[Federal Register Volume 82, Number 57 (Monday, March 27, 2017)]
[Notices]
[Pages 15271-15277]
[FR Doc No: 2017-05966]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2017-0030]

Qualification of Drivers; Exemption Applications; Diabetes
Mellitus

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

ACTION: Notice of applications for exemptions; request for comments.

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SUMMARY: FMCSA announces receipt of applications from 40 individuals
for exemption from the prohibition against persons with insulin-treated
diabetes mellitus (ITDM) operating commercial motor vehicles (CMVs) in
interstate commerce. If granted, the exemptions would enable these
individuals with ITDM to operate CMVs in interstate commerce.

DATES: Comments must be received on or before April 26, 2017.

ADDRESSES: You may submit comments bearing the Federal Docket
Management System (FDMS) Docket No. FMCSA-2017-0030 using any of the
following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the on-line instructions for submitting
comments.
     Mail: Docket Management Facility; U.S. Department of
Transportation, 1200 New Jersey Avenue SE., West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery: West Building Ground Floor, Room W12-140,
1200 New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m.,
e.t., Monday through Friday, except Federal Holidays.
     Fax: 1-202-493-2251.
    Instructions: Each submission must include the Agency name and the
docket numbers for this notice. Note that all comments received will be
posted without change to http://www.regulations.gov, including any
personal information provided. Please see the Privacy Act heading below
for further information.
    Docket: For access to the docket to read background documents or
comments, go to http://www.regulations.gov at any time or Room W12-140
on the ground level of the West Building, 1200 New Jersey Avenue SE.,
Washington, DC, between 9 a.m. and 5 p.m., e.t., Monday through Friday,
except Federal holidays. The Federal Docket Management System (FDMS) is
available 24 hours each day, 365 days each year. If you want
acknowledgment that we received your comments, please include a self-
addressed, stamped envelope or postcard or print the acknowledgement
page that appears after submitting comments on-line.
    Privacy Act: In accordance with 5 U.S.C. 553(c), DOT solicits
comments from the public to better inform its rulemaking process. DOT
posts these comments, without edit, including any personal information
the commenter provides, to www.regulations.gov, as described in the
system of records notice (DOT/ALL-14 FDMS), which can be reviewed at
www.dot.gov/privacy.

FOR FURTHER INFORMATION CONTACT: Ms. Christine A. Hydock, Chief,
Medical Programs Division,<PHONE_NUMBER><EMAIL_ADDRESS>FMCSA,
Department of Transportation, 1200 New Jersey Avenue SE., Room W64-113,
Washington, DC 20590-0001. Office hours are 8:30 a.m. to 5 p.m., e.t.,
Monday through Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION:

I. Background

    Under 49 U.S.C. 31136(e) and 31315, FMCSA may grant an exemption
from the Federal Motor Carrier Safety Regulations for a 2-year period
if it finds ``such exemption would likely achieve a level of safety
that is equivalent to or greater than the level that would be achieved
absent such exemption.'' The statute also allows the Agency to renew
exemptions at the end of the 2-year period. The 40 individuals listed
in this notice have recently requested such an exemption from the
diabetes prohibition in 49 CFR 391.41(b) (3), which applies to drivers
of CMVs in interstate commerce. Accordingly, the Agency will evaluate
the qualifications of each applicant to determine whether granting the
exemption will achieve the required level of safety mandated by
statute.

II. Qualifications of Applicants

Felix M. Alicea

    Mr. Alicea, 58, has had ITDM since 2014. His endocrinologist
examined him in 2017 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Alicea understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Alicea meets the

requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2016 and certified that he does not have
diabetic retinopathy. He holds an operator's license from New Jersey.

Ryan T. Anderson

    Mr. Anderson, 21, has had ITDM since 2001. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Anderson understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Anderson meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2017 and certified that he does not have
diabetic retinopathy. He holds an operator's license from Montana.

Vladimir Azbel

    Mr. Azbel, 61, has had ITDM since 2016. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Azbel understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Azbel meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2017 and certified that he has stable
nonproliferative diabetic retinopathy. He holds a Class B CDL from New
York.

Darren E. Barrett

    Mr. Barrett, 47, has had ITDM since 2007. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Barrett understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Barrett meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2017 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Arizona.

Douglas D. Bartley

    Mr. Bartley, 71, has had ITDM since 2013. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Bartley understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Bartley meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2017 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from South Carolina.

Haydee G. Bast

    Ms. Bast, 54, has had ITDM since 2015. Her endocrinologist examined
her in 2016 and certified that she has had no severe hypoglycemic
reactions resulting in loss of consciousness, requiring the assistance
of another person, or resulting in impaired cognitive function that
occurred without warning in the past 12 months and no recurrent (2 or
more) severe hypoglycemic episodes in the last 5 years. Her
endocrinologist certifies that Ms. Bast understands diabetes management
and monitoring has stable control of her diabetes using insulin, and is
able to drive a CMV safely. Ms. Bast meets the requirements of the
vision standard at 49 CFR 391.41(b)(10). Her optometrist examined her
in 2016 and certified that she does not have diabetic retinopathy. She
holds a Class C CDL from New York.

Robert D. Bravo

    Mr. Bravo, 34, has had ITDM since 2016. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Bravo understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Bravo meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2017 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from California.

John E. Carter

    Mr. Carter, 51, has had ITDM since 2015. His endocrinologist
examined him in 2017 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Carter understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Carter meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2016 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Alabama.

Christopher A. Cleaves

    Mr. Cleaves, 49, has had ITDM since 2016. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Cleaves understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Cleaves meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2017 and certified that he does not have
diabetic retinopathy. He holds a Class B CDL from Maine.

Jacob M. Cox

    Mr. Cox, 22, has had ITDM since 2008. His endocrinologist examined
him in 2016 and certified that he has had no severe hypoglycemic
reactions resulting in loss of consciousness, requiring the assistance
of another person, or resulting in impaired cognitive function that
occurred without warning in the past 12 months and no recurrent (2 or
more) severe hypoglycemic episodes in

the last 5 years. His endocrinologist certifies that Mr. Cox
understands diabetes management and monitoring, has stable control of
his diabetes using insulin, and is able to drive a CMV safely. Mr. Cox
meets the requirements of the vision standard at 49 CFR 391.41(b)(10).
His optometrist examined him in 2016 and certified that he does not
have diabetic retinopathy. He holds an operator's license from New
York.

Larry S. Crosby

    Mr. Crosby, 44, has had ITDM since 2015. His endocrinologist
examined him in 2017 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Crosby understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Crosby meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2017 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Georgia.

Dean G. Franck

    Mr. Franck, 42, has had ITDM since 1996. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Franck understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Franck meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2017 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Colorado.

Irving Gandy 3rd

    Mr. Gandy, 67, has had ITDM since 1996. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Gandy understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Gandy meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2016 and certified that he has stable
nonproliferative diabetic retinopathy. He holds a Class A CDL from New
Jersey.

Bryan D. Giddings

    Mr. Giddings, 50, has had ITDM since 2016. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Giddings understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Giddings meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2016 and certified that he does not have
diabetic retinopathy. He holds a Class B CDL from Indiana.

Sidney Greenlee

    Mr. Greenlee, 27, has had ITDM since 2016. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Greenlee understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Greenlee meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2016 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Georgia.

Caleb D. Jahn

    Mr. Jahn, 33, has had ITDM since 2016. His endocrinologist examined
him in 2017 and certified that he has had no severe hypoglycemic
reactions resulting in loss of consciousness, requiring the assistance
of another person, or resulting in impaired cognitive function that
occurred without warning in the past 12 months and no recurrent (2 or
more) severe hypoglycemic episodes in the last 5 years. His
endocrinologist certifies that Mr. Jahn understands diabetes management
and monitoring, has stable control of his diabetes using insulin, and
is able to drive a CMV safely. Mr. Jahn meets the requirements of the
vision standard at 49 CFR 391.41(b)(10). His optometrist examined him
in 2016 and certified that he does not have diabetic retinopathy. He
holds a Class A CDL from Colorado.

Jason T. Langshaw

    Mr. Langshaw, 24, has had ITDM since 2011. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Langshaw understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Langshaw meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2016 and certified that he does not have
diabetic retinopathy. He holds an operator's license from Rhode Island.

John L. Lensch

    Mr. Lensch, 64, has had ITDM since 2016. His endocrinologist
examined him in 2017 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Lensch understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Lensch meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2016 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Iowa.

Jaxon S. Lind

    Mr. Lind, 21, has had ITDM since 2004. His endocrinologist examined
him in 2016 and certified that he has had no severe hypoglycemic
reactions resulting in loss of consciousness, requiring the assistance
of another person, or

resulting in impaired cognitive function that occurred without warning
in the past 12 months and no recurrent (2 or more) severe hypoglycemic
episodes in the last 5 years. His endocrinologist certifies that Mr.
Lind understands diabetes management and monitoring, has stable control
of his diabetes using insulin, and is able to drive a CMV safely. Mr.
Lind meets the requirements of the vision standard at 49 CFR
391.41(b)(10). His optometrist examined him in 2016 and certified that
he does not have diabetic retinopathy. He holds an operator's license
from Minnesota.

Jesse E. Long

    Mr. Long, 29, has had ITDM since 2006. His endocrinologist examined
him in 2016 and certified that he has had no severe hypoglycemic
reactions resulting in loss of consciousness, requiring the assistance
of another person, or resulting in impaired cognitive function that
occurred without warning in the past 12 months and no recurrent (2 or
more) severe hypoglycemic episodes in the last 5 years. His
endocrinologist certifies that Mr. Long understands diabetes management
and monitoring, has stable control of his diabetes using insulin, and
is able to drive a CMV safely. Mr. Long meets the requirements of the
vision standard at 49 CFR 391.41(b)(10). His optometrist examined him
in 2016 and certified that he does not have diabetic retinopathy. He
holds an operator's license from Connecticut.

Gregory B. Lowry

    Mr. Lowry, 52, has had ITDM since 2016. His endocrinologist
examined him in 2017 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Lowry understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Lowry meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2017 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Utah.

Paul J. Marsh

    Mr. Marsh, 62, has had ITDM since 2014. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Marsh understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Marsh meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2016 and certified that he does not
have diabetic retinopathy. He holds a Class B CDL from New York.

Richard D. Marty

    Mr. Marty, 34, has had ITDM since 2013. His endocrinologist
examined him in 2017 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Marty understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Marty meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2017 and certified that he does not have
diabetic retinopathy. He holds a Class B CDL from Washington.

Scott A. Meade

    Mr. Meade, 46, has had ITDM since 2013. His endocrinologist
examined him in 2017 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Meade understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Meade meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2016 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from Ohio.

Pedro Mejia

    Mr. Mejia, 37, has had ITDM since 2016. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Mejia understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Mejia meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2017 and certified that he does not have
diabetic retinopathy. He holds a Class B CDL from New Jersey.

Maynard D. Moore

    Mr. Moore, 68, has had ITDM since 2014. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Moore understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Moore meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2017 and certified that he does not have
diabetic retinopathy. He holds a Class B CDL from Missouri.

Bret D. Noffke

    Mr. Noffke, 44, has had ITDM since 1982. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Noffke understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Noffke meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2016 and certified that he has stable
nonproliferative diabetic retinopathy. He holds an operator's license
from Wisconsin.

Dennis K. Rottenbucher

    Mr. Rottenbucher, 57, has had ITDM since 2015. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Rottenbucher understands
diabetes management and monitoring, has stable control of his diabetes
using insulin, and is able to drive a CMV safely. Mr. Rottenbucher
meets the requirements of the vision standard at 49 CFR 391.41(b)(10).
His ophthalmologist examined him in 2017 and certified that he does not
have diabetic retinopathy. He holds a Class A CDL from South Dakota.

Joseph J. Schwartz

    Mr. Schwartz, 66, has had ITDM since 2015. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Schwartz understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Schwartz meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2016 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Pennsylvania.

Benjamin N. Smith

    Mr. Smith, 28, has had ITDM since 2011. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Smith understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Smith meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2016 and certified that he does not have
diabetic retinopathy. He holds an operator's license from Connecticut.

Matthew Spahr

    Mr. Spahr, 30, has had ITDM since 2012. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Spahr understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Spahr meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2016 and certified that he does not have
diabetic retinopathy. He holds an operator's license from Pennsylvania.

Aaron M. Stoltzfus

    Mr. Stoltzfus, 27, has had ITDM since 2016. His endocrinologist
examined him in 2017 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Stoltzfus understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Stoltzfus meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2017 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from South Carolina.

Daniel Suarez

    Mr. Suarez, 57, has had ITDM since 2009. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Suarez understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Suarez meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
ophthalmologist examined him in 2016 and certified that he does not
have diabetic retinopathy. He holds an operator's license from New
Jersey.

Tyler B. Terrill

    Mr. Terrill, 31, has had ITDM since 1998. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Terrill understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Terrill meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2017 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Wisconsin.

Jason M. Thomas

    Mr. Thomas, 36, has had ITDM since 2016. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Thomas understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Thomas meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2016 and certified that he does not have
diabetic retinopathy. He holds an operator's license from Kentucky.

Steven L. Tiefenthaler

    Mr. Tiefenthaler, 56, has had ITDM since 2011. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies

that Mr. Tiefenthaler understands diabetes management and monitoring,
has stable control of his diabetes using insulin, and is able to drive
a CMV safely. Mr. Tiefenthaler meets the requirements of the vision
standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in
2016 and certified that he has stable nonproliferative diabetic
retinopathy. He holds a Class A CDL from Iowa.

Joseph D. Wallace

    Mr. Wallace, 51, has had ITDM since 2016. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Wallace understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Wallace meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2016 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Illinois.

David L. White

    Mr. White, 58, has had ITDM since 2016. His endocrinologist
examined him in 2017 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. White understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. White meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2017 and certified that he does not have
diabetic retinopathy. He holds a Class A CDL from Arkansas.

Paul B. Woodward

    Mr. Woodward, 58, has had ITDM since 2009. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Woodward understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Woodward meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2016 and certified that he does not have
diabetic retinopathy. He holds an operator's license from Pennsylvania.

Miguel L. Xilotl

    Mr. Xilotl, 34, has had ITDM since 2006. His endocrinologist
examined him in 2016 and certified that he has had no severe
hypoglycemic reactions resulting in loss of consciousness, requiring
the assistance of another person, or resulting in impaired cognitive
function that occurred without warning in the past 12 months and no
recurrent (2 or more) severe hypoglycemic episodes in the last 5 years.
His endocrinologist certifies that Mr. Xilotl understands diabetes
management and monitoring, has stable control of his diabetes using
insulin, and is able to drive a CMV safely. Mr. Xilotl meets the
requirements of the vision standard at 49 CFR 391.41(b)(10). His
optometrist examined him in 2016 and certified that he does not have
diabetic retinopathy. He holds an operator's license from Minnesota.

III. Request for Comments

    In accordance with 49 U.S.C. 31136(e) and 31315, FMCSA requests
public comment from all interested persons on the exemption petitions
described in this notice. We will consider all comments received before
the close of business on the closing date indicated in the date section
of the notice.
    FMCSA notes that section 4129 of the Safe, Accountable, Flexible
and Efficient Transportation Equity Act: A Legacy for Users requires
the Secretary to revise its diabetes exemption program established on
September 3, 2003 (68 FR 52441).\1\ The revision must provide for
individual assessment of drivers with diabetes mellitus, and be
consistent with the criteria described in section 4018 of the
Transportation Equity Act for the 21st Century (49 U.S.C. 31305).
---------------------------------------------------------------------------

    \1\ Section 4129(a) refers to the 2003 notice as a ``final
rule.'' However, the 2003 notice did not issue a ``final rule'' but
did establish the procedures and standards for issuing exemptions
for drivers with ITDM.
---------------------------------------------------------------------------

    Section 4129 requires: (1) Elimination of the requirement for 3
years of experience operating CMVs while being treated with insulin;
and (2) establishment of a specified minimum period of insulin use to
demonstrate stable control of diabetes before being allowed to operate
a CMV.
    In response to section 4129, FMCSA made immediate revisions to the
diabetes exemption program established by the September 3, 2003 notice.
FMCSA discontinued use of the 3-year driving experience and fulfilled
the requirements of section 4129 while continuing to ensure that
operation of CMVs by drivers with ITDM will achieve the requisite level
of safety required of all exemptions granted under 49 U.S.C. 31136 (e).
    Section 4129(d) also directed FMCSA to ensure that drivers of CMVs
with ITDM are not held to a higher standard than other drivers, with
the exception of limited operating, monitoring and medical requirements
that are deemed medically necessary.
    The FMCSA concluded that all of the operating, monitoring and
medical requirements set out in the September 3, 2003 notice, except as
modified, were in compliance with section 4129(d). Therefore, all of
the requirements set out in the September 3, 2003 notice, except as
modified by the notice in the Federal Register on November 8, 2005 (70
FR 67777), remain in effect.

IV. Submitting Comments

    You may submit your comments and material online or by fax, mail,
or hand delivery, but please use only one of these means. FMCSA
recommends that you include your name and a mailing address, an email
address, or a phone number in the body of your document so that FMCSA
can contact you if there are questions regarding your submission.
    To submit your comment online, go to http://www.regulations.gov and
in the search box insert the docket number FMCSA-2017-0030 and click
the search button. When the new screen appears, click on the blue
``Comment Now!'' button on the right hand side of the page. On the new
page, enter information required including the specific section of this
document to which each comment applies, and provide a reason for each
suggestion or recommendation. If you submit your comments by mail or
hand delivery, submit them in an unbound format, no larger than 8\1/2\
by 11 inches, suitable for copying and electronic filing. If you submit
comments by mail and would like to know that they reached the facility,
please enclose a stamped, self-addressed postcard or envelope.
    We will consider all comments and material received during the
comment period. FMCSA may issue a final

determination at any time after the close of the comment period.

V. Viewing Comments and Documents

    To view comments, as well as any documents mentioned in this
preamble, go to http://www.regulations.gov and in the search box insert
the docket number FMCSA-2017-0030 and click ``Search.'' Next, click
``Open Docket Folder'' and you will find all documents and comments
related to this notice.

    Issued on: March 20, 2017.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2017-05966 Filed 3-24-17; 8:45 am]
BILLING CODE 4910-EX-P


"Mara Tellez Rojo"<EMAIL_ADDRESS> 02/11/2008 03:36 PM

To

Jee-Young Kim/RTP/USEPA/US@EPA

cc

<EMAIL_ADDRESS>Deirdre Murphy/RTP/USEPA/US@EPA, Karen Martin/RTP/USEPA/US@EPA, Mary Ross/RTP/USEPA/US@EPA, Zachary Pekar/RTP/USEPA/US@EPA, <EMAIL_ADDRESS> Subject

RE: Questions on the Tellez-Rojo et al. (2006) paper

Kim, don't worry! On the contrary, sorry for the delay!

Here is the information you requested, I hope they may be helpful.

Best regards,

 	n	Min	Max	p25	Median	p75	Mean	SD

Below 5 g/dL

Blood Pb 12 mo (g/dL)	195	0.5	4.9	2.2	3.1	4.0	3.0	1.1

Blood Pb 24 mo (g/dL)	193	0.8	4.9	2.1	2.9	3.7	2.9	1.1

5-10 g/dL

Blood Pb 12 mo (g/dL)	99	5	9.7	5.6	6.5	7.8	6.7	1.4

Blood Pb 24 mo (g/dL)	101	5	9.8	5.5	6.7	8.1	6.9	1.4

Dirección de Evaluación de Programas y Métodos Cuantitativos,

Centro de Investigación en Evaluación y Encuestas,

Instituto Nacional de Salud Pública

52-777-101 29 31

52-777-329 30 00 ext 3402

Fax: 52-777-311 11 48 y 52-777-311 24 72

De<EMAIL_ADDRESS><EMAIL_ADDRESS> Enviado el: lun 11/02/2008 10:58

Para: Mara Tellez Rojo

CC<EMAIL_ADDRESS><EMAIL_ADDRESS><EMAIL_ADDRESS><EMAIL_ADDRESS><EMAIL_ADDRESS> Asunto: RE: Questions on the Tellez-Rojo et al. (2006) paper

Thank you Dr. Tellez-Rojo!  And I apologize for the belated request, but

in addition to the mean blood lead levels and the number of children in

the less than 5 ug/dL subset, can you also provide us this information

for the 5-10 ug/dL subset of children?

Thanks!

Young

Jee Young Kim, Sc.D.

U.S. Environmental Protection Agency

National Center for Environmental Assessment

Telephone:<PHONE_NUMBER>

E-mail<EMAIL_ADDRESS>

             "Mara Tellez

             Rojo"

             <mmtellez@correo                                        To

             .insp.mx>                Jee-Young Kim/RTP/USEPA/US@EPA

                                                                     cc

             02/09/2008 12:46<EMAIL_ADDRESS>              AM                       d.edu>, Mary

                                      Ross/RTP/USEPA/US@EPA, Zachary

                                      Pekar/RTP/USEPA/US@EPA, Deirdre

                                      Murphy/RTP/USEPA/US@EPA, Karen

                                      Martin/RTP/USEPA/US@EPA

                                                                Subject

                                      RE: Questions on the Tellez-Rojo

                                      et al. (2006) paper

Dear Kim, we will send you this information on Monday, for sure!

Sorry for the delay!

Dirección de Evaluación de Programas y Métodos Cuantitativos,

Centro de Investigación en Evaluación y Encuestas,

Instituto Nacional de Salud Pública

52-777-101 29 31

52-777-329 30 00 ext 3402

Fax: 52-777-311 11 48 y 52-777-311 24 72

De<EMAIL_ADDRESS><EMAIL_ADDRESS> Enviado el: jue 07/02/2008 15:58

Para: Mara Tellez Rojo

CC<EMAIL_ADDRESS><EMAIL_ADDRESS> <EMAIL_ADDRESS><EMAIL_ADDRESS> <EMAIL_ADDRESS> Asunto: RE: Questions on the Tellez-Rojo et al. (2006) paper

Dear Dr. Tellez-Rojo,

Thank you for your response.  I just wanted to follow-up with you on our

request for information on your 2006 paper.  Just to clarify, would you

please provide us with information regarding the distribution (mean,

median, minimum, maximum) of the blood lead levels in the group of

children with levels less than 5 ug/dL?

As you may be aware, the Pb NAAQS review is on a very tight

court-ordered deadline.  We would greatly appreciate your prompt

response.

Many thanks,

Young

Jee Young Kim, Sc.D.

U.S. Environmental Protection Agency

National Center for Environmental Assessment

Telephone:<PHONE_NUMBER>

E-mail<EMAIL_ADDRESS>              "Mara Tellez

             Rojo"

             <mmtellez@correo                                        To

             .insp.mx>                Jee-Young Kim/RTP/USEPA/US@EPA,

<EMAIL_ADDRESS>              01/31/2008 01:36         d.edu>

             AM                                                      cc

                                      Zachary Pekar/RTP/USEPA/US@EPA,

                                      Mary Ross/RTP/USEPA/US@EPA, Mary

                                      Ross/RTP/USEPA/US@EPA

                                                                Subject

                                      RE: Questions on the Tellez-Rojo

                                      et al. (2006) paper

Hello Jee-Young Kim, we appreciate very much your attention in our

paper.

We will work on the information you requested and will go back as soon

as possible. I will have a tough day tomorrow and Monday is a holiday in

Mexico, so I will be able to work on this next week. Is that ok for you?

Best regards,

Martha Ma. (Mara) Téllez-Rojo

Dirección de Evaluación de Programas y Métodos Cuantitativos,

Centro de Investigación en Evaluación y Encuestas,

Instituto Nacional de Salud Pública

52-777-101 29 31

52-777-329 30 00 ext 3402

Fax: 52-777-311 11 48 y 52-777-311 24 72

De<EMAIL_ADDRESS><EMAIL_ADDRESS> Enviado el: mar 29/01/2008 12:30

Para: Mara Tellez Rojo<EMAIL_ADDRESS> CC<EMAIL_ADDRESS><EMAIL_ADDRESS> <EMAIL_ADDRESS> Asunto: Re: Questions on the Tellez-Rojo et al. (2006) paper

Dear Drs. Tellez-Rojo and Bellinger,

I had e-mailed you last month with some questions about your paper and

wanted to follow-up with you.  As you may be aware, EPA is currently in

the process of reviewing the U.S. National Ambient Air Quality Standard

for Lead and will be announcing the proposed rule in April/May 2008.

The Air Quality Criteria Document for Lead, in which Dr. Bellinger make

great contributions, discusses your 2006 paper as one that showed

statistically significant associations in infants at blood lead levels

below 10 ug/dL.  In addition, among the 24 month olds, you also observed

statistically significant associations at below 5 ug/dL.  Would you be

able to provide us with some information regarding the distribution

(e.g., mean, median, minimum) of the blood lead levels in this group of

children (i.e., less than 5 ug/dL)?

We greatly appreciate your help on this matter.

Thanks,

Young

Jee Young Kim, Sc.D.

U.S. Environmental Protection Agency

National Center for Environmental Assessment

Telephone:<PHONE_NUMBER>

E-mail<EMAIL_ADDRESS>              Jee-Young

             Kim/RTP/USEPA/US

                                                                     To

             12/20/2007 05:17<EMAIL_ADDRESS>              PM<EMAIL_ADDRESS>                                       .edu

                                                                     cc

                                      Deirdre Murphy/RTP/USEPA/US@EPA,

                                      Zachary Pekar/RTP/USEPA/US@EPA,

                                      Mary Ross/RTP/USEPA/US@EPA

                                                                Subject

                                      Questions on the Tellez-Rojo et

                                      al. (2006) paper

Dear Drs. Tellez-Rojo and Bellinger,

We are much interested in your 2006 paper published in Pediatrics that

showed cognitive deficits in infants at blood lead levels below 10

ug/dL.  In particular, we were interested in your finding of a greater

effect from 0 to 5 ug/dL compared to 5 to 10 ug/dL on MDI in 24 month

old children.  Can you please provide us with some additional

information regarding the distribution of blood lead levels in the

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subset of children with levels less than 5 ug/dL?  For example, what was

the  mean and minimum blood lead levels for that subset of children?

Thank you for taking the time to consider our questions.  Happy

Holidays!

Best,

Young

(See attached file: Tellez-Rojo et al. (2006).pdf)

Jee Young Kim, Sc.D.

U.S. Environmental Protection Agency

National Center for Environmental Assessment

Telephone:<PHONE_NUMBER>

E-mail<EMAIL_ADDRESS>


[Federal Register Volume 85, Number 116 (Tuesday, June 16, 2020)]
[Notices]
[Pages 36438-36442]
[FR Doc No: 2020-12904]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-89041; File No. SR-Phlx-2020-28]

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Amend Phlx
Pricing Schedule at Options 7, Section 8, Membership Fees and Options
7, Section 9, Other Member Fees

June 10, 2020.
    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 May 28, 2020, Nasdaq PHLX LLC (``Phlx'' or ``Exchange'') filed with
the Securities and Exchange Commission (``Commission'') the proposed
rule change as described in Items I, II, and III, 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.
---------------------------------------------------------------------------

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

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

    The Exchange proposes to amend Phlx's Pricing Schedule at Options
7, Section 8, ``Membership Fees'' and Options 7, Section 9, ``Other
Member Fees.''
    While the changes proposed herein are effective upon filing, the
Exchange has designated the amendments become operative on June 1,
2020.
    The text of the proposed rule change is available on the Exchange's
website at http://nasdaqphlx.cchwallstreet.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 aspects of such
statements.

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

1. Purpose
    Phlx proposes to amend its pricing within Options 7, Section 8,
``Membership Fees'' and Options 7, Section 9, ``Other Member Fees.''
Each change will be described below.
Credit
    Phlx proposes to amend Options 7, Section 8, ``Membership Fees,''
at Part A, ``Permit and Registration Fees,'' to offer a credit of
$3,400, for the month of June 2020, to any member or member
organization on the Trading Floor if that member or member organization
was eligible for the $2,300 reduced Permit Fee as a result of having
executed at least 100 options in a Phlx house account for the months of
February and March 2020, and paid the $4,000 Permit Fee in April and
May 2020. Open outcry on the Exchange's Trading Floor was closed on
March 17, 2020 \3\ and will not re-open until June 1, 2020.\4\ The
Exchange proposes to issue the $3,400 credit to those members or member
organizations on the Trading Floor who demonstrated they did execute at
least 100 options in a Phlx house account, for the months of February
and March 2020, in order to qualify for the reduced Permit Fee of
$2,300. The Exchange believes that these members and member
organizations may have also qualified for the credit in April or May
2020, if open outcry trading was available.
---------------------------------------------------------------------------

    \3\ See Options Trader Alert #2020-07.
    \4\ See Options Trader Alert #2020-08.
---------------------------------------------------------------------------

    The Exchange proposes to credit those qualifying members and member
organizations the difference ($1,700 a month) as between the $4,000 a
month Permit Fee and the reduced Permit Fee of $2,300 a month, for the
months of April and May 2020 when open outcry was not available,
provided the member or member organization is able to demonstrate that
they qualified for the credit in February and March 2020.
    This credit would not be offered to Floor Brokers,\5\ Floor Lead
Market Makers, or Floor Market Makers,\6\ who are not eligible today
for a reduced Permit Fee. Also, the credit would not be offered to
member organizations who transact an electronic options business, as
those member organizations remain able to transact at least 100 options
in a Phlx house account.\7\
---------------------------------------------------------------------------

    \5\ See Options 7, Section 8A. Phlx assesses a Floor Broker
Permit Fee of $4,000 per month. Additionally, the Exchange proposes
to waive the Floor Broker Permit Fee for the month of June 2020 as
described below.
    \6\ See Options 7, Section 8A. Phlx assesses a Floor Lead Market
Maker and Floor Market Maker Permit Fee of $6,000 per month.
    \7\ Remote Lead Market Makers and Remote Market Makers access
the market electronically and are therefore excluded.
---------------------------------------------------------------------------

Waivers
    Today, the Exchange waives certain fees related to the Phlx Trading
Floor within Options 7, Section 8. Specifically, for the months of
April and May 2020, the Exchange waived the Floor Broker Permit Fee of
$4,000 per month to Floor Brokers.\8\ The Exchange also waived the
Clerk Fee \9\ of $100 per month. Finally, the Exchange waived the
Streaming Quote Trader (``SQT'') \10\ Fees within Options 8, Section
8B. The SQT Fees are tiered fees.\11\ Phlx's 7 tier SQT Fees \12\ are
as follows:
---------------------------------------------------------------------------

    \8\ See Phlx Rules at Options 7, Section 8A.
    \9\ The Clerk Fee is imposed on any registered on-floor person
employed by or associated with a member or member organization
pursuant to Options 3, Section 19, including Inactive Nominees
pursuant to Options 8, Section 7. The Clerk Fee is not imposed on
permit holders. See Phlx Rules at Options 7, Section 8A.
    \10\ The term ``Streaming Quote Trader'' is defined in Options
1, Section 1(b)(54) as a Market Maker who has received permission
from the Exchange to generate and submit option quotations
electronically in options to which such SQT is assigned. See Options
7, Section 1. Further, Options 1, Section 1(b)(54) provides that an
SQT means a Market Maker who has received permission from the
Exchange to generate and submit option quotations electronically in
options to which such SQT is assigned. An SQT may only submit such
quotations while such SQT is physically present on the trading floor
of the Exchange. An SQT may only submit quotes in classes of options
in which the SQT is assigned.
    \11\ The Exchange notes, with respect to SQTs, that these
participants may only submit quotations while physically present on
the Trading Floor.
    \12\ In calculating the number of option class assignments for
SQT Fees, equity options including ETFs and ETNs are counted.
Currencies and indexes are not counted in the number of option class
assignments.

------------------------------------------------------------------------
    Number of option class
         assignments                            SQT Fees
------------------------------------------------------------------------
Tier 1: Up to 200 classes....  $0.00 per calendar month.
Tier 2: Up to 400 classes....  2,200 per calendar month.
Tier 3: Up to 600 classes....  3,200.00 per calendar month.
Tier 4: Up to 800 classes....  4,200.00 per calendar month.
Tier 5: Up to 1000 classes...  5,200.00 per calendar month.
Tier 6: Up to 1200 classes...  6,200.00 per calendar month.
Tier 7: All equity issues....  7,200 per calendar month.
------------------------------------------------------------------------

    The Exchange waived the Floor Broker Permit Fee, the Clerk Fee and
the SQT Fees, during the months of April and May 2020, to account for
the closure of open outcry trading. As noted herein, the Trading Floor
will remain closed until June 1, 2020.\13\ The Exchange proposes to
continue to waive these fees for the month of June 2020 to account for
the fact that the Trading Floor has been closed since March 17,
2020.\14\ Also, the Exchange proposes to remove obsolete language,
which was relevant in April and May 2020 regarding a credit, which is
no longer being offered.
---------------------------------------------------------------------------

    \13\ See note 4 above.
    \14\ See note 3 above.
---------------------------------------------------------------------------

Options 7, Section 9
    Today, the Exchange waives certain fees related to the Phlx Trading
Floor within Options 7, Section 9. Specifically, the Exchange waived
the Floor Facility Fee of $330 per month, which is applicable Clerks
(excluding Inactive Nominees pursuant to Options 8, Section 7), Floor
Brokers, Market Makers (including SQTs) and individual Lead Market
Makers), for the months of April and May 2020. The Exchange proposes to
continue to waive the Floor Facility Fee for the month of June 2020 to
account for the fact that the Trading

Floor has been closed since March 17, 2020.\15\
---------------------------------------------------------------------------

    \15\ Id.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\16\ in general, and furthers the objectives of
Sections 6(b)(4) and 6(b)(5) of the Act,\17\ in particular, in that it
provides for the equitable allocation of reasonable dues, fees and
other charges among members and issuers and other persons using any
facility, and is not designed to permit unfair discrimination between
customers, issuers, brokers, or dealers.
---------------------------------------------------------------------------

    \16\ 15 U.S.C. 78f(b).
    \17\ 15 U.S.C. 78f(b)(4) and (5).
---------------------------------------------------------------------------

    The Commission and the courts have repeatedly expressed their
preference for competition over regulatory intervention in determining
prices, products, and services in the securities markets. In Regulation
NMS, while adopting a series of steps to improve the current market
model, the Commission highlighted the importance of market forces in
determining prices and SRO revenues and, also, recognized that current
regulation of the market system ``has been remarkably successful in
promoting market competition in its broader forms that are most
important to investors and listed companies.'' \18\
---------------------------------------------------------------------------

    \18\ Securities Exchange Act Release No. 51808 (June 9, 2005),
70 FR 37496, 37499 (June 29, 2005) (``Regulation NMS Adopting
Release'').
---------------------------------------------------------------------------

    Likewise, in NetCoalition v. Securities and Exchange Commission
\19\ (``NetCoalition'') the D.C. Circuit upheld the Commission's use of
a market-based approach in evaluating the fairness of market data fees
against a challenge claiming that Congress mandated a cost-based
approach.\20\ As the court emphasized, the Commission ``intended in
Regulation NMS that `market forces, rather than regulatory
requirements' play a role in determining the market data . . . to be
made available to investors and at what cost.'' \21\
---------------------------------------------------------------------------

    \19\ NetCoalition v. SEC, 615 F.3d 525 (D.C. Cir. 2010).
    \20\ See NetCoalition, at 534-535.
    \21\ Id. at 537.
---------------------------------------------------------------------------

    Further, ``[n]o one disputes that competition for order flow is
`fierce.' . . . As the SEC explained, `[i]n the U.S. national market
system, buyers and sellers of securities, and the broker-dealers that
act as their order-routing agents, have a wide range of choices of
where to route orders for execution'; [and] `no exchange can afford to
take its market share percentages for granted' because `no exchange
possesses a monopoly, regulatory or otherwise, in the execution of
order flow from broker dealers' . . . .'' \22\ Although the court and
the SEC were discussing the cash equities markets, the Exchange
believes that these views apply with equal force to the options
markets.
---------------------------------------------------------------------------

    \22\ Id. at 539 (quoting Securities Exchange Act Release No.
59039 (December 2, 2008), 73 FR 74770, 74782-83 (December 9, 2008)
(SR-NYSEArca-2006-21)).
---------------------------------------------------------------------------

Options 7, Section 8
    Phlx's proposal to amend Options 7, Section 8, ``Membership Fees,''
at Part A, ``Permit and Registration Fees,'' to offer a credit of
$3,400, for the month of June 2020, to any member or member
organization on the Trading Floor, if that member or member
organization was eligible for the $2,300 reduced Permit Fee as a result
of having executed at least 100 options in a Phlx house account for the
months of February and March 2020, is reasonable. Open outcry trading
was closed on March 17, 2020,\23\ and will not re-open until June 1,
2020.\24\ The Exchange proposes to issue the $3,400 credit to those
members or member organizations on the Trading Floor who demonstrated
they executed at least 100 options in a Phlx house account for the
months of February and March 2020, and paid the $4,000 Permit Fee in
April and May 2020, in order to qualify for the reduced Permit Fee of
$2,300. The Exchange believes that these members and member
organizations may have also qualified for the credit in April or May
2020, if open outcry trading were available. The Exchange proposes to
credit those qualifying member and member organizations on the Trading
Floor the difference ($1,700 per month) as between the $4,000 a month
Permit Fee and the reduced Permit Fee of $2,300 a month for the two
full months (April and May 2020) when open outcry trading was closed.
The Exchange believes it is reasonable to pay the difference based on
whether the member or member organization qualified in both the two
full prior months, when open outcry trading was unavailable. This
credit would not apply to Floor Brokers,\25\ Floor Lead Market Makers,
or Floor Market Makers, as these members do not have the ability to
qualify for a reduced Permit Fee today. The credit would also not apply
to members accessing Phlx electronically.\26\
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    \23\ See note 3 above.
    \24\ See note 4 above.
    \25\ The Floor Broker Permit Fee was waived in April and May
2020. The Exchange proposes herein to also waive that fee for June
2020.
    \26\ Remote Lead Market Makers and Remote Market Makers access
the market electronically and are therefore excluded.
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    Phlx's proposal to amend Options 7, Section 8, ``Membership Fees,''
at Part A, ``Permit and Registration Fees,'' to offer a credit of
$3,400, for the month of June 2020, to any member or member
organization on the Trading Floor, if that member or member
organization was eligible for the $2,300 reduced Permit Fee as a result
of having executed at least 100 options in a Phlx house account for the
months of February and March 2020 and paid the $4,000 Permit Fee in
April and May 2020, is equitable and not unreasonably discriminatory.
The Exchange proposes to uniformly offer all Trading Floor members and
member organizations who currently pay the $4,000 Permit Fee, a credit
of $3,400, provided they executed at least 100 options in a Phlx house
account for the months of February and March 2020, and paid the $4,000
Permit Fee in April and May 2020. The Exchange notes that it is
equitable and not unfairly discriminatory to not offer the credit to
Floor Brokers, Floor Lead Market Makers, or Floor Market Makers as
these members do not have the ability to qualify for a reduced Permit
Fee today.\27\ Also, it is equitable and not unfairly discriminatory to
not offer the credit to member organizations who transact an electronic
options business, as those member organizations remain able to transact
at least 100 options in a Phlx house account.\28\
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    \27\ The Floor Broker Permit Fee is proposed to be waived for
the month of June 2020.
    \28\ Remote Lead Market Makers and Remote Market Makers access
the market electronically and are therefore excluded.
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Fee Waivers
    The Exchange's proposal to waive the Floor Broker Permit Fee, the
Clerk Fee, SQT Fee and the Floor Facility Fee, during the month of June
2020, is reasonable as open outcry on the Phlx Trading Floor has not
been available since March 17, 2020.\29\ The Exchange's proposal to
waive these fees, which apply to transacting an options business on the
Trading Floor, is intended to alleviate costs for member organizations
in consideration of their inability to transact options in open outcry
on the Phlx Trading Floor since March 17, 2020.
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    \29\ See note 3 above.
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    The Exchange's proposal to waive the Floor Broker Permit Fee, the
Clerk Fee, SQT Fee and the Floor Facility Fee, during the month of June
2020, is equitable and not unfairly discriminatory as the Exchange will
apply these proposed waivers uniformly to all member organizations on
the Trading Floor. Phlx continues to permit

electronic trading and, therefore, fees associated with electronic
trading have not been waived.
Obsolete Text
    The Exchange's proposal to remove obsolete language from Options 7,
Section 8, related to an obsolete credit is reasonable, equitable and
not unfairly discriminatory as the credit is no longer applicable. No
member or member organization may obtain the credit.

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.
Inter-Market Competition
    The proposal does not impose an undue burden on inter-market
competition. The Exchange believes its proposal remains competitive
with other options markets and will offer market participants with
another choice of where to transact options. The Exchange notes that it
operates in a highly competitive market in which market participants
can readily favor competing venues if they deem fee levels at a
particular venue to be excessive, or rebate opportunities available at
other venues to be more favorable. In such an environment, the Exchange
must continually adjust its fees to remain competitive with other
exchanges that have been exempted from compliance with the statutory
standards applicable to exchanges. Because competitors are free to
modify their own fees in response, and because market participants may
readily adjust their order routing practices, the Exchange believes
that the degree to which fee changes in this market may impose any
burden on competition is extremely limited.
Intra-Market Competition
    Phlx's proposal to amend Options 7, Section 8, ``Membership Fees,''
at Part A, ``Permit and Registration Fees,'' to offer a credit of
$3,400, for the month of June 2020, to any member or member
organization on the Trading Floor, if that member or member
organization was eligible for the $2,300 reduced Permit Fee as a result
of having executed at least 100 options in a Phlx house account for the
months of February and March 2020, and paid the $4,000 Permit Fee in
April and May 2020, does not impose an undue burden on competition. The
Exchange would uniformly offer all Trading Floor members and member
organizations who currently pay the $4,000 Permit Fee, a credit of
$3,400, provided they executed at least 100 options in a Phlx house
account for the months of February and March 2020, and paid the $4,000
Permit Fee in April and May 2020. The Exchange notes that it does not
impose an undue burden on competition to not offer the credit to Floor
Brokers, Floor Lead Market Makers, or Floor Market Makers as these
members do not have the ability to qualify for a reduced Permit Fee
today.\30\ Also, it does not impose an undue burden on competition to
not offer the credit to member organizations who transact an electronic
options business, as those member organizations remain able to transact
at least 100 options in a Phlx house account.\31\
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    \30\ The Floor Broker Permit Fee is proposed to be waived for
the month of June 2020.
    \31\ Remote Lead Market Makers and Remote Market Makers access
the market electronically and are therefore excluded.
---------------------------------------------------------------------------

    The Exchange's proposal to waive the Floor Broker Permit Fee, the
Clerk Fee, SQT Fee and the Floor Facility Fee during the month of June
2020 does not impose an undue burden on competition as the Exchange
will apply these proposed waivers uniformly to all member organizations
on the Trading Floor. Phlx continues to permit electronic trading and
therefore fees associated with electronic trading have not been waived.
    The Exchange's proposal to remove obsolete language from Options 7,
Section 8, related to an obsolete credit, does not impose an undue
burden on competition as the credit is no longer applicable. No member
or member organization may obtain the credit.

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

    No written comments were either solicited or received.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A)(ii) of the Act.\32\
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    \32\ 15 U.S.C. 78s(b)(3)(A)(ii).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is: (i)
Necessary or appropriate in the public interest; (ii) for the
protection of investors; or (iii) otherwise in furtherance of the
purposes of the Act. If the Commission takes such action, the
Commission shall institute proceedings to determine whether the
proposed rule should be approved or 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-Phlx-2020-28 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-Phlx-2020-28. 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 website (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 website 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. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-Phlx-2020-28 and should be submitted on
or before July 7, 2020.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\33\
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    \33\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-12904 Filed 6-15-20; 8:45 am]
BILLING CODE 8011-01-P