. Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979);
    3. Will not affect intrastate aviation in Alaska; and
    4. Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.
    We prepared a regulatory evaluation of the estimated costs to
comply with this AD and placed it in the AD docket.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

Adoption of the Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA amends 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13  [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new AD:

2013-07-13 Dassault Aviation: Amendment 39-17417. Docket No. FAA-
2013-0306; Directorate Identifier 2013-NM-049-AD.

(a) Effective Date

    This airworthiness directive (AD) becomes effective May 6, 2013.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to Dassault Aviation Model Falcon 7X airplanes,
certificated in any category, all serial numbers (S/Ns).

(d) Subject

    Air Transport Association (ATA) of America Code 35, Oxygen.

(e) Reason

    This AD was prompted by failure of the flight crew oxygen supply
due to a potentially defective flight crew mask oxygen assembly. We
are issuing this AD to prevent failure to supply oxygen upon demand
to the flight crew in flight in ``100%'' and ``Emergency'' modes
which, in an emergency, may result in incapacitation of the flight
crew.

(f) Compliance

    You are responsible for having the actions required by this AD
performed within the compliance times specified, unless the actions
have already been done.

(g) Airplanes Excluded from Certain Requirements

    Airplanes equipped with flight crew mask oxygen assembly part
number (P/N) MSE30-005-3-8 and a stowage box P/N CSD 30-005-3-8 with
S/N 1013 or higher, or serial number below 1013 with the suffix ``-
A,'' are not subject to the requirements of paragraphs (h), (i), and
(l) of this AD.

(h) Revision of Aircraft Flight Manual (AFM)

    Within 14 days after the effective date of this AD, revise the
Normal Procedures and Limitations sections of the Dassault Falcon
Aircraft Flight Manual (AFM) to include the statement provided in
Figure 1 to paragraph (h) of this AD, and thereafter operate the
airplane accordingly. The AFM revision may be done by inserting a
copy of this AD into the AFM.

[GRAPHIC] [TIFF OMITTED] TR19AP13.000

    Note 1 to paragraph (h) of this AD:  When a statement identical
to that in Figure 1 to paragraph (h) of this AD has been included in
the Normal Procedures and Limitations sections of the general
revisions of the AFM, the general revisions may be inserted into the
AFM, and the copy of this AD may be removed from the AFM.

(i) Operational Test

    After revising the AFM as required by paragraph (h) of this AD:
At the applicable time specified in paragraph (i)(1) or (i)(2) of
this AD, do an operational test of the flight crew mask oxygen
assembly, using the procedure in the ``Quick Donning Oxygen Mask
Additional Test'' specified in Figure 1 to paragraph (h) of this AD.
    (1) For any flight crew mask oxygen assembly that has
accumulated less than 50 total flight hours: Do the operational test
before each flight.
    (2) For any flight crew mask oxygen assembly that has
accumulated 50 or more total flight hours: Do the operational test
one time, before further flight.

(j) Corrective Actions

    If any operational test specified in paragraph (i) of this AD is
not successful: Before further flight, replace the affected stowage
box with a serviceable stowage box, in accordance with the
Accomplishment Instructions of Dassault Mandatory Service Bulletin
7X-241, dated March 7, 2013, except dispatch of the airplane with
the third crew oxygen mask inoperative is allowed as specified in
the Master Minimum Equipment List (MMEL) Item 35-3.

(k) Definition

    For purposes of this AD, a serviceable stowage box has P/N CSD
30-005-3-8 with any S/N 1013 or higher, or any serial number below
1013 with the suffix ``-A.''

(l) Terminating Action

    Except as required by paragraph (j) of this AD, at the
applicable time specified in paragraph (l)(1) or (l)(2) of this AD,
replace any non-serviceable stowage box with a serviceable stowage
box, in accordance with the Accomplishment Instructions of Dassault
Mandatory Service Bulletin 7X-241, dated March 7, 2013. Replacement
of all affected stowage boxes terminates the requirements of
paragraphs (h) and (i) of this AD, and the AFM revision required by
paragraph (h) of this AD may be removed from the AFM.
    (1) For a stowage box that has accumulated less than 50 total
flight hours as of the effective date of this AD: Replace the
stowage box within 8 days after the AFM revision required by
paragraph (h) of this AD.
    (2) For a stowage box that has accumulated 50 or more total
flight hours as of the effective date of this AD: Replace the
stowage box within 65 days after the AFM revision required by
paragraph (h) of this AD.

(m) Parts Installation Prohibition

    As of the effective date of this AD, no person may install a
non-serviceable flight crew oxygen mask stowage box any airplane.

(n) Other FAA AD Provisions

    The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
has the authority to approve AMOCs for this AD, if requested using
the procedures found in 14 CFR 39.19. In accordance with 14 CFR
39.19, send your request to your principal inspector or local Flight
Standards District Office, as appropriate. If sending information
directly to the International Branch, send it to ATTN: Tom
Rodriguez, Aerospace Engineer, International Branch, ANM-116,
Transport Airplane Directorate, FAA, 1601 Lind Avenue SW., Renton,
Washington 98057-3356; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>.
Information may be emailed to<EMAIL_ADDRESS>
Before using any approved AMOC, notify your appropriate principal
inspector, or lacking a principal inspector, the manager of the
local flight standards district office/certificate holding district
office. The AMOC approval letter must specifically refer to this AD.
    (2) Airworthy Product: For any requirement in this AD to obtain
corrective actions from a manufacturer or other source, use these
actions if they are FAA approved. Corrective actions are considered
FAA approved if they are approved by the State of Design Authority
(or their delegated agent). You are required to ensure the product
is airworthy before it is returned to service.

(o) Related Information

    Refer to Mandatory Continuing Airworthiness Information (MCAI)
emergency European Aviation Safety Agency (EASA) Airworthiness
Directive 2013-0059-E, dated March 8, 2013; and Dassault Mandatory
Service Bulletin 7X-241, dated March 7, 2013; for related
information.

(p) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) of the service information listed
in this paragraph under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) You must use this service information as applicable to do
the actions required by this AD, unless the AD specifies otherwise.
    (i) Dassault Mandatory Service Bulletin 7X-241, dated March 7,
2013.
    (ii) Reserved.
    (3) For service information identified in this AD, contact
Dassault Falcon Jet, P.O. Box 2000, South Hackensack, NJ 07606;
telephone<PHONE_NUMBER>; Internet http://www.dassaultfalcon.com.
    (4) You may review copies of the service information at the FAA,
Transport Airplane Directorate, 1601 Lind Avenue SW., Renton, WA.
For information on the availability of this material at the FAA,
call<PHONE_NUMBER>.
    (5) You may view this service information that is incorporated
by reference at the National Archives and Records Administration
(NARA). For information on the availability of this material at
NARA, call<PHONE_NUMBER>, or go to http://www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued in Renton, Washington, on April 3, 2013.
Ali Bahrami,
Manager,Transport Airplane Directorate,Aircraft Certification Service.
[FR Doc. 2013-09108 Filed 4-18-13; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 82, Number 166 (Tuesday, August 29, 2017)]
[Notices]
[Pages 41012-41013]
[FR Doc No: 2017-18245]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

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

    Docket Numbers: EC17-158-000.
    Applicants: CPV Towantic, LLC, Towantic Energy Holdings, LLC,
Aircraft Services Corporation.
    Description: Correction to August 15, 2017 Application for
Authorization under Section 203 of the Federal Power Act and Request
for Waivers, Confidential Treatment, Expedited Action and Shortened
Comment Period of CPV Towantic, LLC, et al.
    Filed Date: 8/21/17.
    Accession Number: 20170821-5157.
    Comments Due: 5 p.m. ET 9/5/17.

    Docket Numbers: EC17-163-000.
    Applicants: MDU Resources Group, Inc.
    Description: Application of MDU Resources Group, Inc. for
Authorization Under FPA Section 203(a)(1)(B) and Request for Expedited
Consideration and Confidential Treatment.
    Filed Date: 8/22/17.
    Accession Number: 20170822-5159.
    Comments Due: 5 p.m. ET 9/12/17.

    Take notice that the Commission received the following exempt
wholesale generator filings:

    Docket Numbers: EG17-144-000.
    Applicants: St. Joseph Energy Center, LLC.
    Description: St. Joseph Energy Center, LLC Submits Self-
Certification of EWG Status.
    Filed Date: 8/23/17.
    Accession Number: 20170823-5015.
    Comments Due: 5 p.m. ET 9/13/17.

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

    Docket Numbers: ER17-2342-000.
    Applicants: Bladen Solar, LLC.
    Description: Baseline eTariff Filing: Baseline new to be effective
10/10/2017.
    Filed Date: 8/22/17.
    Accession Number: 20170822-5135.
    Comments Due: 5 p.m. ET 9/12/17.

    Docket Numbers: ER17-2343-000.
    Applicants: Bullock Solar, LLC.
    Description: Baseline eTariff Filing: Baseline new to be effective
10/4/2017.

    Filed Date: 8/22/17.
    Accession Number: 20170822-5137.
    Comments Due: 5 p.m. ET 9/12/17.

    Docket Numbers: ER17-2344-000.
    Applicants: Northern States Power Company, a Minnesota corporation.
    Description: Sec.  205(d) Rate Filing: 2017-8-22 GRE TSA
Termination Agrmt-RS 309 to be effective 10/22/2017.
    Filed Date: 8/22/17.
    Accession Number: 20170822-5138.
    Comments Due: 5 p.m. ET 9/12/17.

    Docket Numbers: ER17-2345-000.
    Applicants: EC&R Energy Marketing, LLC.
    Description: Baseline eTariff Filing: Application for Market Based
Rate to be effective 10/22/2017.
    Filed Date: 8/23/17.
    Accession Number: 20170823-5018.
    Comments Due: 5 p.m. ET 9/13/17.

    Docket Numbers: ER17-2346-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: 2017-08-23_Termination of
Project J235 E&P Agreements (SA 2549 & SA 2517) to be effective 8/24/
2017.
    Filed Date: 8/23/17.
    Accession Number: 20170823-5021.
    Comments Due: 5 p.m. ET 9/13/17.

    Docket Numbers: ER17-2347-000.
    Applicants: Louisville Gas and Electric Company.
    Description: Sec.  205(d) Rate Filing: Att I and Att R Updates to
be effective 10/23/2017.
    Filed Date: 8/23/17.
    Accession Number: 20170823-5029.
    Comments Due: 5 p.m. ET 9/13/17.

    Docket Numbers: ER17-2348-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Tariff Cancellation: Notice of Cancellation of WMPA SA
No. 4458, Queue No. AA1-110 to be effective 10/16/2017.
    Filed Date: 8/23/17.
    Accession Number: 20170823-5037.
    Comments Due: 5 p.m. ET 9/13/17.

    Docket Numbers: ER17-2349-000.
    Applicants: Tucson Electric Power Company.
    Description: Sec.  205(d) Rate Filing: WECC Field Test Waiver for
Rate Schedule No. 321 to be effective 8/8/2017.
    Filed Date: 8/23/17.
    Accession Number: 20170823-5052.
    Comments Due: 5 p.m. ET 9/13/17.

    Docket Numbers: ER17-2350-000.
    Applicants: Public Service Company of Oklahoma.
    Description: Sec.  205(d) Rate Filing: PSO-OGE Cemetery Road
Delivery Point Agreement to be effective 8/15/2017.
    Filed Date: 8/23/17.
    Accession Number: 20170823-5073.
    Comments Due: 5 p.m. ET 9/13/17.

    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: August 23, 2017.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2017-18245 Filed 8-28-17; 8:45 am]
 BILLING CODE 6717-01-P


Meeting on May 13, 2011 with GenOn Energy to Discuss Portland Generating Station CAA Section 126 Proposal
Philadelphia, PA; 10:00  -  11:30 am, via video link with Region 2 and RTP
List of Attendees:
In Philadelphia:
Donna Mastro, EPA Region3
Richard Killian, EPA Region 3
Tim Leon-Guerro , EPA Region 3
Diana Esher, EPA Region 3
Steve Davies, GenOn
Walter Stone, GenOn
Debra Jezouit, Baker Botts
Keith Schmidt, GenOn
Bob Paine. AECOM
By Video Conference:
Region 2: Bill Baker, Bob Kelley, Flaire Mills, Ray Werner, Ken Fradkin, Rick Ruvo, Mary McHale,
OAQPS: Gobeail McKinley, Todd Hawes, Brian Timin, Rhea Jones
By Telephone:
OGC: Sonja Rodman
Region 2: Annamaria Coulter, Henry Feingersh,
OAR: Michael Ling, Bill Stevens, Nick Hutson
PADEP: Joyce Epps (PADEP Air Director), Krish Ramamurthy, Bo Reiley, Dean VanOrden

Topics of Discussion:

Timing of the final rule and possibly synchronizing it with the utility MACT compliance dates
Timing of the 90 day commitment for a single, defined strategy for compliance
Requirements to meet interim compliance limits and flexibility for alternative solutions based on technological, economic, and supplemental data (from pilot coal burning studies, for example)
Specific technology, operating load, and modeling options for remedy
Discussion of First 126 Petition from NJ and Modeling issues
Options and engineering and economic challenges of using a different coal with lower sulfur content
Modeling analysis used to support the proposal


[Federal Register Volume 78, Number 71 (Friday, April 12, 2013)]
[Notices]
[Pages 22020-22021]
[FR Doc No: 2013-08622]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Agency Information Collection Activities: Requests for Comments;
Clearance of New Approval of Information Collection: Safety Awareness,
Feedback, and Evaluation (SAFE) Program

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice and request for comments.

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

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 for a new information collection.
The information collected will be used by FAA Flight Standards Service
to improve the quality and delivery of the services and products
provided to their stakeholders.

DATES: Written comments should be submitted by June 11, 2013.

FOR FURTHER INFORMATION CONTACT: Kathy DePaepe at<PHONE_NUMBER>, or by
email at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:
    OMB Control Number: 2120-XXXX.
    Title: Safety Awareness, Feedback, and Evaluation (SAFE) Program.
    Form Numbers: No FAA forms are associated with this collection.
    Type of Review: Clearance of a new information collection.
    Background: Executive Order 12862 requires the Federal Government
to provide the ``highest quality service possible to the American
people.'' The FAA Flight Standards Service has designed the Safety
Awareness, Feedback, and Evaluation (SAFE) Program to measure the
aviation community stakeholder perception of effectiveness with various
FAA-mandated and regulatory programs.
    Respondents: A total sample of 3,218 commercial and non-commercial
pilots, repair station operators, maintenance technicians, and air
carrier operations managers.
    Frequency: Information will be collected once annually per
individual stakeholder group.
    Estimated Average Burden per Response: 20 minutes.
    Estimated Total Annual Burden: 358 hours.

ADDRESSES: Send comments to the FAA at the following address: Ms. Kathy
DePaepe, Room 126B, Federal Aviation Administration, AES-200, 6500 S.
MacArthur Blvd., Oklahoma City, OK 73169.
    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.

    Issued in Washington, DC on April 8, 2013.
Albert R. Spence,
FAA Assistant Information Collection Clearance Officer, IT Enterprises
Business Services Division, AES-200.
[FR Doc. 2013-08622 Filed 4-11-13; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 83, Number 42 (Friday, March 2, 2018)]
[Notices]
[Pages 9054-9055]
[FR Doc No: 2018-04198]

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

SECURITIES AND EXCHANGE COMMISSION

Proposed Collection; Comment Request

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

Extension:
    Rule 12f-1, SEC File No. 270-139, OMB Control No. 3235-0128

    Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (``PRA'') (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collection of
information provided for in Rule 12f-1 (17 CFR 240.12f-1), under the
Securities Exchange Act of 1934 (``Act'') (15 U.S.C. 78a et seq.). The
Commission plans to submit this existing collection of information to
the Office of Management and Budget (``OMB'') for extension and
approval.
    Rule 12f-1 (``Rule''), originally adopted in 1979 pursuant to
Sections 12(f) and 23(a) of the Act, and as further modified in 1995
and 2005, sets forth the requirements for filing an exchange
application to reinstate unlisted trading privileges (``UTP'') in a
security in which UTP has been suspended by the Commission pursuant to
Section 12(f)(2)(A) of the Act. Under Rule 12f-1, an exchange must
submit one copy of an application for reinstatement of UTP to the
Commission that contains specified information, as set forth in the
Rule. The application for reinstatement, pursuant to the Rule, must
provide the name of the issuer, the title of the security, the name of
each national securities exchange, if any, on which the security is
listed or admitted to unlisted trading privileges, whether transaction
information concerning the security is reported pursuant to an
effective transaction reporting plan contemplated by Rule 601 of
Regulation NMS, the date of the Commission's suspension of unlisted
trading privileges in the security on the exchange, and any other
pertinent information related to whether the reinstatement of UTP in
the subject security is consistent with the maintenance of fair and
orderly markets and the protection of investors. Rule 12f-1 further
requires a national securities exchange seeking to reinstate its
ability to extend unlisted trading privileges in a security to indicate
that it has provided a copy of such application to the issuer of the
security, as well as to any other national securities exchange on which
the security is listed or admitted to unlisted trading privileges.
    The information required by Rule 12f-1 enables the Commission to
make the necessary findings under the Act prior to granting
applications to reinstate unlisted trading privileges. This information
is also made available to members of the public who may wish to comment
upon the applications. Without the Rule, the Commission would be unable
to fulfill these statutory responsibilities.
    There are currently 21 national securities exchanges subject to
Rule 12f-1. The burden of complying with Rule 12f-1 arises when a
potential respondent seeks to reinstate its ability to extend unlisted
trading privileges to any security for which unlisted trading
privileges have been suspended by the Commission, pursuant to Section
12(f)(2)(A) of the Act. The staff estimates that each application would
require approximately one hour to complete. Thus each potential
respondent would incur on average one burden hour in complying with the
Rule.
    The Commission staff estimates that there could be as many as 21
responses annually for an aggregate hour burden for all respondents of
21 hours (21 responses x 1 hour per response). Each respondent's
related internal cost of compliance for Rule 12f-1 would be $221.00,
or, the cost of one hour of professional work of a paralegal needed to
complete the application. The total annual cost of compliance for all
potential respondents, therefore, is $4,641 (21 responses x $221.00 per
response).
    Compliance with Rule 12f-1 is mandatory. Rule 12f-1 does not have a
record retention requirement per se. However, responses made pursuant
to Rule 12f-1 are subject to the recordkeeping requirements of Rules
17a-3 and 17a-4 of the Act. Information received in response to Rule
12f-1 shall not be kept confidential; the information collected is
public information.
    Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the Commission, including whether the information
shall have practical utility; (b) the accuracy of the Commission's
estimates of the burden of the proposed collection of information; (c)
ways to enhance the quality, utility, and clarity of the information
collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated
collection techniques or other forms of information technology.

Consideration will be given to comments and suggestions submitted in
writing within 60 days of this publication.
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information under the PRA unless it
displays a currently valid OMB control number.
    Please direct your written comments to: Pamela Dyson, Director/
Chief Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 100 F Street NE, Washington, DC 20549 or send an email
to: [email protected].

    Dated: February 26, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-04198 Filed 3-1-18; 8:45 am]
BILLING CODE 8011-01-P