[Federal Register Volume 81, Number 159 (Wednesday, August 17, 2016)]
[Notices]
[Pages 54905-54911]
[FR Doc No: 2016-19582]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-78552; File No. 4-618]

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 Between Bats BZX Exchange, Inc., Bats BYX Exchange,
Inc., BOX Options Exchange LLC, Chicago Board Options Exchange,
Incorporated, C2 Options Exchange, Incorporated, Chicago Stock
Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc.,
Financial Industry Regulatory Authority, Inc., International Securities
Exchange, LLC, Investors Exchange LLC, ISE Gemini, LLC, ISE Mercury,
LLC, Miami International Securities Exchange, LLC, The NASDAQ Stock
Market LLC, NASDAQ BX, Inc., NASDAQ PHLX, Inc., National Stock
Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE
Arca, Inc.

August 11, 2016.
    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 (``Plan'') filed on August 4, 2016, pursuant to Rule
17d-2 of the Act,\2\ by Bats BZX Exchange, Inc. (``BATS''), Bats BYX
Exchange, Inc. (``BATS Y''), BOX Options Exchange LLC (``BOX''),
Chicago Board Options Exchange, Incorporated (``CBOE''), C2 Options
Exchange, Incorporated (``C2''), Chicago Stock Exchange, Inc.
(``CHX''), Bats EDGA Exchange, Inc. (``EDGA''), Bats EDGX Exchange,
Inc. (``EDGX''), Financial Industry Regulatory Authority, Inc.
(``FINRA''), International Securities Exchange, LLC (``ISE''),
Investors Exchange LLC (``IEX''), ISE Gemini, LLC (``ISE Gemini''), ISE
Mercury, LLC (``ISE Mercury''), Miami

International Securities Exchange, LLC (``MIAX''), The NASDAQ Stock
Market LLC (``NASDAQ''), NASDAQ BX, Inc. (``BX''), NASDAQ PHLX, Inc.
(``Phlx''), National Stock Exchange, Inc. (``NSX''), New York Stock
Exchange LLC (``NYSE''), NYSE MKT LLC (``NYSE MKT''), and NYSE Arca,
Inc. (``NYSE Arca'') (each, a ``Participating Organization,'' and,
together, the ``Participating Organizations'' or the ``Parties''). As
further discussed in Section III, below, this Agreement amends and
restates the agreement by and among the Participating Organizations
approved by the SEC on October 29, 2015.\3\
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    \1\ 15 U.S.C. 78q(d).
    \2\ 17 CFR 240.17d-2.
    \3\ See Securities Exchange Act Release No. 76311, 80 FR 68377
(November 4, 2015).
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I. Introduction

    Section 19(g)(1) of the Act,\4\ 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) or Section 19(g)(2) of the Act.\5\ 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.
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    \4\ 15 U.S.C. 78s(g)(1).
    \5\ 15 U.S.C. 78q(d) and 15 U.S.C. 78s(g)(2), respectively.
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    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.
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    \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).
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    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.
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    \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).
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    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 appropriate 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.
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    \10\ See Securities Exchange Act Release No. 12935 (October 28,
1976), 41 FR 49091 (November 8, 1976).
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II. The Plan

    On December 3, 2010, the Commission approved the SRO participants'
plan for allocating regulatory responsibilities pursuant to Rule 17d-
2.\11\ On October 29, 2015, the Commission approved an amended plan
that added Regulation NMS Rules 606, 607, and 611(c) and (d) and added
additional Participating Organizations that are options markets to the
Plan.\12\
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    \11\ See Securities Exchange Act Release No. 63430, 75 FR 76758
(December 9, 2010).
    \12\ See Securities Exchange Act Release No. 76311, 80 FR 68377
(November 4, 2015).
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    The proposed 17d-2 Plan is intended to reduce regulatory
duplication for firms that are members of more than one Participating
Organization.\13\ The Plan provides for the allocation of regulatory
responsibility according to whether the covered rule pertains to NMS
stocks or NMS securities. For covered rules that pertain to NMS stocks
(i.e., Rules 607, 611, and 612), FINRA serves as the ``Designated
Regulation NMS Examining Authority'' (``DREA'') for common members that
are members of FINRA, and assumes certain examination and enforcement
responsibilities for those members with respect to specified Regulation
NMS rules. For common members that are not members of FINRA, the
member's DEA serves as the DREA, provided that the DEA exchange
operates a national securities exchange or facility that trades NMS
stocks and the common member is a member of such exchange or facility.
Section 1(c) of the Plan contains a list of principles that are
applicable to the allocation of common members in cases not
specifically addressed in the Plan. An exchange that does not trade NMS
stocks would have no regulatory authority for covered Regulation NMS
rules pertaining to NMS stocks. For covered rules that pertain to NMS
securities, and thus include options (i.e., Rule 606), the Plan
provides that the DREA will be the same as the DREA for the rules
pertaining to NMS stocks. For common members that are not members of an
exchange that trades NMS stocks, the common member would be allocated
according to the principles set forth in Section 1(c) of the Plan.
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    \13\ The proposed 17d-2 Plan refers to these members as ``Common
Members.''
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    The text of the Plan delineates the proposed regulatory
responsibilities with respect to the Parties. Included in the proposed
Plan is an exhibit (the ``Covered Regulation NMS Rules'') that lists
the federal securities laws, rules, and regulations, for which the
applicable DREA would bear examination and enforcement responsibility
under the Plan for common members of the Participating Organization and
their associated persons.
    Specifically, the applicable DREA assumes examination and
enforcement responsibility relating to compliance by common members
with the Covered Regulation NMS Rules. Covered Regulation NMS Rules do
not include the application of any rule of a Participating
Organization, or any rule or regulation under the Act, to the extent
that it pertains to violations of

insider trading activities, because such matters are covered by a
separate multiparty agreement under Rule 17d-2.\14\ Under the Plan,
Participating Organizations retain full responsibility for surveillance
and enforcement with respect to trading activities or practices
involving their own marketplace.\15\
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    \14\ See Securities Exchange Act Release No. 58350 (August 13,
2008), 73 FR 48247 (August 18, 2008) (File No. 4-566) (notice of
filing of proposed plan). See also Securities Exchange Act Release
No. 58536 (September 12, 2008) (File No. 4-566) (order approving and
declaring effective the plan).
    \15\ See paragraph 1 of the proposed 17d-2 Plan.
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III. Proposed Amendment to the Plan

    On August 4, 2016, the parties submitted a proposed amendment to
the Plan. The primary purpose of the amendment is to add IEX and ISE
Mercury as Participants to the Plan and to reflect name changes of
certain Participating Organizations.
    The text of the proposed amended 17d-2 Plan is as follows
(additions are in italics; deletions are in brackets):
* * * * *

Agreement for the Allocation of Regulatory Responsibility for the
Covered Regulation NMS Rules Pursuant to Sec.  17(d) of the Securities
Exchange Act of 1934, 15 U.S.C. 78q(d), and Rule 17d-2 Thereunder

    This agreement (the ``Agreement'') by and among [BATS]Bats BZX
Exchange, Inc. (``BATS''), [BATS Y-]Bats BYX Exchange, Inc. (``BATS
Y''), BOX Options Exchange LLC (``BOX''), Chicago Board Options
Exchange, Incorporated (``CBOE''), C2 Options Exchange, Incorporated
(``C2''), Chicago Stock Exchange, Inc. (``CHX''), Bats EDGA Exchange,
Inc. (``EDGA''), Bats EDGX Exchange, Inc. (``EDGX''), Financial
Industry Regulatory Authority, Inc. (``FINRA''), International
Securities Exchange, LLC (``ISE''), ISE Gemini, LLC (``ISE Gemini''),
ISE Mercury, LLC (``ISE Mercury''), Investors Exchange LLC (``IEX''),
Miami International Securities Exchange, LLC (``MIAX''), The NASDAQ
Stock Market LLC (``NASDAQ''), NASDAQ [OMX] BX, Inc. (``BX''), NASDAQ
[OMX] PHLX, Inc. (``PHLX''), National Stock Exchange, Inc. (``NSX''),
New York Stock Exchange LLC (``NYSE''), NYSE MKT LLC (``NYSE MKT''),
and NYSE Arca, Inc. (``NYSE Arca'') (each, a ``Participating
Organization,'' and, together, the ``Participating Organizations''), is
made pursuant to Sec.  17(d) of the Securities Exchange Act of 1934
(the ``Act'' or ``SEA''), 15 U.S.C. 78q(d), and Rule 17d-2 thereunder,
which allow for plans to allocate regulatory responsibility among self-
regulatory organizations (``SROs''). Upon approval by the Securities
and Exchange Commission (``Commission'' or ``SEC''), this Agreement
shall amend and restate the agreement by and among the Participating
Organizations approved by the SEC on [December 3, 2010] October 29,
2015.
    WHEREAS, the Participating Organizations desire to: (a) Foster
cooperation and coordination among the SROs; (b) remove impediments to,
and foster the development of, a national market system; (c) strive to
protect the interest of investors; and (d) eliminate duplication in
their examination and enforcement of SEA Rules 606, 607, 611 and 612
(the ``Covered Regulation NMS Rules'');
    WHEREAS, the Participating Organizations are interested in
allocating regulatory responsibilities with respect to broker-dealers
that are members of more than one Participating Organization (the
``Common Members'') relating to the examination and enforcement of the
Covered Regulation NMS Rules; and
    WHEREAS, the Participating Organizations will request regulatory
allocation of these regulatory responsibilities by executing and filing
with the SEC this plan for the above stated purposes pursuant to the
provisions of Sec.  17(d) of the Act, and Rule 17d-2 thereunder, as
described below.
    NOW, THEREFORE, in consideration of the mutual covenants contained
hereafter, and other valuable consideration to be mutually exchanged,
the Participating Organizations hereby agree as follows:
    1. Assumption of Regulatory Responsibility. The Designated
Regulation NMS Examining Authority (the ``DREA'') shall assume
examination and enforcement responsibilities relating to compliance by
Common Members with the Covered Regulation NMS Rules to which the DREA
is allocated responsibility (``Regulatory Responsibility''). A list of
the Covered Regulation NMS Rules is attached hereto as Exhibit A.
    a. For Covered Regulation NMS Rules Pertaining to ``NMS stocks''
(as defined in Regulation NMS) (i.e., Rules 607, 611 and 612): FINRA
shall serve as DREA for Common Members that are members of FINRA. The
Designated Examining Authority (``DEA'') pursuant to SEA Rule 17d-1
shall serve as DREA for Common Members that are not members of FINRA,
provided that the DEA operates a national securities exchange or
facility that trades NMS stocks and the Common Member is a member of
such exchange or facility. For all other Common Members, the
Participating Organizations shall allocate Common Members among the
Participating Organizations (other than FINRA) that operate a national
securities exchange that trades NMS stocks based on the principles
outlined below and the Participating Organization to which such a
Common Member is allocated shall serve as the DREA for that Common
Member. (A Participating Organization that operates a national
securities exchange that does not trade NMS stocks has no regulatory
responsibilities related to Covered Regulation NMS Rules pertainining
to NMS stocks and will not serve as DREA for such Covered Regulation
NMS Rules.)
    b. For Covered Regulation NMS Rules Pertaining to ``NMS
securities'' (as defined in Regulation NMS) (i.e., Rule 606), the DREA
shall be same as the DREA for Covered Regulation NMS Rules pertaining
to NMS stocks. For Common Members that are not members of a national
securities exchange that trades NMS stocks and thus have not been
appointed a DREA under paragraph a., the Participating Organizations
shall allocate the Common Members among the Participating Organizations
(other than FINRA) that operate a national securities exchange that
trades NMS securities based on the principles outlined below and the
Participating Organization to which such a Common Member is allocated
shall serve as the DREA for that Common Member with respect to Covered
Regulation NMS Rules pertaining to NMS securities. The allocation of
Common Members to DREAs (including FINRA) for all Covered Regulation
NMS Rules is provided in Exhibit B.
    c. For purposes of this paragraph 1, any allocation of a Common
Member to a Participating Organization other than as specified in
paragraphs a. and b. above shall be based on the following principles,
except to the extent all affected Participating Organizations consent
to one or more different principles and any such agreement to different
principles would be deemed an amendment to this Agreement as provided
in paragraph 22:
    i. The Participating Organizations shall not allocate a Common
Member to a Participating Organization unless the Common Member is a
member of that Participating Organization.
    ii. To the extent practicable, Common Members shall be allocated
among the Participating Organizations of which they are members in such
a manner as to equalize, as nearly as possible, the

allocation among such Participating Organizations.
    iii. To the extent practicable, the allocation will take into
account the amount of NMS stock activity (or NMS security activity, as
applicable) conducted by each Common Member in order to most evenly
divide the Common Members with the largest amount of activity among the
Participating Organizations of which they are a members. The allocation
will also take into account similar allocations pursuant to other plans
or agreements to which the Participating Organizations are party to
maintain consistency in oversight of the Common Members.\1\
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    \1\ For example, if one Participating Organization was allocated
responsibility for a particular Common Member pursuant to a separate
Rule 17d-2 Agreement, that Participant Organization would be
assigned to be the DREA of that Common Member, unless there is good
cause not to make that assignment.
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    iv. The Participating Organizations may reallocate Common Members
from time-to-time and in such manner as they deem appropriate
consistent with the terms of this Agreement.
    v. Whenever a Common Member ceases to be a member of its DREA
(including FINRA), the DREA shall promptly inform the Participating
Organizations, who shall review the matter and reallocate the Common
Member to another Participating Organization.
    vi. The DEA or DREA (including FINRA) may request that a Common
Member be reallocated to another Participating Organization (including
the DEA or DREA (including FINRA)) by giving 30 days written notice to
the Participating Organizations. The Participating Organizations shall
promptly consider such request and, in their discretion, may approve or
disapprove such request and if approved, reallocate the Common Member
to such Participating Organization.
    vii. All determinations by the Participating Organizations with
respect to allocations shall be by the affirmative vote of a majority
of the Participating Organizations that, at the time of such
determination, share the applicable Common Member being allocated; a
Participating Organization shall not be entitled to vote on any
allocation related to a Common Member unless the Common Member is a
member of such Participating Organization.
    d. The Participating Organizations agree that they shall conduct
meetings among them as needed for the purposes of ensuring proper
allocation of Common Members and identifying issues or concerns with
respect to the regulation of Common Members. Notwithstanding anything
herein to the contrary, it is explicitly understood that the term
``Regulatory Responsibility'' does not include, and each of the
Participating Organizations shall retain full responsibility for,
examination, surveillance and enforcement with respect to trading
activities or practices involving its own marketplace unless otherwise
allocated pursuant to a separate Rule 17d-2 Agreement.
    2. No Retention of Regulatory Responsibility. The Participating
Organizations do not contemplate the retention of any responsibilities
with respect to the regulatory activities being assumed by the DREA
under the terms of this Agreement. Nothing in this Agreement will be
interpreted to prevent a DREA from entering into Regulatory Services
Agreement(s) to perform its Regulatory Responsibility.
    3. No Charge. A DREA shall not charge Participating Organizations
for performing the Regulatory Responsibility under this Agreement.
    4. Applicability of Certain Laws, Rules, Regulations or Orders.
Notwithstanding any provision hereof, this Agreement shall be subject
to any statute, or any rule or order of the SEC. To the extent such
statute, rule, or order is inconsistent with one or more provisions of
this Agreement, the statute, rule, or order shall supersede the
provision(s) hereof to the extent necessary to be properly effectuated
and the provision(s) hereof in that respect shall be null and void.
    5. Customer Complaints. If a Participating Organization receives a
copy of a customer complaint relating to a DREA's Regulatory
Responsibility as set forth in this Agreement, the Participating
Organization shall promptly forward to such DREA a copy of such
customer complaint. It shall be such DREA's responsibility to review
and take appropriate action in respect to such complaint.
    6. Parties to Make Personnel Available as Witnesses. Each
Participating Organization shall make its personnel available to the
DREA to serve as testimonial or non-testimonial witnesses as necessary
to assist the DREA in fulfilling the Regulatory Responsibility
allocated under this Agreement. The DREA shall provide reasonable
advance notice when practicable and shall work with a Participating
Organization to accommodate reasonable scheduling conflicts within the
context and demands as the entity with ultimate regulatory
responsibility. The Participating Organization shall pay all reasonable
travel and other expenses incurred by its employees to the extent that
the DREA requires such employees to serve as witnesses, and provide
information or other assistance pursuant to this Agreement.
    7. Sharing of Work-Papers, Data and Related Information.
    a. Sharing. A Participating Organization shall make available to
the DREA information necessary to assist the DREA in fulfilling the
Regulatory Responsibility assumed under the terms of this Agreement.
Such information shall include any information collected by a
Participating Organization in the course of performing its regulatory
obligations under the Act, including information relating to an on-
going disciplinary investigation or action against a member, the amount
of a fine imposed on a member, financial information, or information
regarding proprietary trading systems gained in the course of examining
a member (``Regulatory Information''). This Regulatory Information
shall be used by the DREA solely for the purposes of fulfilling the
DREA's Regulatory Responsibility.
    b. No Waiver of Privilege. The sharing of documents or information
between the parties pursuant to this Agreement shall not be deemed a
waiver as against third parties of regulatory or other privileges
relating to the discovery of documents or information.
    8. Special or Cause Examinations and Enforcement Proceedings.
Nothing in this Agreement shall restrict or in any way encumber the
right of a Participating Organization to conduct special or cause
examinations of a Common Member, or take enforcement proceedings
against a Common Member as a Participating Organization, in its sole
discretion, shall deem appropriate or necessary.
    9. Dispute Resolution Under This Agreement.
    a. Negotiation. The Participating Organizations will attempt to
resolve any disputes through good faith negotiation and discussion,
escalating such discussion up through the appropriate management levels
until reaching the executive management level. In the event a dispute
cannot be settled through these means, the Participating Organizations
shall refer the dispute to binding arbitration.
    b. Binding Arbitration. All claims, disputes, controversies, and
other matters in question between the Participating Organizations to
this Agreement arising out of or relating to this Agreement or the
breach thereof that cannot be resolved by the Participating
Organizations will be resolved through binding arbitration.

Unless otherwise agreed by the Participating Organizations, a dispute
submitted to binding arbitration pursuant to this paragraph shall be
resolved using the following procedures:
    (i) The arbitration shall be conducted in a city selected by the
DREA in which it maintains a principal office or where otherwise agreed
to by the Participating Organizations in accordance with the Commercial
Arbitration Rules of the American Arbitration Association and judgment
upon the award rendered by the arbitrator may be entered in any court
having jurisdiction thereof; and
    (ii) There shall be three arbitrators, and the chairperson of the
arbitration panel shall be an attorney. The arbitrators shall be
appointed in accordance with the Commercial Arbitration Rules of the
American Arbitration Association.
    10. Limitation of Liability. As between the Participating
Organizations, no Participating Organization, including its respective
directors, governors, officers, employees and agents, will be liable to
any other Participating Organization, or its directors, governors,
officers, employees and agents, for any liability, loss or damage
resulting from any delays, inaccuracies, errors or omissions with
respect to its performing or failing to perform regulatory
responsibilities, obligations, or functions, except: (a) As otherwise
provided for under the Act; (b) in instances of a Participating
Organization's gross negligence, willful misconduct or reckless
disregard with respect to another Participating Organization; or (c) in
instances of a breach of confidentiality obligations owed to another
Participating Organization. The Participating Organizations understand
and agree that the regulatory responsibilities are being performed on a
good faith and best effort basis and no warranties, express or implied,
are made by any Participating Organization to any other Participating
Organization with respect to any of the responsibilities to be
performed hereunder. This paragraph is not intended to create liability
of any Participating Organization to any third party.
    11. SEC Approval.
    a. The Participating Organizations agree to file promptly this
Agreement with the SEC for its review and approval. FINRA shall file
this Agreement on behalf, and with the explicit consent, of all
Participating Organizations.
    b. If approved by the SEC, the Participating Organizations will
notify their members of the general terms of the Agreement and of its
impact on their members.
    12. Subsequent Parties; Limited Relationship. This Agreement shall
inure to the benefit of and shall be binding upon the Participating
Organizations hereto and their respective legal representatives,
successors, and assigns. Nothing in this Agreement, expressed or
implied, is intended or shall: (a) Confer on any person other than the
Participating Organizations hereto, or their respective legal
representatives, successors, and assigns, any rights, remedies,
obligations or liabilities under or by reason of this Agreement, (b)
constitute the Participating Organizations hereto partners or
participants in a joint venture, or (c) appoint one Participating
Organization the agent of the other.
    13. Assignment. No Participating Organization may assign this
Agreement without the prior written consent of the DREAs performing
Regulatory Responsibility on behalf of such Participating Organization,
which consent shall not be unreasonably withheld, conditioned or
delayed; provided, however, that any Participating Organization may
assign the Agreement to a corporation controlling, controlled by or
under common control with the Participating Organization without the
prior written consent of such Participating Organization's DREAs. No
assignment shall be effective without Commission approval.
    14. Severability. Any term or provision of this Agreement that is
invalid or unenforceable in any jurisdiction shall, as to such
jurisdiction, be ineffective to the extent of such invalidity or
unenforceability without rendering invalid or unenforceable the
remaining terms and provisions of this Agreement or affecting the
validity or enforceability of any of the terms or provisions of this
Agreement in any other jurisdiction.
    15. Termination. Any Participating Organization may cancel its
participation in the Agreement at any time upon the approval of the
Commission after 180 days written notice to the other Participating
Organizations (or in the case of a change of control in ownership of a
Participating Organization, such other notice time period as that
Participating Organization may choose). The cancellation of its
participation in this Agreement by any Participating Organization shall
not terminate this Agreement as to the remaining Participating
Organizations.
    16. General. The Participating Organizations agree to perform all
acts and execute all supplementary instruments or documents that may be
reasonably necessary or desirable to carry out the provisions of this
Agreement.
    17. Written Notice. 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 Participating Organization entitled to receipt
thereof, to the attention of the Participating Organization's
representative at the Participating Organization's then principal
office or by email.
    18. Confidentiality. The Participating Organizations agree that
documents or information shared shall be held in confidence, and used
only for the purposes of carrying out their respective regulatory
obligations under this Agreement, provided, however, that each
Participating Organization may disclose such documents or information
as may be required to comply with applicable requlatory requirements or
requests for information from the SEC. Any Participating Organization
disclosing confidential documents or information in compliance with
applicable regulatory or oversight requirements will request
confidential treatment of such information. No Participating
Organization shall assert regulatory or other privileges as against the
other with respect to Regulatory Information that is required to be
shared pursuant to this Agreement.
    19. Regulatory Responsibility. Pursuant to Section 17(d)(1)(A) of
the Act, and Rule 17d-2 thereunder, the Participating Organizations
request the SEC, upon its approval of this Agreement, to relieve the
Participating Organizations which are participants in this Agreement
that are not the DREA as to a Common Member of any and all
responsibilities with respect to the matters allocated to the DREA
pursuant to this Agreement for purposes of Sec. Sec.  17(d) and 19(g)
of the Act.
    20. Governing Law. This Agreement shall be deemed to have been made
in the State of New York, and shall be construed and enforced in
accordance with the law of the State of New York, without reference to
principles of conflicts of laws thereof. Each of the Participating
Organizations hereby consents to submit to the jurisdiction of the
courts of the State of New York in connection with any action or
proceeding relating to this Agreement.
    21. Survival of Provisions. Provisions intended by their terms or
context to survive and continue notwithstanding delivery of the
regulatory services by the

DREA and any expiration of this Agreement shall survive and continue.
    22. Amendment.
    a. This Agreement may be amended to add a new Participating
Organization, provided that such Participating Organization does not
assume regulatory responsibility, by an amendment executed by all
applicable DREAs and such new Participating Organization. All other
Participating Organizations expressly consent to allow such DREAs to
jointly add new Participating Organizations to the Agreement as
provided above. Such DREAs will promptly notify all Participating
Organizations of any such amendments to add a new Participating
Organization.
    b. All other amendments must be approved by each Participating
Organization. All amendments, including adding a new Participating
Organization but excluding changes to Exhibit B, must be filed with and
approved by the Commission before they become effective.
    23. Effective Date. The Effective Date of this Agreement will be
the date the SEC declares this Agreement to be effective pursuant to
authority conferred by Sec.  17(d) of the Act, and Rule 17d-2
thereunder.
    24. Counterparts. This Agreement may be executed in any number of
counterparts, including facsimile, each of which will be deemed an
original, but all of which taken together shall constitute one single
agreement among the Participating Organizations.
* * * * *

Exhibit A

Covered Regulation NMS Rules

SEA Rule 606--Disclosure of Order Routing Information.*
SEA Rule 607--Customer Account Statements.
SEA Rule 611--Order Protection Rule.
SEA Rule 612--Minimum Pricing Increment.

    * Covered Regulation NMS Rules with asterisks (*) pertain to NMS
securities. Covered Regulation NMS Rules without asterisks pertain to
NMS stocks.

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/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number 4-618 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 4-618. This file number
should be included on the subject line if email is used. To help the
Commission process and review your comments more efficiently, please
use only one method. The Commission will post all comments on the
Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed 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, 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 plan also will be available for inspection and
copying at the principal offices of the Participating Organizations.
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 4-618 and should
be submitted on or before September 7, 2016.

V. Discussion

    The Commission finds that the Plan, as amended, is consistent with
the factors set forth in Section 17(d) of the Act \16\ and Rule 17d-
2(c) thereunder \17\ in that the proposed amended Plan is necessary or
appropriate in the public interest and for the protection of investors,
fosters cooperation and coordination among SROs, and removes
impediments to and fosters the development of the national market
system. In particular, the Commission believes that the proposed
amended Plan should reduce unnecessary regulatory duplication by
allocating to the applicable DREA certain examination and enforcement
responsibilities for Common Members that would otherwise be performed
by multiple Parties. Accordingly, the proposed amended Plan promotes
efficiency by reducing costs to Common Members. Furthermore, because
the Parties will coordinate their regulatory functions in accordance
with the proposed amended Plan, the amended Plan should promote
investor protection.
---------------------------------------------------------------------------

    \16\ 15 U.S.C. 78q(d).
    \17\ 17 CFR 240.17d-2(c).
---------------------------------------------------------------------------

    The Commission is hereby declaring effective a plan that allocates
regulatory responsibility for certain provisions of the federal
securities laws, rules, and regulations as set forth in Exhibit A to
the Plan. The Commission notes that any amendment to the Plan must be
approved by the relevant Parties as set forth in Paragraph 22 of the
Plan and must be filed with and approved by the Commission before it
may become effective.\18\
---------------------------------------------------------------------------

    \18\ See Paragraph 22 of the Plan. The Commission notes,
however, that changes to Exhibit B to the Plan (the allocation of
Common Members to DREAs) are not required to be filed with, and
approved by, the Commission before they become effective.
---------------------------------------------------------------------------

    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. In particular, the purpose of the amendment is to add IEX
and ISE Mercury as Participating Organizations and to reflect name
changes of certain Participating Organizations. The Commission notes
that the most recent prior amendment to the Plan was published for
comment and the Commission did not receive any comments thereon.\19\
The Commission believes that the current amendment to the Plan does not
raise any new regulatory issues that the Commission has not previously
considered, and therefore believes that the amended Plan should become
effective without any undue delay.
---------------------------------------------------------------------------

    \19\ See Securities Exchange Act Release No. 76311 (October 29,
2015), 80 FR 68377 (November 4, 2015).
---------------------------------------------------------------------------

VI. Conclusion

    This order gives effect to the amended Plan filed with the
Commission that is contained in File No. 4-618.
    IT IS THEREFORE ORDERED, pursuant to Section 17(d) of the Act, that
the Plan, as amended, filed with the Commission pursuant to Rule 17d-2
on August 4, 2016, is hereby approved and declared effective.
    IT IS FURTHER ORDERED that those SRO participants that are not the
DREA as to a particular common member are

relieved of those regulatory responsibilities allocated to the common
member's DREA under the amended Plan to the extent of such allocation.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\20\
---------------------------------------------------------------------------

    \20\ 17 CFR 200.30-3(a)(34).
---------------------------------------------------------------------------

Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-19582 Filed 8-16-16; 8:45 am]
 BILLING CODE 8011-01-P


region facility species. orig stage year impinged. est entrained. est notes qc dummy dummy dummy dummy  999  999  999 dummy dummy river wabash lamprey. spp age01 1976 0 . RM# 28046; Table 6 lefer river wabash silver. lamprey age01 1976 80 . RM# 28046; Table 6 lefer river wabash pallid. sturgeon age01 1976 4 . RM# 28046; Table 6 lefer river wabash shovelnose. sturgeon age01 1976 127 . RM# 28046; Table 6 lefer river wabash paddlefish age01 1976 24 . RM# 28046; Table 6 lefer river wabash longnose. gar age01 1976 95 . RM# 28046; Table 6 lefer river wabash shortnose. gar age01 1976 52 . RM# 28046; Table 6 lefer river wabash bowfin age01 1976 4 . RM# 28046; Table 6 lefer river wabash american. eel age01 1976 0 . RM# 28046; Table 6 lefer river wabash skipjack. herring age01 1976 24 . RM# 28046; Table 6 lefer river wabash gizzard. shad age01 1976 197,934 . RM# 28046; Table 6 lefer river wabash goldeye age01 1976 13 . RM# 28046; Table 6 lefer river wabash mooneye age01 1976 114 . RM# 28046; Table 6 lefer river wabash rainbow. trout age01 1976 4 . RM# 28046; Table 6 lefer river wabash redfin. pickerel age01 1976 4 . RM# 28046; Table 6 lefer river wabash minnow. spp age01 1976 0 . RM# 28046; Table 6 lefer river wabash carp age01 1976 90 . RM# 28046; Table 6 lefer river wabash silverjaw. minnow age01 1976 4 . RM# 28046; Table 6 lefer river wabash silvery. minnow age01 1976 4 . RM# 28046; Table 6 lefer river wabash speckled. chub age01 1976 230 . RM# 28046; Table 6 lefer river wabash silver. chub age01 1976 1,482 . RM# 28046; Table 6 lefer river wabash pugnose. shiner age01 1976 4 . RM# 28046; Table 6 lefer river wabash popeye. shiner age01 1976 4 . RM# 28046; Table 6 lefer river wabash emerald. shiner age01 1976 564 . RM# 28046; Table 6 lefer river wabash river. shiner age01 1976 123 . RM# 28046; Table 6 lefer river wabash silver. shiner age01 1976 19 . RM# 28046; Table 6 lefer river wabash spotfin. shiner age01 1976 108 . RM# 28046; Table 6 lefer river wabash sand. shiner age01 1976 95 . RM# 28046; Table 6 lefer river wabash topeka. shiner age01 1976 13 . RM# 28046; Table 6 lefer river wabash redfin. shiner age01 1976 4 . RM# 28046; Table 6 lefer river wabash mimic. shiner age01 1976 90 . RM# 28046; Table 6 lefer river wabash shiner. spp age01 1976 136 . RM# 28046; Table 6 lefer river wabash suckermouth. minnow age01 1976 108 . RM# 28046; Table 6 lefer river wabash bluntnose. minnow age01 1976 52 . RM# 28046; Table 6 lefer river wabash fathead. minnow age01 1976 4 . RM# 28046; Table 6 lefer river wabash bullhead. minnow age01 1976 71 . RM# 28046; Table 6 lefer river wabash creek. chub age01 1976 4 . RM# 28046; Table 6 lefer river wabash sucker. spp age01 1976 19 . RM# 28046; Table 6 lefer river wabash river. carpsucker age01 1976 611 . RM# 28046; Table 6 lefer river wabash highfin. carpsucker age01 1976 250 . RM# 28046; Table 6 lefer river wabash carpsucker. spp age01 1976 60 . RM# 28046; Table 6 lefer river wabash northern. hogsucker age01 1976 84 . RM# 28046; Table 6 lefer river wabash spotted. sucker age01 1976 9 . RM# 28046; Table 6 lefer river wabash smallmouth. buffalo age01 1976 0 . RM# 28046; Table 6 lefer river wabash silver. redhorse age01 1976 43 . RM# 28046; Table 6 lefer river wabash river. redhorse age01 1976 24 . RM# 28046; Table 6 lefer river wabash golden. redhorse age01 1976 166 . RM# 28046; Table 6 lefer river wabash shorthead. redhorse age01 1976 28 . RM# 28046; Table 6 lefer river wabash redhorse. spp age01 1976 1,953 . RM# 28046; Table 6 lefer river wabash catfish. spp age01 1976 4 . RM# 28046; Table 6 lefer river wabash bullhead. spp age01 1976 4 . RM# 28046; Table 6 lefer river wabash black. bullhead age01 1976 24 . RM# 28046; Table 6 lefer river wabash yellow. bullhead age01 1976 4 . RM# 28046; Table 6 lefer river wabash brown. bullhead age01 1976 0 . RM# 28046; Table 6 lefer river wabash channel. catfish age01 1976 4,526 . RM# 28046; Table 6 lefer river wabash mountain. madtom age01 1976 103 . RM# 28046; Table 6 lefer river wabash stonecat age01 1976 13 . RM# 28046; Table 6 lefer river wabash brindled. madtom age01 1976 103 . RM# 28046; Table 6 lefer river wabash freckled. madtom age01 1976 4 . RM# 28046; Table 6 lefer river wabash flathead. catfish age01 1976 2,695 . RM# 28046; Table 6 lefer river wabash white. bass age01 1976 1,867 . RM# 28046; Table 6 lefer river wabash sunfish. spp age01 1976 0 . RM# 28046; Table 6 lefer river wabash green. sunfish age01 1976 52 . RM# 28046; Table 6 lefer river wabash pumpkinseed age01 1976 4 . RM# 28046; Table 6 lefer river wabash warmouth age01 1976 24 . RM# 28046; Table 6 lefer river wabash lepomis. spp age01 1976 9 . RM# 28046; Table 6 lefer river wabash bluegill age01 1976 273 . RM# 28046; Table 6 lefer river wabash longear. sunfish age01 1976 108 . RM# 28046; Table 6 lefer river wabash spotted. bass age01 1976 28 . RM# 28046; Table 6 lefer river wabash smallmouth. bass age01 1976 15 . RM# 28046; Table 6 lefer river wabash largemouth. bass age01 1976 43 . RM# 28046; Table 6 lefer river wabash white. crappie age01 1976 90 . RM# 28046; Table 6 lefer river wabash black. crappie age01 1976 28 . RM# 28046; Table 6 lefer river wabash greenside. darter age01 1976 4 . RM# 28046; Table 6 lefer river wabash banded. darter age01 1976 32 . RM# 28046; Table 6 lefer river wabash logperch age01 1976 67 . RM# 28046; Table 6 lefer river wabash slenderhead. darter age01 1976 9 . RM# 28046; Table 6 lefer river wabash sauger age01 1976 13 . RM# 28046; Table 6 lefer river wabash freshwater. drum age01 1976 37 . RM# 28046; Table 6 lefer river wabash mottled. sculpin age01 1976 0 . RM# 28046; Table 6 lefer river wabash unknown age01 1976 4 . RM# 28046; Table 6 lefer river wabash gizzard. shad larvae 1976 . 1,967,082 RM# 28046; Table 11 lefer river wabash freshwater. drum larvae 1976 . 935,360 RM# 28046; Table 11 lefer river wabash carp larvae 1976 . 1,076,077 RM# 28046; Table 11 lefer river wabash minnow. spp larvae 1976 . 25,746,464 RM# 28046; Table 11 lefer river wabash micropterus. spp larvae 1976 . 25,375 RM# 28046; Table 11 lefer river wabash sucker. spp larvae 1976 . 339,124 RM# 28046; Table 11 lefer river wabash sturgeon. spp larvae 1976 . 123,391 RM# 28046; Table 11 lefer river wabash channel. catfish larvae 1976 . 63,624 RM# 28046; Table 11 lefer river wabash blue. catfish larvae 1976 . 74,931 RM# 28046; Table 11 lefer river wabash flathead. catfish larvae 1976 . 226,868 RM# 28046; Table 11 lefer river wabash sunfish. spp larvae 1976 . 111,171 RM# 28046; Table 11 lefer river wabash crappie. spp larvae 1976 . 26,468 RM# 28046; Table 11 lefer river wabash white. bass larvae 1976 . 16,175 RM# 28046; Table 11 lefer river wabash bowfin larvae 1976 . 5,710 RM# 28046; Table 11 lefer river wabash catfish. spp larvae 1976 . 32,664 RM# 28046; Table 11 lefer river wabash gar larvae 1976 . 59,649 RM# 28046; Table 11 lefer river wabash yellow. bullhead larvae 1976 . 27,786 RM# 28046; Table 11 lefer river wabash emerald. shiner larvae 1976 . 16,303 RM# 28046; Table 11 lefer river wabash redhorse. spp larvae 1976 . 16,328 RM# 28046; Table 11 lefer river wabash shad. spp larvae 1976 . 12,117 RM# 28046; Table 11 lefer river wabash shiner. spp larvae 1976 . 13,002 RM# 28046; Table 11 lefer river wabash chub. spp larvae 1976 . 151,213 RM# 28046; Table 11 lefer river wabash speckled. chub larvae 1976 . 8,552 RM# 28046; Table 11 lefer river wabash silver. chub larvae 1976 . 390,861 RM# 28046; Table 11 lefer Losses data for the Wabash River Generating Station ( Indiana). Cooling water source: Wabash River Intake 316( b) Phase III A. Gage, 12/ 2/ 2003 Notes:

Impingement sampling was conducted every other day for 122 samples from April 1976 March 1977. Due to weather, some sampling was missed from Dec Feb. Fish impinged on the travelling screens were identified and enumerated.

Entrainment sampling was conducted weekly at all 3 intakes from April Oct 1976 for a total of 89, 92, and 89 sampling periods at intakes 1, 2, and 3 respectively. Samples were taken from the circulating water lines.

QC Checked data entry against source documents. Mlefer 12/ 9/ 03.


Marjorie Jones/RTP/USEPA/US

07/16/2007 05:50 PM

To

"Johansson, Robert"<EMAIL_ADDRESS> cc

Subject

Re: Received

Rob -- I'll be in around 11 (doctor appt). Will call you then, or you can call Ron earlier than that.

Thanks.

Marjorie C. Jones

Office of Air Quality Planning & Standards

Air Benefit and Cost Group, Mail Code C439-02

Health and Environmental Impacts Division

RTP, NC 27711

voice:<PHONE_NUMBER>

fax:<PHONE_NUMBER>

Shipping/receiving: 4930 Old Page Rd.

Durham, NC 27709

"Johansson, Robert"<EMAIL_ADDRESS> 07/16/2007 05:36 PM

To

Marjorie Jones/RTP/USEPA/US@EPA

cc

Subject

Received

Hi Margie,

I just received from you and OPEI:

Exec Sum, Ch 2,3,3append,4, 5,5append, 6, 6appendb, 8, 9, & list

response. Talk tomorrow?

Rob


[Federal Register: September 29, 2008 (Volume 73, Number 189)]
[Rules and Regulations]
[Page 56505-56511]
[DOCID:fr29se08-22]

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

DEPARTMENT OF HOMELAND SECURITY

Coast Guard

46 CFR Parts 1, 10, 12, 13, 14, 15, 28, 31, 71, 91, 107, 150, 176,
401 and 402

[USCG-2008-0906]
RIN 1625-ZA20

Shipping; Technical, Organizational, and Conforming Amendments

AGENCY: Coast Guard, DHS.

ACTION: Final rule.

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

SUMMARY: This rule makes non-substantive changes throughout Title 46 of
the Code of Federal Regulations. The purpose of this rule is to make
conforming amendments and technical corrections to Coast Guard shipping
regulations. This rule will have no substantive effect on the regulated
public. These changes are provided to coincide with the annual
recodification of Title 46 on October 1.

DATES: This final rule is effective September 29, 2008.

ADDRESSES: Comments and material received from the public as well as
documents mentioned in this preamble as being available in the docket,
are part of USCG-2008-0906 and are available for inspection or copying
at the Docket Management Facility (M-30), U.S. Department of
Transportation, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. You may also find this
docket on the Internet at www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call LCDR Reed Kohberger, CG-5232, Coast Guard, telephone<PHONE_NUMBER>.
If you have questions on viewing the docket, call Ms. Renee V. Wright,
Program Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Table of Contents for Preamble

I. Regulatory History
II. Background and Purpose
III. Discussion of Rule
IV. Regulatory Evaluation
    A. Executive Order 12866
    B. Small Entities
    C. Collection of Information
    D. Federalism
    E. Unfunded Mandates Reform Act
    F. Taking of Private Property
    G. Civil Justice Reform
    H. Protection of Children
    I. Indian Tribal Governments
    J. Energy Effects
    K. Technical Standards
    L. Environment

I. Regulatory History

    We did not publish a notice of proposed rulemaking (NPRM) for this
regulation. Under both 5 U.S.C. 553(b)(A) and (b)(B), the Coast Guard
finds this rule is exempt from notice and comment rulemaking
requirements because these changes involve agency organization and
practices, and good cause exists for not publishing an NPRM for all
revisions in the rule because they are all non-substantive changes.
This rule consists only of corrections and editorial, organizational,
and conforming amendments. These changes will have no substantive
effect on the public; therefore, it is unnecessary to publish an NPRM.
Under 5 U.S.C. 553(d)(3), the Coast Guard finds that, for the same
reasons, good cause exists for making this rule effective less than 30
days after publication in the Federal Register.

II. Background and Purpose

    Each year the printed edition of Title 46 of the Code of Federal
Regulations is updated on October 1. This rule, which becomes effective
September 29, 2008, makes technical and editorial corrections
throughout Title 46. This rule does not create any substantive
requirements.

III. Discussion of Rule

    This rule updates the address and contact information for the
National Maritime Center (NMC) in 10 sections: the Marine Index Bureau
in 1 section; the National Cargo Bureau in 1 section; and the
International Cargo Bureau in 8 sections. We updated internal Coast
Guard office designators in nine sections, and typographical errors
were corrected in Sec. Sec.  10.219, 28.50, 28.275(a)(2), 28.390(c),
and 176.816. Further, certain sections of Title 46 previously included
a list of Regional Examination locations; however, as a result of other
rulemakings, these sections currently state that the list of Regional
Examination locations is available through the Coast Guard Web site at
http://www.uscg.mil. We updated cross-references to these sections in
Sec. Sec.  12.02-23(e), 12.02-27(a)(2), 13.107(f), 10.105 and 13.109(c)
to ensure the public may easily locate the list of Regional Examination
locations.
    Additional amendments to parts 10, 14, 15, 28, 71, 91, 401, and 402
are:
    46 CFR 10.464. We amended Sec.  10.464(f)(3) for clarity and to
make it consistent with Sec.  10.464(f)(2).
    46 CFR Part 14. We updated the address for the NMC throughout Title
46 to reflect their move to West Virginia. In addition to updating the
address, we removed the outdated facsimile number in Sec.  14.103(b),
and replaced it with NMC's public contact e-mail address. The facsimile
number listed is no longer valid, and the NMC is now accepting
communications via electronic mail. We also added paragraph (c) to
Sec.  14.103 to provide the NMC's World Wide Web address.
    46 CFR 15.610. We removed Sec.  15.610(c) because it expired on May
21, 2006. We re-designated Sec.  15.610(d) as Sec.  15.610(c) due to
the removal of paragraph (c).
    46 CFR 28.575. We amended 46 CFR 28.575 to correct two
typographical errors. The first typographical error appears in the
formula in paragraph (b). Specifically, the figure two in the formula
should be a superscripted figure two. The correct formula, with the
superscripted figure, was added to the CFR in 1991 (56 FR 40413). The
typographical error appeared in the CFR in 1997. The Coast Guard
amended Sec.  28.575 twice between 1991 and 1997 (56 FR 47679 and 60 FR
50461); however neither amendment affected the superscripted figure,
and as such the cause for the error is unknown. Further, we have
contacted members of the public that may have been impacted by the
typographical error; and they have indicated that, in completing the
calculation, they have relied on the original formula published in 1991
rather than the formula published since 1997. This amendment will
merely restore the formula to that which was published in 1991. The
second typographical error appears in Figure 28.575, which is the
graphical representation for Sec.  28.575. Figure 28.575 shows a heel
angle of 40 degrees while the text of the rule in paragraph (e)(3)
states a heel angle of 50 degrees. Thus, we corrected Figure 28.575 to
accurately reflect the rule text.
    46 CFR Parts 71 and 91. 73 FR 35959 amended Sec.  31.10-16 by
adding the National Cargo Bureau, Inc., as a recognized inspection
organization. Previously this section only listed the International
Cargo Gear Bureau, Inc., as a recognized inspection organization.
Sections 71.65-1 and 91.55-1 referenced Sec.  31.10-16 to identify the
International Cargo Gear Bureau, Inc., as the cargo gear organization
authorized to approve cargo gear plans and specifications. The
International Cargo Gear Bureau, Inc., remains the only authorized
organization, other than recognized classification societies authorized
to perform the approval of plans as described in Sec. Sec.  71.65-1 and
91.55-1. We amended Sec. Sec.  71.65-1 and

91.55-1 to eliminate confusion, and ensure that mariners continue to be
directed to appropriate cargo gear plans and specifications approval
organizations.
    46 CFR Part 401. In Sec. Sec.  401.200 and 401.211, we removed a
provision requiring pilots to submit fingerprint charts with
registration applications. We removed these provisions because they
duplicate the same requirement found in Sec.  401.210(a)(1). In Sec.
401.450, we amended a reference to a pilot change point located in
Canada. Previously, the Canadians identified Lock No. 7, Welland Canal,
as an appropriate pilot change point. The Canadians have relocated the
pilot change point and it is now located at Port Colburne. Both Welland
Canal and Port Colburn are under Canadian jurisdiction--rather than
U.S. jurisdiction--and as such this amendment imposes no, U.S. based,
substantive burden on the regulated public. This amendment merely
conveys Canadian operating procedures to mariners that may traverse
Canadian waters. Pilots traversing Canadian waters have been complying
with this change for many years. Lastly, we amended Sec.  401.720 to
reflect the re-codification of 46 U.S.C. 216b(e). Public Law 109-304
(An Act to complete the codification of title 46, United States Code,
``Shipping'', as positive law) re-codified 46 U.S.C. 216b(e) as 46
U.S.C. 9304.
    46 Part 402. We revised the authorities section by removing a
reference to a Department of Transportation regulation that no longer
applies to the Coast Guard. We 2104(a) amended Sec.  402.220 by
removing a reference to a memorandum of agreement between Canada and
the United States, dated 1961, regarding Great Lakes pilotage, and
replaced it with a more current version of that agreement dated 1977.
There were no substantive changes between the two agreements impacting
the public. Lastly, we revised Sec.  402.320 to reflect the most
current ``working rules'' on file with the Coast Guard. These working
rules are compiled by voluntary U.S. registered pilot associations
authorized to establish pilotage pools. This amendment provides the
public with information regarding the current working rules compiled by
those organizations.

IV. Regulatory Analyses

A. Executive Order 12866

    This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866, Regulatory Planning and Review, and does not
require an assessment of potential costs and benefits under section
6(a)(3) of that Order. The Office of Management and Budget has not
reviewed it under that Order. We expect the economic impact of this
rule to be so minimal that a full Regulatory Analysis is unnecessary.
As this rule involves internal agency practices and procedures and non-
substantive changes, it will not impose any costs on the public.

B. Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this rule would have a significant economic impact
on a substantial number of small entities. The term ``small entities''
comprises small businesses, not-for-profit organizations that are
independently owned and operated and are not dominant in their fields,
and governmental jurisdictions with populations of less than 50,000.
This rule does not require a general notice of proposed rulemaking and,
therefore, is exempt from the requirements of the Regulatory
Flexibility Act. However, the Coast Guard certifies under 5 U.S.C.
605(b) that this final rule will not have a significant economic impact
on a substantial number of small entities.

C. Collection of Information

    This rule calls for no new collection of information under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

D. Federalism

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on State or local
governments and would either preempt State law or impose a substantial
direct cost of compliance on them. We have analyzed this rule under
that Order and have determined that it does not have implications for
federalism.

E. Unfunded Mandates Reform Act

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

F. Taking of Private Property

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

G. Civil Justice Reform

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

H. Protection of Children

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

I. Indian Tribal Governments

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

J. Energy Effects

    We have analyzed this rule under Executive Order 13211, Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that order because it is not a ``significant
regulatory action'' under Executive Order 12866 and is not likely to
have a significant adverse effect on the supply, distribution, or use
of energy. The Administrator of the Office of Information and
Regulatory Affairs at OMB has not designated it as a significant energy
action. Therefore, it does not require a Statement of Energy Effects
under Executive Order 13211.

K. Technical Standards

    The National Technology Transfer and Advancement Act (NTTAA) (15
U.S.C. 272 note) directs agencies to use voluntary consensus standards
in their regulatory activities unless the agency provides Congress,
through the Office of Management and Budget, with an explanation of why
using these standards would be inconsistent with applicable law or
otherwise impractical. Voluntary consensus standards are

technical standards (e.g., specifications of materials, performance,
design, or operation; test methods; sampling procedures; and related
management systems practices) that are developed or adopted by
voluntary consensus standards bodies. This rule does not use technical
standards. Therefore, we did not consider the use of voluntary
consensus standards.

L. Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 5100.1 and Commandant Instruction M16475.1D, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have concluded
that under the Instruction there are no factors in this case that would
limit the use of a categorical exclusion under section 2.B.2 of the
Instruction. Therefore, this rule is categorically excluded, under
figure 2-1, paragraphs (34)(a) and (b), of the Instruction from further
environmental documentation because this rule involves editorial,
procedural, and internal agency functions. A final ``Environmental
Analysis Check List'' and a final ``Categorical Exclusion
Determination'' are available in the docket where indicated under
ADDRESSES.

List of Subjects

46 CFR Part 1

    Administrative practice and procedure, Organization and functions
(Government agencies), Reporting and recordkeeping requirements.

46 CFR Part 10

    Penalties, Reporting and recordkeeping requirements, Schools,
Seamen.

46 CFR Part 12

    Penalties, Reporting and recordkeeping requirements, Seamen.

46 CFR Part 13

    Cargo vessels, Reporting and recordkeeping requirements, Seamen.

46 CFR Part 14

    Oceanographic research vessels, Reporting and recordkeeping
requirements, Seamen.

46 CFR Part 15

    Reporting and recordkeeping requirements, Seamen, Vessels.

46 CFR Part 28

    Alaska, Fire prevention, Fishing vessels, Marine safety,
Occupational safety and health, Reporting and recordkeeping
requirements, Seamen.

46 CFR Part 31

    Cargo vessels, Marine safety, Reporting and recordkeeping
requirements.

46 CFR Part 71

    Marine safety, Passenger vessels, Reporting and recordkeeping
requirements.

46 CFR Part 91

    Cargo vessels, Marine safety, Reporting and recordkeeping
requirements.

46 CFR Part 107

    Marine safety, Oil and gas exploration, Reporting and recordkeeping
requirements, Vessels.

46 CFR Part 150

    Hazardous materials transportation, Marine safety, Occupational
safety and health, Reporting and recordkeeping requirements.

46 CFR Part 176

    Fire prevention, Marine safety, Passenger vessels, Reporting and
recordkeeping requirements.

46 CFR Part 401

    Administrative practice and procedure, Great Lakes, Navigation
(water), Penalties, Reporting and recordkeeping requirements, Seamen.

46 CFR Part 402

    Great Lakes, Navigation (water), Seamen.

0
For the reasons discussed in the preamble, the Coast Guard amends 46
CFR Parts 1, 10, 12, 13, 14, 15, 28, 31, 71, 91, 107, 150, 176, 401 and
402 as set forth below: Title 46--Shipping

PART 1--ORGANIZATION, GENERAL COURSE AND METHODS GOVERNING MARINE
SAFETY FUNCTIONS

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

    Authority: 5 U.S.C. 552; 14 U.S.C. 633; 46 U.S.C. 7701; 46
U.S.C. Chapter 93; Pub. L. 107-296, 116 Stat. 2135; Department of
Homeland Security Delegation No. 0170.1; Sec.  1.01-35 also issued
under the authority of 44 U.S.C. 3507.

Sec.  1.01-15  [Amended]

0
2. In Sec.  1.01-15(e), remove the sentence ``Applicants may contact
the National Maritime Center at 4200 Wilson Boulevard, Suite 630,
Arlington, Virginia 22203-1804, or by telephone at<PHONE_NUMBER>.'' and
add, in its place, the sentence ``Applicants may contact the National
Maritime Center at 100 Forbes Drive, Martinsburg, West Virginia 25404,
or by telephone at 1-888-I-ASK-NMC (1-888-427-5662).''

Sec.  1.03-15  [Amended]

0
3. Amend Sec.  1.03-15(h) as follows:
0
a. In paragraph (h)(1), remove the office designator ``(G-MOC)'', and
add, in its place, the office designator ``(CG-543)'';
0
b. In paragraph (h)(2), remove the office designator ``(G-MS)'', and
add, in its place, the office designator ``(CG-52)'';
0
c. In paragraph (h)(3), in the first sentence, remove the office
designator ``(CG-3PC)'' and add, in its place, the office designator
``(CG-54)'';
0
d. In paragraph (h)(3), in the second sentence, remove the office
designator ``CG-3PC(d)'', and add, in its place, the office designator
``(CG-54d)'';
0
e. In paragraph (h)(4), remove the office designator ``(G-PSE)'', and
add, in its place, the office designator ``(CG-521)''; and
0
f. In paragraph (h)(5), remove the office designator ``(G-M)'', and
add, in its place, the office designator ``(CG-5)''.

Sec.  1.03-40  [Amended]

0
4. In Sec.  1.03-40, remove, in both sentences, the phrase ``Director
of Inspection and Compliance, Commandant (G-PC)'', and add, in its
place, the phrase ``Director of Prevention Policy, Commandant (CG-
54)''.

Sec.  1.03-45  [Amended]

0
5. In Sec.  1.03-45, remove, in both sentences, the phrase ``Director
of Inspection and Compliance, Commandant (G-3PC)'' and add, in its
place, the phrase ``Director of Prevention Policy, Commandant (CG-
54)''.

Sec.  1.03-50  [Amended]

0
6. In Sec.  1.03-50, remove the office designator ``(G-M)'' and add, in
its place, the office designator ``(CG-5)''.

PART 10--LICENSING OF MARITIME PERSONNEL

0
7. The authority citation for part 10 continues to read as follows:

    Authority: 14 U.S.C. 633; 31 U.S.C. 9701; 46 U.S.C. 2101, 2103,
and 2110; 46 U.S.C. chapter 71; 46 U.S.C. 7502, 7505, 7701, and
8906; Executive Order 10173; Department of Homeland Security
Delegation No. 0170.1. Section 10.107 is also issued under the
authority of 44 U.S.C. 3507.

Sec.  10.105  [Amended]

0
8. In Sec.  10.105 paragraph (a), remove the phrase ``National Maritime
Center,

at 4200 Wilson Boulevard, Suite 630, Arlington, VA 22203-1804 or by
telephone at<PHONE_NUMBER>'', and add, in its place, the phrase
``National Maritime Center, 100 Forbes Drive, Martinsburg WV 25404 or
by telephone at 1-888-I-ASK-NMC (1-888-427-5662)''.

Sec.  10.112  [Amended]

0
9. In Sec.  10.112 paragraph (b), remove the phrase ``Commanding
Officer, U.S. Coast Guard National Maritime Center, 4200 Wilson
Boulevard, Suite 630, Arlington, VA 22203-1804'', and add, in its
place, the phrase ``Commandant (CG-5434), U.S. Coast Guard, 2100 Second
Street, SW., Washington, DC 20593''.

Sec.  10.213  [Amended]

0
10. In Sec.  10.213 paragraph (e), remove the word ``Commandant'', and
add, in its place, the phrase ``National Maritime Center''.

Sec.  10.219  [Amended]

0
11. In Sec.  10.219 paragraph (a), remove the phrase ``any OCMI'', and
add, in its place, the phrase ``the Coast Guard''.

Sec.  10.302  [Amended]

0
12-13. In Sec.  10.302 paragraph (a), remove the phrase ``Commanding
Officer, National Maritime Center, NMC-4B, 4200 Wilson Boulevard, Suite
630, Arlington, VA 22203-1804'', and add, in its place, the phrase
``Commanding Officer, National Maritime Center, NMC-42, 100 Forbes
Drive, Martinsburg WV 25404''.

Sec.  10.303  [Amended]

0
14. In Sec.  10.303 paragraph (e), remove the office designator ``(NMC-
4B)'' and add, in its place, the office designator''NMC-42''.

Sec.  10.304  [Amended]

0
15. In Sec.  10.304 paragraph (a), remove the office designator ``,
NMC-2''.

Sec.  10.307  [Amended]

0
16. In Sec.  10.307
0
a. Remove the phrase ``Commanding Officer, National Maritime Center,
NMC-2, 4200 Wilson Boulevard, Suite 630, Arlington, VA 22203-1804'' and
add, in its place, the phrase ``Commanding Officer, National Maritime
Center, NMC-42, 100 Forbes Drive, Martinsburg WV 25404''; and
0
b. Remove the Web site ``www.uscg.mil/nmc'' and add, in its place, the
Web site ``http://www.uscg.mil/STCW//''.

Sec.  10.309  [Amended]

0
17. In Sec.  10.309 paragraph (a)(11), remove the phrase ``Commanding
Officer, National Maritime Center, NMC-2, 4200 Wilson Boulevard, Suite
630, Arlington, VA 22203-1804'', and add, in its place, the phrase
``Commanding Officer, National Maritime Center, NMC-42,100 Forbes
Drive, Martinsburg WV 25404''.

Sec.  10.464  [Amended]

0
18. In Sec.  10.464 paragraph (f) (3), remove the phrase ``complete a
TOAR.'' and add, in its place, the phrase ``complete an approved
training course.''

PART 12--CERTIFICATION OF SEAMEN

0
19. The authority citation for part 12 continues to read as follows:

    Authority: 31 U.S.C. 9701; 46 U.S.C. 2101, 2103, 2110, 7301,
7302, 7503, 7505, 7701, and 70105; Department of Homeland Security
Delegation No. 0170.1.

Sec.  12.01-7  [Amended]

0
20. In Sec.  12.01-7, remove the sentence ``Applicants may contact the
National Maritime Center at 4200 Wilson Boulevard, Suite 630,
Arlington, Virginia 22203-1804, or by telephone at<PHONE_NUMBER>.'' and
add, in its place, the sentence ``Applicants may contact the National
Maritime Center at 100 Forbes Drive, Martinsburg, West Virginia 25404,
or by telephone at 1-888-I-ASK-NMC (1-888-427-5662).''

Sec.  12.02-23  [Amended]

0
21. In Sec.  12.02-23(c), remove the word ``listed'' and add, in its
place, the word ``referenced''.

Sec.  12.02-27  [Amended]

0
22. In Sec.  12.02-27(a)(2), remove the word ``listed'' and add, in its
place, the word ``referenced''.

Sec.  12.03-1  [Amended]

0
23. In Sec.  12.03-1(a)(11), remove the phrase ``Commanding Officer,
National Maritime Center, NMC-4B, 4200 Wilson Boulevard, Suite 630,
Arlington, Virginia 22203-1804'' and add, in its place, the phrase
``Commanding Officer, National Maritime Center, NMC-2, 100 Forbes
Drive, Martinsburg, West Virginia 25404''.

PART 13--CERTIFICATION OF TANKERMEN

0
24. The authority citation for part 13 continues to read as follows:

    Authority: 46 U.S.C. 3703, 7317, 8105, 8703, 9102; Department of
Homeland Security Delegation No. 0170.1.

Sec.  13.107  [Amended]

0
25. In Sec.  13.107(f), remove the word ``listed'' and add, in its
place, the word ``referenced''.

Sec.  13.109  [Amended]

0
26. In Sec.  13.109(c), remove the word ``listed'' and add, in its
place, the word ``referenced''.

PART 14--SHIPMENT AND DISCHARGE OF MERCHANT MARINERS

0
27. The authority citation for part 14 continues to read as follows:

    Authority: 5 U.S.C. 552; 46 U.S.C. Chapters 103 and 104.

0
28. Revise Sec.  14.103 to read as follows:

Sec.  14.103  Addresses of Coast Guard.

    (a) U.S. postal mail: U.S. Coast Guard National Maritime Center
(NMC-42), 100 Forbes Drive, Martinsburg, West Virginia 25404.
    (b) Electronic mail<EMAIL_ADDRESS>    (c) World wide web: http://www.uscg.mil/nmc.

PART 15--MANNING REQUIREMENTS

0
29. The authority citation for part 15 continues to read as follows:

    Authority: 46 U.S.C. 2101, 2103, 3306, 3703, 8101, 8102, 8104,
8105, 8301, 8304, 8502, 8503, 8701, 8702, 8901, 8902, 8903, 8904,
8905(b), 8906, 9102, and 8103; and Department of Homeland Security
Delegation No. 0170.1.

Sec.  15.610  [Amended]

0
30. Amend Sec.  15.610 as follows:
0
a. Remove paragraph (c);
0
b. Redesignate paragraph (d) as paragraph (c); and
0
c. In newly designated paragraph (c), remove the phrase ``paragraph
(d)(1) or paragraph (d)(2)'' and add in its place the phrase
``paragraph (c)(1) or paragraph (c)(2)''.

PART 28--REQUIREMENTS FOR COMMERCIAL FISHING INDUSTRY VESSELS

0
31. The authority citation for part 28 continues to read as follows:

    Authority: 46 U.S.C. 3316, 4502, 4505, 4506, 6104, 10603;
Department of Homeland Security Delegation No. 0170.1.

Sec.  28.50  [Amended]

0
32. Amend Sec.  28.50 as follows:
0
a. In the definition of ``Accepted organization'' remove the reference

``Sec.  28.073'', and add, in its place, the reference ``Sec.  28.73''.
0
b. In the definition of ``Coast Guard Representative'' remove the
phrase ``Office of Compliance, Fishing Vessels Safety Division,
Commandant (G-MOC-3)'' and add, in its place, the phrase ``Office of
Vessel Activities, Fishing Vessels Safety Division, Commandant (CG-
5433)''.

Sec.  28.80  [Amended]

0
33. In Sec.  28.80(d)(1), remove the sentence ``Marine Index Bureau,
Inc., 67 Scotch Road, Ewing, NJ, 08628-2504'', and add, in its place,
the sentence ``Marine Index Bureau (a division of ISO Claim Search),
Floor 22-8, 545 Washington Boulevard, Jersey City, NJ, 07310-1686.''

Sec.  28.275  [Amended]

0
34. In Sec.  28.275(a)(2), remove the reference ``64 CFR 28.270(a)'',
and add, in its place, the reference ``46 CFR 28.270(a)''.

Sec.  28.390  [Amended]

0
35. In Sec.  28.390(c), add the word ``and'' after the word ``light''.

Sec.  28.575  [Amended]

0
36. Amend Sec.  28.575 as follows
0
a. In paragraph(b) remove the formula ``KEn(Vn
2AnZn)/W'' and add in its place the formula
``KEn(Vn2AnZn)/
W''.
0
b. Revise Figure 28.575 to read as follows:

Sec.  28.575  Severe wind and roll.

* * * * *
[GRAPHIC] [TIFF OMITTED] TR29SE08.000

PART 31--INSPECTION AND CERTIFICATION

0
37. The authority citation for part 31 continues to read as follows:

    Authority: 33 U.S.C. 1321(j); 46 U.S.C. 2103, 3205, 3306, 3307,
3703; 46 U.S.C. Chapter 701; 49 U.S.C. 5103, 5106; E.O. 12234, 45 FR
58801, 3 CFR, 1980 Comp., p. 277; E.O. 12777, 56 FR 54757, 3 CFR,
1991 Comp., p. 351; Department of Homeland Security Delegation No.
0170.1. Section 31.10-21 also issued under the authority of Sect.
4109, Pub. L. 101-380, 104 Stat. 515.

0
38. Amend Sec.  31.10-5 by revising paragraph (a)(1) to read as
follows:

Sec.  31.10-5  Inspection of new tank vessels--TB/ALL.

    (a) * * *
    (1) The plans and specifications shall include the arrangement of
the cargo gear. Prior to submission to the Officer in Charge, Marine
Inspection, plans and specifications for cargo gear shall be approved
by either a recognized classification society or the International
Cargo Gear Bureau, Inc., whose home office is located at 321 West 44th
Street, New York, NY 10036, on the Internet at http://www.icgb.com.
* * * * *

0
39. Amend Sec.  31.10-16 by revising paragraphs (e)(1) and (2) to read
as follows:

Sec.  31.10-16  Inspection and certification of cargo gear--TB/ALL.

* * * * *
    (e) * * *
    (1) National Cargo Bureau, Inc., with home offices at 17 Battery
Place, Suite 1232, New York, NY 10004; on the Internet at http://
www.natcargo.org.
    (2) The International Cargo Gear Bureau, Inc., with home office at
321 West 44th Street, New York, NY 10036; on the Internet at http://
www.icgb.com.

PART 71--INSPECTION AND CERTIFICATION

0
40. The authority citation for part 71 continues to read as follows:

    Authority: 33 U.S.C. 1321(j); 46 U.S.C. 2113, 3205, 3306, 3307;
E.O. 12234, 45 FR 58801, 3 CFR, 1980 Comp., p. 277; E.O. 12777, 56
FR 54757, 3 CFR, 1991 Comp., p. 351; Department of Homeland Security
Delegation No. 0170.1.

0
41. Amend Sec.  71.65-1 by revising paragraph (c) to read as follows:

Sec.  71.65-1  General.

* * * * *
    (c) Plans and specifications for cargo gear shall be approved by
either a recognized classification society or the International Cargo
Gear Bureau, Inc., whose home office is located at 321 West 44th
Street, New York, NY 10036; on the Internet at http://www.icgb.com.

PART 91--INSPECTION AND CERTIFICATION

0
42. The authority citation for part 91 continues to read as follows:

    Authority: 33 U.S.C. 1321(j); 46 U.S.C. 3205, 3306, 3307; 46
U.S.C. Chapter 701; Executive Order 12234; 45 FR 58801; 3 CFR, 1980
Comp., p. 277; Executive Order 12777, 56 FR 54757, 3 CFR, 1991
Comp., p. 351; Department of Homeland Security Delegation No.
0170.1.

0
43. Amend Sec.  91.55-1 by revising paragraph (c) to read as follows:

Sec.  91.55-1  General.

* * * * *
    (c) Plans and specifications for cargo gear shall be approved by
either a recognized classification society or the International Cargo
Gear Bureau, Inc., whose home office is located at 321 West 44th
Street, New York, NY 10036, on the Internet at http://www.icgb.com.

PART 107--INSPECTION AND CERTIFICATION

0
44. The authority citation for part 107 continues to read as follows:

    Authority: 43 U.S.C. 1333; 46 U.S.C. 3306, 3307; 46 U.S.C. 3316;
Department of Homeland Security Delegation No. 0170.1; Sec.  107.05
also issued under the authority of 44 U.S.C. 3507.

0
45. Amend Sec.  107.115 by revising paragraph (b)(4) to read as
follows:

Sec.  107.115  Incorporation by reference.

* * * * *
    (b) * * *
    (4) International Cargo Gear Bureau, Inc., 321 West 44th Street,
New York, New York 10036, on the Internet at http://www.icgb.com.
* * * * *

0
46. Amend Sec.  107.258 by revising paragraph (a)(2) to read as
follows:

Sec.  107.258  Crane certification.

    (a) * * *
    (2) International Cargo Gear Bureau, Inc., 321 West 44th Street,
New York, NY 10036, on the Internet at http://www.icgb.com.
* * * * *

0
47. Amend Sec.  107.309 by revising the note following paragraph (a)(4)
to read as follows:

Sec.  107.309  Crane plans and information.

* * * * *
    (a) * * *
    (4) * * *

    Note to Sec.  107.309(a)(4): These plans must be submitted to
the Coast Guard, if the crane is not certified. If the crane is to
be certified, four copies must be sent to the American Bureau of
Shipping or the International Cargo Gear Bureau, Inc.

* * * * *

0
48. Amend Sec.  107.317 by revising paragraph (d) to read as follows:

Sec.  107.317  Addresses for submittal of plans, specifications, and
calculations.

* * * * *
    (d) International Cargo Gear Bureau, Inc., 321 West 44th Street,
New York, NY 10036, on the internet at http://www.icgb.com.

PART 150--COMPATIBILITY OF CARGOES

0
49. The authority citation for part 150 continues to read as follows:

    Authority: 46 U.S.C. 3306, 3703; Department of Homeland Security
Delegation No. 0170.1. Section 150.105 issued under 44 U.S.C. 3507;
Department of Homeland Security Delegation No. 0170.1.

Table I to Part 150 [Amended]

0
50. Amend Table I to part 150 by revising the entry for ``Oleylamine''
and adding the entry for ``Styrene monomer'' to read as follows:

                                Table I to Part 150--Alphabetical List of Cargoes
----------------------------------------------------------------------------------------------------------------
           Chemical name               Group No.       Footnote           CHRIS code        Related CHRIS codes
----------------------------------------------------------------------------------------------------------------

                                                  * * * * * * *
Oleylamine........................               7  ..............  OLY..................

                                                  * * * * * * *
Styrene monomer...................              30  ..............  STY..................  STX

                                                  * * * * * * *
----------------------------------------------------------------------------------------------------------------

Table II to part 150--Grouping of Cargoes [Amended]

0
51. Amend Table II to part 150 by adding the word ``monomer'' after the
word ``Styrene'' in Group 30.

PART 176--INSPECTION AND CERTIFICATION

0
52. The authority citation for part 176 continues to read as follows:

    Authority: 33 U.S.C. 1321(j); 46 U.S.C. 2103, 3205, 3306, 3307;
49 U.S.C. App. 1804; E.O. 11735, 38 FR 21243, 3 CFR, 1971-1975
Comp., p. 743; E.O. 12234, 45 FR 58801, 3 CFR, 1980 Comp., p. 277;
Department of Homeland Security Delegation No. 0170.

Sec.  176.816  [Amended]

0
53. In the heading of the section remove the word ``MIscellaneous'' and
add, in its place the word, ``Miscellaneous''.

PART 401--GREAT LAKES PILOTAGE REGULATIONS

0
54. The authority citation for part 401 continues to read as follows:

    Authority: 46 U.S.C. 2104(a), 6101, 7701, 8105, 9303, 9304;
Department of Homeland Security Delegation No. 0170.1; 46 CFR
401.105 also issued under the authority of 44 U.S.C. 3507.

Sec.  401.110  [Amended]

0
55. Amend Sec.  401.110(a)(9) by removing the office designator

``Commandant (G-MWP-2)'' and adding, in its place, the office
designator ``Commandant (CG-54122)''.

0
56. Amend Sec.  401.200 by revising paragraph (a) to read as follows:

Sec.  401.200  Application for registration.

    (a) An application for registration as a U.S. Registered Pilot
shall be made on Form CG-4509, which shall be submitted with two full-
face photographs, 1\1/2\ inches by 2 inches, signed on the face. These
forms may be obtained from the Director.
* * * * *

0
57. Amend Sec.  401.211 by revising paragraph (d) to read as follows:

Sec.  401.211  Requirements for training of Applicant Pilots.

* * * * *
    (d) Persons desiring to be considered as an Applicant Pilot shall
file with the Director a completed Application Form, CG-4509, with two
full-face photographs, 1\1/2\ inches by 2 inches, signed on the face.
* * * * *

0
58. Amend Sec.  401.450 by revising paragraph (d) to read as follows:

Sec.  401.450  Pilot Change Points.

* * * * *
    (d) Port Colborne;
* * * * *

Sec.  401.720  [Amended]

0
59. In Sec.  401.720 paragraph (b) remove the citation ``46 U.S.C.
216b(e)'' and add, in its place the citation ``46 U.S.C. 9304''.

PART 402--GREAT LAKES PILOTAGE RULES AND ORDERS

0
60. The authority citation for part 402 is revised to read as follows:

    Authority: 46 U.S.C. 2104(a), 8105, 9303, 9304.

Sec.  402.220  [Amended]

0
61. In Sec.  402.220 paragraph (b)(8) remove the reference ``Memorandum
of Arrangements, Great Lakes Pilotage, between the Secretary of
Commerce of the United States and the Minister of Transport, Canada on
May 1, 1961'' and add, in its place, the reference ``Memorandum of
Arrangements Great Lakes Pilotage Between the Minister of Transport of
Canada and the Secretary of Transportation of the United States of
America, January 18, 1977.''

0
62. Revise Sec.  402.320 to read as follows:

Sec.  402.320  Working rules.

    (a) Sections 401.320(d)(2) and (6) of this chapter require that
voluntary associations of U.S. Registered Pilots authorized to
establish pilotage pools agree to submit Working Rules for approval of
the Director and that they will coordinate their pool operations with
Canada on a reciprocal basis. The following approved Working Rules are
on file in the office of the Director and are available for public
inspection by any person properly and directly concerned:
    (1) The Working Rules and Dispatching Procedures for the designated
waters of District No. 1 adopted by the St. Lawrence Seaway Pilots'
Association, Inc., Cape Vincent, N.Y., dated May 1, 1980, amended to
March 24, 1999.
    (2) The Working Rules and Dispatch Procedures for the undesignated
waters of District No. 1 adopted by the St. Lawrence Seaway Pilots'
Association, Inc., Cape Vincent, N.Y., dated July 27, 1982.
    (3) The Working Rules, Dispatching Procedures, and General Rules of
District No. 2 adopted by the Lakes Pilots Association, Inc., Port
Huron, MI., dated March 30, 1999.
    (4) The Working Rules for District No. 3, adopted by the Western
Great Lakes Pilots Association, LLP, Superior, WI., dated February 24,
2001 amended to February 28, 2007.
    (b) [Reserved]

    Dated: September 15, 2008.
Stefan G. Venckus,
Chief, Office of Regulations and Administrative Law, United States
Coast Guard.
[FR Doc. E8-21884 Filed 9-26-08; 8:45 am]

BILLING CODE 4910-15-P


[Federal Register Volume 79, Number 102 (Wednesday, May 28, 2014)]
[Notices]
[Pages 30622-30623]
[FR Doc No: 2014-12292]

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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket Nos. FDA-2013-E-0410; FDA-2013-E-0411; FDA-2013-E-0412]

Determination of Regulatory Review Period for Purposes of Patent
Extension; MYRBETRIQ

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA) has determined the
regulatory review period for MYRBETRIQ and is publishing this notice of
that determination as required by law. FDA has made the determination
because of the submission of applications to the Director of Patents
and Trademarks, Department of Commerce, for the extension of a patent
which claims that human drug product.

ADDRESSES: Submit electronic comments to http://www.regulations.gov.
Submit written petitions (two copies are required) and written comments
to the Division of Dockets Management (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
Submit petitions electronically to http://www.regulations.gov at Docket
No. FDA-2013-S-0610.

FOR FURTHER INFORMATION CONTACT: Beverly Friedman, Office of
Management, Center for Drug Evaluation and Research, Food and Drug
Administration, 10903 New Hampshire Ave., Bldg. 51, Rm. 6257, Silver
Spring, MD 20993-0002,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The Drug Price Competition and Patent Term
Restoration Act of 1984 (Pub. L. 98-417) and the Generic Animal Drug
and Patent Term Restoration Act (Pub. L. 100-670) generally provide
that a patent may be extended for a period of up to 5 years so long as
the patented item (human drug product, animal drug product, medical
device, food additive, or color additive) was subject to regulatory
review by FDA before the item was marketed. Under these acts, a
product's regulatory review period forms the basis for determining the
amount of extension an applicant may receive.
    A regulatory review period consists of two periods of time: A
testing phase and an approval phase. For human drug products, the
testing phase begins when the exemption to permit the clinical
investigations of the drug becomes effective and runs until the
approval phase begins. The approval phase starts with the initial
submission of an application to market the human drug product and
continues until FDA grants permission to market the drug product.
Although only a portion of a regulatory review period may count toward
the actual amount of extension that the Director of Patents and
Trademarks may award (for example, half the testing phase must be
subtracted as well as any time that may have occurred before the patent
was issued), FDA's determination of the length of a regulatory review
period for a human drug product will include all of the testing phase
and approval phase as specified in 35 U.S.C. 156(g)(1)(B).
    FDA has approved for marketing the human drug product MYRBETRIQ
(mirabegron). MYRBETRIQ is indicated for the treatment of overactive
bladder with symptoms of urge urinary incontinence, urgency, and
urinary

frequency. Subsequent to this approval, the Patent and Trademark Office
received patent term restoration applications for MYRBETRIQ (U.S.
Patent Nos. 6,346,532; 7,342,117; 7,750,029) from Astellas Pharma Inc.,
and the Patent and Trademark Office requested FDA's assistance in
determining the patents' eligibility for patent term restoration. In a
letter dated July 10, 2013, FDA advised the Patent and Trademark Office
that this human drug product had undergone a regulatory review period
and that the approval of MYRBETRIQ represented the first permitted
commercial marketing or use of the product. Thereafter, the Patent and
Trademark Office requested that FDA determine the product's regulatory
review period.
    FDA has determined that the applicable regulatory review period for
MYRBETRIQ is 2,213 days. Of this time, 1,908 days occurred during the
testing phase of the regulatory review period, while 305 days occurred
during the approval phase. These periods of time were derived from the
following dates:
    1. The date an exemption under section 505(i) of the Federal Food,
Drug, and Cosmetic Act (the FD&C Act) (21 U.S.C. 355(i)) became
effective: June 9, 2006. The applicant claims May 10, 2006, as the date
the investigational new drug application (IND) became effective.
However, FDA records indicate that the IND effective date was June 9,
2006, which was 30 days after FDA receipt of the IND.
    2. The date the application was initially submitted with respect to
the human drug product under section 505(b) of the FD&C Act: August 29,
2011. FDA has verified the applicant's claim that the new drug
application (NDA) for MYRBETRIQ (NDA 202611) was submitted on August
29, 2011.
    3. The date the application was approved: June 28, 2012. FDA has
verified the applicant's claim that NDA 202611 was approved on June 28,
2012.
    This determination of the regulatory review period establishes the
maximum potential length of a patent extension. However, the Patent and
Trademark Office applies several statutory limitations in its
calculations of the actual period for patent extension. In its
applications for patent extension, this applicant seeks 515, 938, or
1,259 days of patent term extension.
    Anyone with knowledge that any of the dates as published are
incorrect may submit to the Division of Dockets Management (see
ADDRESSES) either electronic or written comments and ask for a
redetermination by July 28, 2014. Furthermore, any interested person
may petition FDA for a determination regarding whether the applicant
for extension acted with due diligence during the regulatory review
period by November 24, 2014. To meet its burden, the petition must
contain sufficient facts to merit an FDA investigation. (See H. Rept.
857, part 1, 98th Cong., 2d sess., pp. 41-42, 1984.) Petitions should
be in the format specified in 21 CFR 10.30.
    Interested persons may submit to the Division of Dockets Management
(see ADDRESSES) electronic or written comments and written or
electronic petitions. It is only necessary to send one set of comments.
Identify comments with the docket number found in brackets in the
heading of this document. If you submit a written petition, two copies
are required. A petition submitted electronically must be submitted to
http://www.regulations.gov, Docket No. FDA-2013-S-0610. Comments and
petitions that have not been made publicly available on http://www.regulations.gov may be viewed in the Division of Dockets Management
between 9 a.m. and 4 p.m., Monday through Friday.

    Dated: May 21, 2014.
Leslie Kux,
Assistant Commissioner for Policy.
[FR Doc. 2014-12292 Filed 5-27-14; 8:45 am]
BILLING CODE 4160-01-P


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

General Comment:Could you please extend the period for taking comments to 180 days. Thankyou


[Federal Register: January 29, 2009 (Volume 74, Number 18)]
[Notices]
[Page 5176]
[DOCID:fr29ja09-77]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-1815-DR; Docket ID FEMA-2008-0018]

Maine; Major Disaster and Related Determinations

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This is a notice of the Presidential declaration of a major
disaster for the State of Maine (FEMA-1815-DR), dated January 9, 2009,
and related determinations.

DATES: Effective Date: January 9, 2009.

FOR FURTHER INFORMATION CONTACT: Peggy Miller, Disaster Assistance
Directorate, Federal Emergency Management Agency, 500 C Street, SW.,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Notice is hereby given that, in a letter
dated January 9, 2009, the President issued a major disaster
declaration under the authority of the Robert T. Stafford Disaster
Relief and Emergency Assistance Act, 42 U.S.C. 5121-5207 (the Stafford
Act), as follows:

    I have determined that the damage in certain areas of the State
of Maine resulting from a severe winter storm and flooding during
the period of December 11-29, 2008, is of sufficient severity and
magnitude to warrant a major disaster declaration under the Robert
T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C.
5121-5207 (the Stafford Act). Therefore, I declare that such a major
disaster exists in the State of Maine.
    In order to provide Federal assistance, you are hereby
authorized to allocate from funds available for these purposes such
amounts as you find necessary for Federal disaster assistance and
administrative expenses.
    You are authorized to provide Public Assistance in the
designated areas, Hazard Mitigation throughout the State, and any
other forms of assistance under the Stafford Act that you deem
appropriate. Direct Federal assistance is authorized. Consistent
with the requirement that Federal assistance be supplemental, any
Federal funds provided under the Stafford Act for Public Assistance
and Hazard Mitigation will be limited to 75 percent of the total
eligible costs. If Other Needs Assistance under Section 408 of the
Stafford Act is later requested and warranted, Federal funding under
that program will also be limited to 75 percent of the total
eligible costs.
    Further, you are authorized to make changes to this declaration
to the extent allowable under the Stafford Act.

    The Federal Emergency Management Agency (FEMA) hereby gives notice
that pursuant to the authority vested in the Administrator, under
Executive Order 12148, as amended, James N. Russo, of FEMA is appointed
to act as the Federal Coordinating Officer for this major disaster.
    The following areas of the State of Maine have been designated as
adversely affected by this major disaster:

    Androscoggin, Cumberland, Knox, Lincoln, Sagadahoc, Waldo, and
York Counties for Public Assistance. Direct Federal assistance is
authorized.
    All counties within the State of Maine are eligible to apply for
assistance under the Hazard Mitigation Grant Program.

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

R. David Paulison,
Administrator, Federal Emergency Management Agency.
[FR Doc. E9-1879 Filed 1-28-09; 8:45 am]

BILLING CODE 9111-23-P