[Federal Register Volume 85, Number 137 (Thursday, July 16, 2020)]
[Notices]
[Pages 43233-43234]
[FR Doc No: 2020-15357]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP20-492-000]

Enable Gas Transmission, LLC; Notice of Request Under Blanket
Authorization

    Take notice that on July 2, 2020, Enable Gas Transmission, LLC
(EGT), 910 Louisiana Street, Ste. 48040 (48th Floor), Houston, Texas
77002, filed in the above referenced docket a prior notice request
pursuant to sections 157.205, 157.208, and 157.211 of the Commission's
regulations under the Natural Gas Act and EGT's blanket certificate
issued in Docket Nos. CP82-384-000 and CP82-384-001 for authorization
to: (i) Install a new 1,080-foot-long, 3-inch-diameter pipeline, to be
named Line OT-38, that will provide transportation service from a new
tap on EGT's existing Line OT-27 to a new meter location; and (ii)
install a new meter location, to be named the Roland Meter, which will
be sited within an existing town border station owned and operated by
the Roland Development Authority. This project is a replacement for a
similar request in Docket No. CP19-151-000 which has been requested to
be vacated because the previous location has proved to be unsuitable.
The project is located near the Town of Roland in Sequoyah County,
Oklahoma, all as more fully set forth in the application which is on
file with the Commission and open to public inspection.
    The filing is available for review on the Commission's website web
at http://www.ferc.gov using the ``eLibrary'' link. Enter the docket
number excluding the last three digits in the docket number field to
access the document. For assistance, contact FERC at
<EMAIL_ADDRESS>or call toll-free,<PHONE_NUMBER> or TYY,
(202) 502-8659. At this time, the Commission has suspended access to
the Commission's Public Reference Room, due to the proclamation
declaring a National Emergency concerning the Novel Coronavirus Disease
(COVID-19), issued by the President on March 13, 2020.
    Any questions concerning this application may be directed to Lisa
Yoho, Sr. Director Regulatory and FERC Compliance, Enable Gas
Transmission, LLC, 910 Louisiana St., 48th Floor, Houston, Texas 77002,
at<PHONE_NUMBER>, or at<EMAIL_ADDRESS>    Any person or the Commission's staff may, within 60 days after
issuance of the instant notice by the Commission, file pursuant to Rule
214 of the Commission's Procedural Rules (18 CFR 385.214) a motion to
intervene or notice of intervention and pursuant to section 157.205 of
the regulations under the NGA (18 CFR 157.205), a protest to the
request. If no protest is filed within the time allowed therefore, the
proposed activity shall be deemed to be authorized effective the day
after the time allowed for filing a protest. If a protest is filed and
not withdrawn within 30 days after the allowed time for filing a
protest, the instant request shall be treated as an application for

authorization pursuant to section 7 of the NGA.
    Pursuant to section 157.9 of the Commission's rules, 18 CFR 157.9,
within 90 days of this Notice the Commission staff will either:
complete its environmental assessment (EA) and place it into the
Commission's public record (eLibrary) for this proceeding; or issue a
Notice of Schedule for Environmental Review. If a Notice of Schedule
for Environmental Review is issued, it will indicate, among other
milestones, the anticipated date for the Commission staff's issuance of
the EA for this proposal. The filing of the EA in the Commission's
public record for this proceeding or the issuance of a Notice of
Schedule for Environmental Review will serve to notify federal and
state agencies of the timing for the completion of all necessary
reviews, and the subsequent need to complete all federal authorizations
within 90 days of the date of issuance of the Commission staff's EA.
    Persons who wish to comment only on the environmental review of
this project should submit an original and two copies of their comments
to the Secretary of the Commission. Environmental commenter's will be
placed on the Commission's environmental mailing list and will be
notified of any meetings associated with the Commission's environmental
review process. Environmental commenter's will not be required to serve
copies of filed documents on all other parties. However, the non-party
commenters, will not receive copies of all documents filed by other
parties or issued by the Commission and will not have the right to seek
court review of the Commission's final order.
    In addition to publishing the full text of this document in the
Federal Register, the Commission provides all interested persons an
opportunity to view and/or print the contents of this document via the
internet through the Commission's Home Page (http://ferc.gov) using the
``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. For
assistance, contact the Federal Energy Regulatory Commission at
<EMAIL_ADDRESS>or call toll-free,<PHONE_NUMBER> or TYY,
(202) 502-8659.
    The Commission strongly encourages electronic filings of comments,
protests and interventions in lieu of paper using the ``eFiling'' link
at http://www.ferc.gov. Persons unable to file electronically may mail
similar pleadings to the Federal Energy Regulatory Commission, 888
First Street NE, Washington, DC 20426. Hand delivered submissions in
docketed proceedings should be delivered to Health and Human Services,
12225 Wilkins Avenue, Rockville, Maryland 20852.

    Dated: July 10, 2020.
Kimberly D. Bose,
Secretary.
[FR Doc. 2020-15357 Filed 7-15-20; 8:45 am]
BILLING CODE 6717-01-P


			  UNITED STATES OF AMERICA

		        DEPARTMENT OF TRANSPORTATION

			  OFFICE OF THE SECRETARY

			          WASHINGTON, D.C.

Issued by the Department of Transportation on August 20, 2003

NOTICE OF ACTION TAKEN -- DOCKET OST-1995-298

________________________________________________________________________
________________________________________________________

This serves as notice to the public of the action described below, taken
by the Department official indicated (no additional confirming order
will be issued in this matter).

Applicant:  TRANSPORTES AEREOS de CABO VERDE d/b/a TACV

Date Filed: May 27, 2003, as amended July 24, 2003.

Relief requested:  Exemption from 49 USC section 41301 to permit the
applicant to conduct, by wet-lease of equipment, scheduled foreign air
transportation of persons, property and mail, between Ilha do Sal, Cape
Verde, and the two U.S. coterminal points Boston, Massachusetts, and New
York, New York.

Applicant representative:  Aidan D. Jones,<PHONE_NUMBER>            DOT
analyst:  Allen F. Brown,<PHONE_NUMBER>

Responsive pleadings:  On August 12, 2003, the Port Authority of New
York and New Jersey filed a pleading in support of TACV’s request.

	DISPOSITION

Action:  Approved.
         Action date:  August 20, 2003

Effective dates of authority granted:  August 20, 2003, through August
20, 2004.

Basis for approval (bilateral agreement/reciprocity):  The authority is
encompassed by the U.S.-Cape Verde aviation agreement, which both the
United States and Cape Verde are adhering to based on comity and
reciprocity.

Except to the extent exempted/waived, this authority is subject to the
terms, conditions, and limitations indicated:  Standard exemption
conditions.

Special conditions:  In the conduct of the services authorized, TACV may
only use aircraft wet leased from a duly authorized and properly
supervised U.S. or foreign air carrier that receives requisite authority
under the provisions of 14 CFR Part 212 of the Department’s
regulations.

Action taken by:   Paul L. Gretch, Director

		      Office of International Aviation

________________________________________________________________________
________________________________________________________

Under authority assigned by the Department in its regulations, 14 CFR
Part 385, we found that (1) our action was consistent with Department
policy; (2) the applicant was qualified to perform its proposed
operations; (3) grant of the authority was consistent with the public
interest; and (4) grant of the authority would not constitute a major
regulatory action under the Energy Policy and Conservation Act of 1975.
To the extent not granted/deferred/dismissed, we denied all requests in
the referenced Docket.  We may amend, modify, or revoke the authority
granted in this Notice at any time without hearing at our discretion.

Persons entitled to petition the Department for review of the action set
forth in this Notice under the Department’s regulations, 14 CFR
§385.30, may file their petitions within seven (7) days after the date
of issuance of this Notice.  This action was effective when taken, and
the filing of a petition for review will not alter such effectiveness.

An electronic version of this document is available on the World Wide
Web at:

http://dms.dot.gov//reports/reports_aviation.asp


[Federal Register Volume 85, Number 66 (Monday, April 6, 2020)]
[Notices]
[Pages 19203-19208]
[FR Doc No: 2020-07075]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-88519; File No. SR-Phlx-2020-09]

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Relocate the
Phlx Series 8000 and 9000 Rules and Incorporate by Reference the
Disciplinary Rules of The Nasdaq Stock Market LLC

March 31, 2020.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on March 20, 2020, Nasdaq PHLX LLC (``Phlx'' or ``Exchange'') filed
with the Securities and Exchange Commission (``SEC'' or ``Commission'')
the proposed rule change as described in Items I and II below, which
Items have been prepared by the Exchange. The Commission is publishing
this notice to solicit comments on the proposed rule change from
interested persons.
---------------------------------------------------------------------------

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

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

    The Exchange proposes to relocate the Phlx Series 8000 and 9000
Rules from its current rulebook (``Rulebook'') into its new Rulebook
shell. The Exchange is also proposing to simultaneously replace the
text of the current Phlx Series 8000 and 9000 Rules with introductory
paragraphs to each that incorporate by reference The Nasdaq Stock
Market LLC's (``Nasdaq'') Series 8000 and 9000 Rules located in Nasdaq
General 5 Discipline.
    The text of the proposed rule change is available on the Exchange's
website at http://nasdaqphlx.cchwallstreet.com/, at the principal
office of the Exchange, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
Rule Relocation
    The Exchange proposes to relocate the current Phlx Rule 8000 and
9000 Series Rules into the new Rulebook shell. The relocation and
harmonization of these rules is part of the Exchange's continued effort
to promote efficiency and conformity of its processes with those of its
Affiliated Exchanges.\3\ The Exchange believes that the placement of
these Phlx Rules into their new location in the shell will facilitate
the use of the Rulebook by members, member organizations, persons
associated with member organizations, or other persons subject to its
jurisdiction. Specifically, the Exchange proposes to relocate the
following rules into General 5 Discipline:
---------------------------------------------------------------------------

    \3\ The term ``Affiliated Exchanges'' refers to Nasdaq; Nasdaq
BX, Inc.; Nasdaq ISE, LLC; Nasdaq GEMX, LLC; and Nasdaq MRX, LLC.

------------------------------------------------------------------------
        Proposed new rule number               Current rule number
------------------------------------------------------------------------
Section 1..............................  Rule 9110(d) Disciplinary
                                          Jurisdiction.
Section 2..............................  8000. Investigations and
                                          Sanctions.
Section 3..............................  9000. Code of Procedure.
------------------------------------------------------------------------

Incorporation by Reference
    The Exchange also proposes to simultaneously replace the current
Phlx Series 8000 and 9000 Rules with introductory paragraphs to each
that incorporate by reference the Nasdaq Series 8000 and 9000 Rules
(located in General 5 Discipline), respectively, and state that such
Nasdaq Rules shall be applicable to Exchange Members, Member
Organizations, persons associated with Member Organizations, and other
persons subject to the Exchange's jurisdiction.\4\
---------------------------------------------------------------------------

    \4\ The Exchange notes that the proposed changes will not become
operative unless and until the Commission approves the Exchange's
request, which it has filed pursuant to Section 36 of the Exchange
Act and SEC Rule 0-12 thereunder, for an exemption from the rule
filing requirements of Section 19(b) of the Exchange Act as to
changes to Phlx Series 8000 (New General 5, Section 2) and 9000 (New
General 5, Section 3) Rules that are effected solely by virtue of a
change to the Nasdaq Series 8000 or 9000 Rules.
---------------------------------------------------------------------------

    Except as noted below, the Nasdaq Series 8000 and 9000 Rules are
substantially similar to the current Phlx Series 8000 and 9000 Rules,
respectively. To account for any

differences that do exist, the proposed introductory paragraphs list
instances in which cross references in the Nasdaq Series 8000 and 9000
Rules to other Nasdaq rules shall be read to refer instead to the
Exchange Rules, and references to Nasdaq terms (whether or not defined)
shall be read to refer to the Exchange-related meanings of those terms.
For example, references in both the Nasdaq Series 8000 and 9000 Rules
to the following terms shall be read to refer to the Exchange-specific
meanings of those terms: the terms ``Exchange'' or ``Nasdaq'' shall be
read to refer to the Phlx Exchange; the terms ``Rule'' or ``Rules of
Nasdaq'' shall be read to refer to the Phlx Rules; the terms ``Board''
or ``Nasdaq Board'' shall be read to refer to the Phlx Board of
Directors; the terms ``member'' or ``member firm'' shall be read to
refer to a Phlx member organization, except that with respect to Rules
9268(e)(2), 9269(d)(2), 9312(a)(3), 9351(a), 9524(a)(10), 9524(b)(3),
and 9559(q)(1), the term ``member'' shall be read also to apply to a
Phlx member; the term ``Associated Person'' shall be read to refer to a
Phlx Member or person associated with a Phlx member organization; the
term ``person associated with a member'' shall be read to refer to a
Phlx member or a person associated with a Phlx member organization; \5\
the terms ``Nasdaq Regulation'' or ``Nasdaq Regulation Department''
shall be read to refer to the Phlx Regulation Department; and the term
``Chief Regulatory Officer'' shall be read to refer to the Chief
Regulatory Officer of Phlx.
---------------------------------------------------------------------------

    \5\ The Exchange notes that the term ``member'' under Nasdaq's
rules is synonymous with the Exchange's definition of ``member
organization,'' whereas the definition of a ``member'' of the
Exchange relates to the permit holder. Nasdaq does not have such a
concept. Under the Phlx rules, a ``member'' is a natural person,
where as a ``member organization'' is an entity and not a person.
---------------------------------------------------------------------------

    Additionally, the proposed introduction to the Phlx Series 8000
Rules (New General 5, Section 2) states that references in the Nasdaq
Series 8000 Rules to ``Rule 0120'' \6\ shall be read to refer to Phlx
Rule General 1, Section 1 and references in the Nasdaq Series 8000
Rules to ``Rule 1015'' shall be read to refer to Phlx Rule General 3,
Section 16(a).
---------------------------------------------------------------------------

    \6\ The definitions in Nasdaq Rule 0120 are now located under
the General 1 title (``General Provisions'') in the Nasdaq rulebook.
See Securities Exchange Act Release No. 34-87778 (December 17,
2019), 84 FR 70590 (December 23, 2019) (SR-NASDAQ-2019-098). The
Exchange plans to submit a subsequent filing for the Nasdaq rulebook
to address references to rules in the Nasdaq Rulebook that have
since been changed.
---------------------------------------------------------------------------

    The proposed introduction to the Phlx Series 8000 Rules (New
General 5, Section 2) also indicates how certain of the Nasdaq Series
8000 Rules should be read to apply to Exchange members, member
organizations, persons associated with member organizations, or other
persons subject to its jurisdiction. Specifically, when applied to a
Phlx member, Nasdaq Rule 8310(a)(3) shall also permit the suspension of
the permit of a Phlx member and 8310(a)(4) shall also permit the
revocation or cancellation of the permit of a Phlx member, or expulsion
of a Phlx member. In addition, IM-8310-3(c)(1) shall also permit the
Phlx Regulation Department to release to the public information with
respect to any disciplinary decision issued pursuant to the Phlx Series
9000 Rules (New General 5, Section 3) imposing a suspension,
cancellation or expulsion of a Phlx member, or suspension or revocation
of a Phlx member's permit or any decision issued pursuant to the Rule
9550 Series imposing a suspension or cancellation of the Phlx member,
or a suspension or bar of the association of a Phlx member with a Phlx
member organization. Moreover, IM-8310-3(g) and (h) also shall be read
to apply to a Phlx member with respect to decisions of the Exchange
that impose upon him or her a monetary sanction of $10,000 or more or a
penalty of expulsion, revocation, suspension, or bar; and IM-8310(i)
also shall be read to apply to a Phlx member with respect to any order
issued by the Commission of suspension, expulsion, bar, or the
imposition of monetary sanctions of $10,000 or more. The inclusion of
these provisions in the introductory paragraph ensures that there is no
change in the way current Phlx Rules 8310 and IM-8310-3 are applied to
Phlx Members who are sanctioned for violation of the Phlx Rules.
    The proposed introduction to the Phlx Series 8000 Rules (New
General 5, Section 2) clarifies that, while Rules 8320(a)(2), (b), and
(c) in the Nasdaq Series 8000 Rules shall also apply to Phlx members,
subsection (a)(1) shall have no application to the Exchange or its
members, member organizations, persons associated with member
organizations, and other persons subject to the Exchange's
jurisdiction. The inclusion of this in the introductory paragraph is
needed because that subsection relates specifically to Nasdaq Options
Market members, and there is no analogous rule in the Phlx Series 8000
Rules (New General 5, Section 2).
    Finally, the introductory paragraph to the Phlx Series 8000 Rules
(New General 5, Section 2) explains that Nasdaq Rule IM-8310-1 shall
have no application to the Phlx Exchange or its members, member
organizations, persons associated with member organizations, or other
persons subject to its jurisdiction. Instead, current Phlx Rule IM-
8310-1 shall continue to apply. While the language of Nasdaq Rule IM-
8310-1 and current Phlx Rule IM-8310-1 is substantially similar,
certain differences exist given the existence of member organizations
on the Exchange such that maintaining the current Phlx Rule language is
necessary.
    With respect to the Phlx Series 9000 Rules (New General 5, Section
3), the proposed introduction states that cross-references in the
Nasdaq Series 9000 Rules to the following rules shall be read to refer
to the following Exchange Rules:

------------------------------------------------------------------------
            Nasdaq rule \7\                Corresponding exchange rule
------------------------------------------------------------------------
0120...................................  General 1, Section 1.
1013...................................  General 3, Section 5 or General
                                          3, Section 2.
1015...................................  General 3, Section 16(a).
1160...................................  General 3, Section 7(d).
2010A..................................  Options 9, Section 1.
2160...................................  General 2, Section 4.
2170...................................  General 9, Section 53.
4110A..................................  Options 6D, Section 1.
4120A..................................  Options 6D, Section 1.
Options 9, Section 4...................  General 9, Section 53.
------------------------------------------------------------------------

    In addition, when applied to a Phlx member organization, Rule
9558(a)(2) and any other applicable rules in the Nasdaq Rule 9000
series shall also allow the summary suspension of the associated
permit(s) of a Phlx member organization. This language is necessary to
make it clear that if the Chief Regulatory Officer provides written
authorization to the Financial Industry Regulatory Authority
(``FINRA'') staff to issue on a case-by-case basis a written notice
that summarily suspends a Phlx member organization, the Phlx member
organization's associated permit(s) may also be suspended.
---------------------------------------------------------------------------

    \7\ The Exchange plans to submit a subsequent filing for the
Nasdaq Series 8000 and 9000 Rules to replace references to the
following rules with the new rule cites: Rules 0120 (now General 1),
1160 (now General 2, Section 11), 2010A (now General 9, Section 1),
2160 (now General 2, Section 14), 4110A (now General 9, Section 40),
and 4120A (now General 9, Section 41).
---------------------------------------------------------------------------

    Moreover, as with the current Phlx Series 8000 Rules, the proposed
introduction to the Phlx Series 9000 Rules (New General 5, Section 3)
indicates how certain of the Nasdaq Series 9000 Rules should be read to
apply to Exchange members, member organizations, persons associated
with member organizations, or other persons subject to its jurisdiction
\8\ and indicates

that certain of the language in particular rules of the Current Phlx
Series 8000 and 9000 Rules will be maintained. Specifically:
---------------------------------------------------------------------------

    \8\ Rule 9270(c)(5) in the current Phlx Rule 9000 Series refers
to the ``Exchange Enforcement Sanctions User's Guide,'' whereas Rule
9270(c)(5) in the Nasdaq Rule 9000 Series refers to ``sanction
guidelines.'' The Exchange is not preserving the reference to the
Exchange Enforcement Sanctions User's Guide (the ``Sanctions User
Guide'') because the Exchange, like Nasdaq, consults FINRA's
sanction guidelines when determining appropriate remedial sanctions.
The Exchange notes that, pursuant to a September 11, 2000,
settlement with the Commission (the ``Settlement''), see Release No.
43268, September 11, 2000, the Exchange was required to ``adopt
rules establishing, or modifying existing, sanctioning guidelines
such that they are reasonably designed to effectively enforce
compliance with such exchange's options order handling rules,
including, the duty of best execution with respect to the handling
of orders after the broker-dealer routes the order to such
respondent exchange, limit order display, priority, firm quote, and
trade reporting rules.'' The Exchange thereafter sought Commission
approval to adopt new sanctioning guidelines to assist the Exchange
in enforcing compliance with its options order handling rules. See
Securities Exchange Act Release No. 45415 (February 7, 2002), 67 FR
6781 (February 13, 2002). The Exchange received Commission approval
on March 15, 2002. See Securities Exchange Act Release No. 45569
(March 15, 2002), 67 FR 13397 (March 22. 2002). In approving the
Sanctions User Guide, the Commission noted that ``the Commission
expects the Exchange to continue to evaluate the adequacy of the
proposed sanctioning guidelines to determine whether they do, in
fact, effectively enforce compliance with the options order handling
rules.'' See Securities Exchange Act Release No. 45569 (March 15,
2002), 67 FR 13397, 13398 (March 22, 2002).
     After Nasdaq acquired Phlx in 2008, Phlx contracted with FINRA
in 2010 through a regulatory services agreement to perform certain
of the investigation and enforcement functions on its behalf that
the Exchange's enforcement department had previously performed. Over
time, with the support of the Exchange, FINRA began consulting
FINRA's sanction guidelines when determining appropriate remedial
sanctions for Members, Member Organizations, persons associated with
Member Organizations, and other persons subject to the Exchange's
jurisdiction. The National Adjudicatory Council (``NAC'') (formerly
the National Business Conduct Committee) developed the sanctions
guidelines. The NAC is an independent committee of FINRA comprised
of professionals who also review initial decisions rendered in FINRA
disciplinary and membership proceedings. FINRA's guidelines include
guidance on sanctioning a member for failing to comply with best
execution obligations, limit order display rules, and trade
reporting rules. For those rules not specifically covered by FINRA's
sanctions guidelines, such as priority and firm quote rules, FINRA
and/or the Exchange, as applicable, consults the guidelines for
analogous violations when determining the appropriate sanction. For
each rule covered, the guidelines set forth factors that may be
taken into account when determining the appropriate sanction, and
the recommended sanction or sanction range (which are higher than
the Sanctions User Guide recommends). The guidelines do not
prescribe specific sanctions for particular violations. Instead, the
objective is to provide recommended sanctions based on a number of
factors that may be considered pertinent in determining what
sanction should be levied. FINRA's guidelines also provide direction
on when to consider a suspension, bar or other sanctions. The
Exchange believes the higher sanction ranges and guidance on when to
suspend or bar a member lead to better deterrence of misconduct. In
addition, FINRA's sanctions guidelines are available publicly (see
https://www.finra.org/sites/default/files/Sanctions_Guidelines.pdf).
The Exchange believes that public access to guidelines that the
Exchange considers when assessing remedial sanctions improves
regulation and leads to better conduct.
     The Exchange notes that all other Affiliated Exchanges
currently refer to FINRA's sanctions guidelines when determining
appropriate remedial sanctions for each of its members, including
Nasdaq's other options markets, the Nasdaq Options Market, the BX
Options Market, Nasdaq ISE, LLC, Nasdaq GEMX, LLC, and Nasdaq MRX,
LLC.
---------------------------------------------------------------------------

    1. Rule 9110(d) (``Jurisdiction'') in the Nasdaq Series 9000 Rules
shall not apply to the Exchange or its members, member organizations,
persons associated with member organizations, or other persons subject
to its jurisdiction. Instead, current Phlx Rule 9110(d) shall apply.
While the language of Nasdaq Rule 9110(d) and current Phlx Rule 9110(d)
is substantially similar, certain differences exist given the existence
of member organizations and members on the Phlx Exchange such that
maintaining the current Phlx Rule language is necessary.\9\ Moreover,
as noted above, current Phlx Rule 9110(d) will be relocated to New
General 5, Section 1.
---------------------------------------------------------------------------

    \9\ See supra, n.5.
---------------------------------------------------------------------------

    2. The Waiver of Ex Parte Prohibition set forth in Nasdaq Rule
9143(e)(3) and Separation of Functions set forth in Nasdaq Rule
9144(c)(3) shall also apply to violation letters executed pursuant to
Phlx Rule 9216(b)(2). The inclusion of this in the introductory
paragraph is necessary because the Nasdaq rules do not provide for the
issuance of violation letters, whereas the Phlx rules do. This
provision therefore ensures that there is no change in the application
of the Waiver of Ex Parte Prohibition and Separation of Functions rules
to Phlx member organizations or persons associated with member
organizations who submit executed violation letters.
    3. The following text should be read to follow the existing
paragraph in Nasdaq Rule 9211(a)(1), which is identical to the existing
text in current Phlx Rule 9211(a)(1): ``When the number of violations
under Exchange Rules is determined based upon an exception-based
surveillance program, the Phlx Regulation Department or the Department
of Enforcement may aggregate, or ``batch,'' individual violations of
Exchange order handling Rules and consider such ``batched'' violations
as a single offense only in accordance with the guidelines set forth in
the Exchange's Numerical Criteria for Bringing Cases for Violations of
Exchange Order Handling Rules. In addition, the Phlx Regulation
Department or the Department of Enforcement may batch individual
violations of Options 2, Section 5(c) pertaining to quote spread
parameters (and corresponding Options Floor Procedure Advice Options
11, Section 7). In the alternative, the Phlx Regulation Department or
the Department of Enforcement may request authorization from the FINRA
Office of Disciplinary Affairs to issue a complaint when (i) the Phlx
Regulation Department or the Department of Enforcement determines that
there exists a pattern or practice of violative conduct without
exceptional circumstances, or (ii) any single instance of violative
conduct without exceptional circumstances is deemed to be egregious.''
The inclusion of this in the introductory paragraph is necessary
because the Nasdaq Rules do not provide for the ``batching'' of
individual violations, whereas the Phlx Rules do. Maintaining this
provision therefore ensures that the current process of ``batching'' on
the Exchange for certain violations remains unchanged.
    4. Rules 9216 and IM-9216 in the Nasdaq Rules shall not apply to
Exchange members, member organizations, persons associated with member
organizations, or other persons subject to its jurisdiction. Instead,
current Phlx Rules 9216 and IM-9216 shall apply. Phlx Rules 9216 and
IM-9216 include provisions unique to that Exchange because, unlike
Nasdaq, it has a trading floor. In addition, Phlx Rule 9216 provides
for the imposition of fines in excess of $2,500 but not to exceed
$10,000. Maintaining the existing language therefore ensures that the
procedures applicable to acceptance, waiver, and consent letters, minor
rule violation letters, and violation letters set forth in the existing
Phlx rules remain unchanged. The Exchange also proposes to update
certain terms and rule references that exist in Current Phlx Rule IM-
9216 to align them with current terms and rule references. Recently,
the Exchange updated the terms ``Registered Options Trader'' to ``Floor
Market Maker'' and ``Specialist'' to ``Lead Market Maker.'' \10\ Those
new terms will be reflected in New Phlx Rule IM-9216. In addition, due
to the recent relocation in the Phlx Rulebook of rules that are subject
to the minor rule violation plan and the floor option procedure
advices, the Exchange is updating the rule references as follows:
---------------------------------------------------------------------------

    \10\ See Securities Exchange Act Release No. 85740 (April 29,
2019), 84 FR 19136 (May 3, 2019); Securities Exchange Act Release
No. 88213 (February 14, 2020), 85 FR 9859 (February 20, 2020).

------------------------------------------------------------------------
                 Old cite                             New cite
------------------------------------------------------------------------
B-12......................................  B-11.
E-1.......................................  D-1.
F-2.......................................  E-2.
F-4.......................................  E-3.
F-5.......................................  E-4.
F-6.......................................  E-5.
F-8.......................................  E-6.
F-9.......................................  E-7.
F-11......................................  E-8.
F-12......................................  E-9.
F-13......................................  Options 11, Section 6.
F-15......................................  Options 11, Section 7.
F-19......................................  Options 11, Section 8.
F-23......................................  E-13.
F-25......................................  E-14.
F-27......................................  Options 11, Section 9.
F-30......................................  E-15.
F-31......................................  E-16.
F-33......................................  Options 11, Section 10.
F-34......................................  Options 11, Section 11.
F-35......................................  Options 11, Section 12.
G-1.......................................  Options 11, Section 13.
Section H Of the Options Floor Procedure    Options 8, Section 39, F.
 Advices.
------------------------------------------------------------------------

    5. Rule 9231(b)(1)(C) in the Nasdaq Rules shall be read to allow
the Chief Hearing Officer to select as a Panelist a person who
previously served as a Governor of the Exchange prior to its
acquisition by Nasdaq, Inc., but does not serve currently in that
position; and 9231(b)(1)(D) shall be read to allow a person who is a
member of FINRA's Market Regulation Committee to be among the FINRA
Panelists approved by the Exchange Board at least annually whom the
Chief Hearing Officer may also select as a Panelist. This language is
necessary to preserve the pool of individuals from whom the Chief
Hearing Officer may select to serve as a Panelist for Phlx disciplinary
matters.
    6. When applied to a Phlx member organization, Rule 9558(a)(2) in
the Nasdaq Rule 9000 Series shall also allow the summary suspension of
the associated permit(s) of a Phlx member organization. This language
is necessary to make it clear that if the Chief Regulatory Officer
provides written authorization to FINRA staff to issue on a case-by-
case basis a written notice that summarily suspends a Phlx member
organization, the Phlx member organization's associated permit(s) may
also be suspended.
    7. Rules 9552(f), 9553(g), 9554(g), 9555(g), 9556(g), and 9558(g)
in the Nasdaq 9000 Series shall be read to continue to allow the filing
of a request for termination of a suspension (or a request for
termination of the limitation, prohibition or suspension with respect
to Rules 9555(g) and 9558(g)), to be made with either the head of the
Exchange or the FINRA department or office that issued the notice or
that is handling the matter on behalf of the issuing department or
office. The inclusion of this language is necessary so that it is clear
that such filings may continue to be made with the Exchange.
    8. Rule 9610(b) in the Nasdaq Series 9000 Rules shall not apply to
the Exchange or its members, member organizations, persons associated
with member organizations, or other persons subject to its
jurisdiction. Instead, current Phlx Rule 9610(b) shall apply. While the
language of Nasdaq Rule 9610(b) and current Phlx Rule 9610(b) is
substantially similar, certain differences exist given the existence of
member organizations and members on the Phlx Exchange such that
maintaining the current Phlx Rule language is necessary.
    9. Finally, the Exchange notes that FINRA amended its rules to
reflect an internal reorganization of FINRA's Enforcement
Operations.\11\ In July 2017, FINRA announced its plan to consolidate
its existing enforcement functions into a unified Department of
Enforcement. According to FINRA, its rule change makes technical and
other non-substantive changes to FINRA Rules 9000 Series Code of
Procedure (the ``Code'') to reflect the single Department of
Enforcement.\12\ The rule change removed references to the Market
Regulation department, its head and employees from the Code where those
references reflect the previously separate Market Regulation
enforcement function. In light of FINRA's reorganization, Nasdaq
likewise removed references to the Market Regulation department, its
head and employees from the Code, and re-lettered the remainder of
those sections where such re-lettering was necessary (i.e., Rule 9120).
Because FINRA's Market Regulation department no longer exists, the
Exchange does not need to preserve references to that entity with this
rule change.
---------------------------------------------------------------------------

    \11\ See Securities Exchange Act Release No. 83781 (August 6,
2018), 83 FR 39802 (August 10, 2018) (FINRA No. SR-FINRA-2018-027).
    \12\ Id.
---------------------------------------------------------------------------

2. Statutory Basis
Rule Relocation
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\13\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\14\ in particular, in that it is designed to
promote just and equitable principles of trade and to protect investors
and the public interest by bringing greater transparency to its rules
by relocating its Rules into the new Rulebook shell together with other
rules which have already been relocated. The Exchange's proposal is
consistent with the Act and will protect investors and the public
interest by harmonizing its rules, where applicable, across Nasdaq
markets so that members of the Affiliated Exchange can readily locate
rules which cover similar topics. The relocation and harmonization of
these Phlx Rules is part of the Exchange's continued effort to promote
efficiency and conformity of its processes with those of its Affiliated
Exchanges. The Exchange believes that the placement of these Phlx Rules
into their new location will facilitate the use of the Rulebook by
members, member organizations, persons associated with member
organizations, or other persons subject to the Exchange's jurisdiction.
Specifically, the Exchange believes that market participants that are
members of more than one Nasdaq market will benefit from the ability to
compare Rulebooks.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78f(b).
    \14\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange is not substantively amending rule text unless noted
otherwise within this rule change. The Exchange has already completed
relocating corresponding rules into the same location in most of its
Affiliated Exchange's Rulebooks for ease of reference.\15\ The Exchange
believes its proposal will benefit investors and the general public by
increasing the transparency of its Rulebook and promoting easy
comparisons among the various Nasdaq Rulebooks.
---------------------------------------------------------------------------

    \15\ See Securities Exchange Act Release No. 86138 (June 18,
2019), 84 FR 29567 (June 24, 2019); Securities Exchange Act Release
No. 86346 (July 10, 2019), 84 FR 33999 (July 16, 2019); Securities
Exchange Act Release No. 86424 (July 22, 2019), 84 FR 36134 (July
26, 2019); and Securities Exchange Act Release No. 87778 (December
17, 2019), 84 FR 70590 (December 23, 2019). The Exchange plans to
submit a similar rule filing for Nasdaq BX, Inc. in short order.
---------------------------------------------------------------------------

Incorporation by Reference
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\16\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\17\ in particular, in that it is designed to
promote just and equitable principles of trade, to remove impediments
to and perfect the mechanism of a free and open market and a national
market system, and, in general to protect

investors and the public interest, by consolidating its rules into a
single rule set. The Exchange intends to file a similar proposed rule
change for the Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq GEMX, LLC, and
Nasdaq MRX, LLC markets, so that the Nasdaq 8000 Series and 9000 Series
Rules which govern the investigative and disciplinary processes are
similarly incorporated by reference into those rulebooks.
---------------------------------------------------------------------------

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

    Replacing the current Phlx Series 8000 and 9000 Rules with
introductory paragraphs to each that incorporate by reference Nasdaq
Series 8000 and 9000 Rules, respectively, will provide an easy
reference for members, associated persons, and other persons subject to
the Exchange's jurisdiction seeking to understand and follow the
investigative and disciplinary processes across all of Nasdaq's
Exchanges. As noted, the Exchange intends to file similar rule changes
for other affiliated markets so that the Nasdaq Series 8000 and 9000
Rules are the source document for all of the Affiliated Exchanges'
investigative and disciplinary processes. The Exchange notes that the
substance of the current rules is not changing. The Exchange desires to
conform its rules to give its members and the members of its Affiliated
Exchanges the ability to quickly locate rules in one central location.
    The Exchange also believes that the proposal is consistent with
Section 6(b)(6) of the Act,\18\ which requires that the rules of an
exchange provide that its members be appropriately disciplined for
violations of the Act as well as the rules and regulations thereunder,
or the rules of the Exchange, by expulsion, suspension, limitation of
activities, functions, and operations, fine, censure, being suspended
or barred from being associated with a member, or any other fitting
sanction. As noted above, the Exchange proposes to include introductory
paragraphs to each of the Phlx Series 8000 and 9000 Rules (new General
5, Sections 2 and 3, respectively) that list instances in which cross
references in the Nasdaq Series 8000 and 9000 Rules to other Nasdaq
rules should be read to refer instead to the Exchange Rules and
references to Nasdaq terms (whether or not defined) shall be read to
refer to the Exchange-related meanings of those terms. This is
consistent with the Act because it minimizes confusion and ensures the
proper application of the Nasdaq Rules to Phlx. Also as noted above,
the introductory paragraphs (1) indicate that certain of the Current
Phlx Series 8000 and 9000 Rules, or portions thereof, will continue to
apply to the Exchange, Phlx members, member organizations, persons
associated with member organizations, and other persons subject to the
Exchange's jurisdiction, rather than the analogous Nasdaq Series 8000
and 9000 Rules; \19\ (2) describe how certain of the Nasdaq Series 8000
and 9000 Rules should be read to apply to Exchange members, member
organizations, persons associated with member organizations, or other
persons subject to the Exchange's jurisdiction; \20\ and (3) indicate
that certain of the language in particular rules of the current Phlx
Series 8000 and 9000 Rules will be maintained.\21\ With respect to (1),
the Exchange is also updating certain terms and rule references in
Current Phlx Rule IM-9216 to align them with current terms and rule
references contained elsewhere in the Exchange's Rulebook. The
inclusion of these clarifying provisions is consistent with the Act
because it preserves the way that certain Phlx Rules that differ from
or do not exist in the Nasdaq Rules are applied. Moreover, updating
certain terms and rule references in Current Phlx Rule IM-9216 is
consistent with the Act because it conforms the text in that rule to
changes already made elsewhere in the Rulebook, thus ensuring accurate
terms and rule references throughout. Adding this text therefore
ensures the consistent application of Phlx Rules to its members, member
organizations, persons associated with member organizations, or other
persons subject to the Exchange's jurisdiction.
---------------------------------------------------------------------------

    \18\ 15 U.S.C. 78f(b)(6).
    \19\ Rules IM-8310-1, 9110(d), 9211(a)(1), 9216, IM-9216, and
9610(b).
    \20\ Rule 8310, IM-8310-3, 8320 and 9558(a)(2).
    \21\ Rules 9143(e)(3), 9144(c)(3), 9231(b)(1)(C), 9231(b)(1)(D),
9552(f), 9553(g), 9554(g), 9555(g), 9556(g), and 9558(g).
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. The Exchange believes that this
rule change does not impose an undue burden on competition because the
Exchange is merely incorporating Nasdaq's Series 8000 and 9000 Rules,
which are substantially similar to the current Phlx Series 8000 and
9000 Rules. Those rules will now apply to Phlx members, member
organizations, persons associated with member organizations, or other
persons subject to the Exchange's jurisdiction. To the extent that
there are differences between the two rule sets, the Exchange notes
those differences in introductory paragraphs to each of the Phlx Series
8000 and 9000 Rules (new General 5, Sections 2 and 3, respectively). As
noted above, the proposed introductory paragraphs list instances in
which cross references in Nasdaq Series 8000 and 9000 Rules to other
Nasdaq rules shall be read to refer instead to the Exchange Rules, and
references to Nasdaq terms (whether or not defined) shall be read to
refer to the Exchange-related meanings of those terms. The introductory
paragraphs also (1) indicate that certain of the current Phlx Series
8000 and 9000 Rules, or portions thereof, will continue to apply to the
Exchange, Phlx members, member organizations, persons associated with
member organizations, or other persons subject to the Exchange's
jurisdiction, rather than the analogous Nasdaq Series 8000 and 9000
Rules; (2) describe how certain rule text of the Nasdaq Series 8000 and
9000 Rules should be read to apply to the Exchange, Phlx members,
member organizations, persons associated with member organizations, or
other persons subject to the Exchange's jurisdiction; and (3) indicate
that certain of the language in particular rules of the current Phlx
Series 8000 and 9000 Rules will be maintained. Because Nasdaq's current
Series 8000 and 9000 Rules are substantially similar to the current
Phlx Series 8000 and 9000 Rules, and because the introductory
paragraphs ensure that any differences are preserved, the proposed
changes do not impose any burden on competition not necessary or
appropriate in furtherance of the purposes of the Act. Finally,
updating certain terms and rule references in Current Phlx Rule IM-9216
does not do not impose any burden on competition not necessary or
appropriate in furtherance of the purposes of the Act because it
conforms the text in that rule to changes already made elsewhere in the
Rulebook, thus ensuring accurate terms and rule references throughout.
    Finally, the Exchange believes that the proposed amendments do not
impose an undue burden on competition because the amendments to
relocate the Rules are non-substantive. This rule change is intended to
bring greater clarity to the Exchange's Rules.

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

    No written comments were either solicited or received.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \22\ and Rule 19b-
4(f)(6) thereunder.\23\
---------------------------------------------------------------------------

    \22\ 15 U.S.C. 78s(b)(3)(A).
    \23\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and text of the proposed rule change, at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule change should be approved or
disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-Phlx-2020-09 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-Phlx-2020-09. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street, NE, Washington,
DC 20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-Phlx-2020-09 and should be submitted on
or before April 27, 2020.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\24\
---------------------------------------------------------------------------

    \24\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-07075 Filed 4-3-20; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 143 (Tuesday, July 26, 2011)]
[Notices]
[Pages 44580-44581]
[FR Doc No: 2011-18878]

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

[EPA-HQ-SFUND-2011-0177, FRL-9444-1]

Agency Information Collection Activities; Submission to OMB for
Review and Approval; Comment Request; National Oil and Hazardous
Substance Pollution Contingency Plan (NCP) (Renewal)

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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

SUMMARY: In compliance with the Paperwork Reduction Act (PRA) (44
U.S.C. 3501 et seq.), this document announces that an Information
Collection Request (ICR) has been forwarded to the Office of Management
and Budget (OMB) for review and approval. This is a request to renew an
existing approved collection. The ICR, which is abstracted below,
describes the nature of the information collection and its estimated
burden and cost.

DATES: Additional comments may be submitted on or before August 25,
2011.

ADDRESSES: Submit your comments, referencing Docket ID No. EPA-HQ-
SFUND-2011-0177, to (1) EPA online using http://www.regulations.gov
(our preferred method), by e-mail to<EMAIL_ADDRESS>or by
mail to: EPA Docket Center, Environmental Protection Agency, Room 3334,
EPA West Building, 1301 Constitution Avenue, NW., Washington, DC 20460,
and (2) OMB by mail to: Office of Information and Regulatory Affairs,
Office of Management and Budget (OMB), Attention: Desk Officer for EPA,
725 17th Street, NW., Washington, DC 20503.

FOR FURTHER INFORMATION CONTACT: Lois Gartner, Assessment and
Remediation Division, Office of Superfund Technology and Innovation,
(5204P), Environmental Protection Agency, 1200 Pennsylvania Ave., NW.,
Washington, DC 20460; telephone number:<PHONE_NUMBER>; fax number: 703-
603-9102; e-mail address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: EPA has submitted the following ICR to OMB
for review and approval according to the procedures prescribed in 5 CFR
1320.12. On May 4, 2011, (76 FR 25331), EPA sought comments on this ICR
pursuant to 5 CFR 1320.8(d). EPA received no comments. Any additional
comments on this ICR should be submitted to EPA and OMB within 30 days
of this notice.
    EPA has established a public docket for this ICR under Docket ID
No. EPA-HQ-SFUND-2011-0177, which is available for online viewing at
http://www.regulations.gov, or in person viewing at the Superfund
Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301
Constitution Ave., NW., Washington, DC. The EPA/DC Public Reading Room
is open from 8 a.m. to 4:30 p.m., Monday through Friday, excluding
legal holidays. The telephone number for the Reading Room is 202-566-
1744, and the telephone number for the Superfund Docket is 202-566-
1744.
    Use EPA's electronic docket and comment system at http://www.regulations.gov, to submit or view public comments, access the
index listing of the contents of the docket, and to access those
documents in the docket that are available electronically. Once in the
system, select ``docket search,'' then key in the docket ID number
identified above. Please note that EPA's policy is that public
comments, whether submitted electronically or in paper, will be made
available for public viewing at http://www.regulations.gov as EPA
receives them and without change, unless the comment contains
copyrighted material, confidential business information (CBI), or other
information whose public disclosure is restricted by statute. For
further information about the electronic docket, go to http://www.regulations.gov.
    Title: National Oil and Hazardous Substance Pollution Contingency
Plan (NCP) (Renewal).

    ICR numbers: EPA ICR No.1463.08, OMB Control No. 2050-0096.
    ICR Status: This ICR is scheduled to expire on July 31, 2011. Under
OMB regulations, the Agency may continue to conduct or sponsor the
collection of information while this submission is pending at OMB. An
Agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information, unless it displays a currently
valid OMB control number. The OMB control numbers for EPA's regulations
in title 40 of the CFR, after appearing in the Federal Register when
approved, are listed in 40 CFR Part 9, are displayed either by
publication in the Federal Register or by other appropriate means, such
as on the related collection instrument or form, if applicable. The
display of OMB control numbers in certain EPA regulations is
consolidated in 40 CFR part 9.
    Abstract: This ICR covers the remedial portion of the Superfund
Program, as specified in the Comprehensive Environmental Response,
Compensation, and Liability Act of 1980 as amended (CERCLA) and the
National Oil and Hazardous Substance Pollution Contingency Plan (NCP).
All remedial actions covered by this ICR (e.g., Remedial
Investigations/Feasibility Studies) are stipulated in the statute
(CERCLA) and are instrumental in the process of cleaning up National
Priorities List (NPL) sites to be protective of human health and the
environment. Some community involvement activities covered by this ICR
are not required at every site (e.g., Technical Assistance Grants) and
depend very much on the community and the nature of the site and
cleanup. All community activities seek to involve the public in the
cleanup of the sites, gain the input of community members and include
the community's perspective on the potential future reuse of the
Superfund NPL sites. Community Involvement activities can enhance the
remedial process and increase community acceptance and the potential
for productive and useful reuse of the sites.
    The respondents on whom a burden is placed include state and tribal
governments and communities. Potentially Responsible Parties (PRPs) are
not addressed in this ICR because the Paperwork Reduction Act does not
require the inclusion of those entities that are the subject of
administrative or civil action by the Agency. The ICR reports the
estimated reporting and recordkeeping burden hours and costs expected
to be incurred by these entities and by the Federal government in its
oversight capacities of state action and administration of community
activities at Fund-lead NPL sites. Remedial activities undertaken by
states at NPL sites are those required and recommended by CERCLA and
the NCP and the cost of many of these activities may be reimbursed by
the Federal government. All community involvement in the remedial
process of Superfund is voluntary. Therefore, all cost estimates for
community members is theoretical and does not represent expenditure of
actual dollars.
    States have responsibilities at new and ongoing state-lead sites
and at all state-lead, Federal-lead and Federal Facility sites entering
the remedial phase of Superfund. All other remedial activities taken by
the state are done so at sites which the state voluntarily assumes the
lead agency role. Over each year of this ICR, the state will be
completing remedial activities at sites that entered the remedial phase
of Superfund at different times.
    Community members' participation in remedial activities at
Superfund sites is purely voluntary, and the level of involvement
varies greatly depending on the complexity of the site, its location
(urban vs. rural, industrial vs. residential, etc.) and the level of
interest.
    Burden Statement: The annual public reporting and recordkeeping
burden for this collection of information is estimated to average 14
hours per response. Burden means the total time, effort, or financial
resources expended by persons to generate, maintain, retain, or
disclose or provide information to or for a Federal agency. This
includes the time needed to review instructions; develop, acquire,
install, and utilize technology and systems for the purposes of
collecting, validating, and verifying information, processing and
maintaining information, and disclosing and providing information;
adjust the existing ways to comply with any previously applicable
instructions and requirements which have subsequently changed; train
personnel to be able to respond to a collection of information; search
data sources; complete and review the collection of information; and
transmit or otherwise disclose the information.
    Respondents/Affected Entities: State/tribal governments and
individual community members who voluntarily participate in the
remedial phase of the Superfund program and in associated community
involvement activities throughout the Superfund process.
    Estimated Number of Respondents: 11,397.
    Frequency of Response: Once, On Occasion.
    Estimated Total Annual Hour Burden: 179,615 .
    Estimated Total Annual Cost: $813,440, which is entirely for the
cost of labor. All other associated costs to respondents are reimbursed
by the Federal government.
    Changes in the Estimates: There is an increase of 108,450 hours in
the total estimated burden currently identified in the OMB Inventory of
Approved ICR Burdens. This increase is primarily due to an adjustment
in estimates attributable to the increase in the number of sites
estimated to have RI/FS starts and ongoing RI/FS activity as well as an
the increase in the number of sites expected to have Proposed Plans
developed, and the introduction of customer satisfaction surveys at
certain sites.

    Dated: July 21, 2011.
John Moses,
Director, Collection Strategies Division.
[FR Doc. 2011-18878 Filed 7-25-11; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 83, Number 52 (Friday, March 16, 2018)]
[Notices]
[Pages 11747-11748]
[FR Doc No: 2018-05405]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OLEM-2018-0081; FRL-9975-15-OLEM]

Agency Information Collection Activities: Proposed Collection;
Comment Request; Application for Reimbursement to Local Governments for
Emergency Response to Hazardous Substance Releases Under CERCLA Section
123, EPA ICR Number 1425.06, OMB Control Number 2050-0077

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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

SUMMARY: In compliance with the Paperwork Reduction Act, this document
announces that EPA is planning to submit a continuing Information
Collection Request (ICR) to the Office of Management and Budget (OMB).
This is a request to renew an existing approved collection. This ICR is
scheduled to expire on June 30, 2018. Before submitting the ICR to OMB
for review and approval, EPA is soliciting comments on specific aspects
of the proposed information collection as described below.

DATES: Comments must be submitted on or before May 15, 2018.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OLEM-2018-0081 by one of the following methods:
     www.regulations.gov: Follow the on-line instructions for
submitting comments.
     Email: [email protected].
     Fax:<PHONE_NUMBER>.
     Mail ICR Renewal for Local Goverments Reimbursement
Application, Environmental Protection Agency, Mailcode: 5104A, 1200
Pennsylvania Ave. NW, Washington, DC.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OLEM-
2018-0081.
    EPA's policy is that all comments received will be included in the
public docket without change and may be made available online at
www.regulations.gov, including any personal information provided,
unless the comment includes information claimed to be Confidential
Business Information (CBI) or other information whose disclosure is
restricted by statute. Do not submit information that you consider to
be CBI or otherwise protected through www.regulations.gov or email. The
www.regulations.gov website is an ``anonymous access'' system, which
means EPA will not know your identity or contact information unless you
provide it in the body of your comment. If you send an email comment
directly to EPA without going through www.regulations.gov your email
address will be automatically captured and included as part of the
comment that is placed in the public docket and made available on the
internet. If you submit an electronic comment, EPA recommends that you
include your name and other contact information in the body of your
comment you submit. If EPA cannot read your comment due to technical
difficulties and cannot contact you for clarification, EPA may not be
able to consider your comment. Electronic files should avoid the use of
special characters, any form of encryption, and be free of any defects
or viruses. {For additional information about EPA's public docket visit
the EPA Docket Center homepage at http://www.epa.gov/epahome/dockets.htm.{time}

FOR FURTHER INFORMATION CONTACT: Lisa Boynton, Office of Land and
Emergency Management, Office of Emergency Management, (5104A)
Environmental Protection Agency, 1200 Pennsylvania Ave. NW, Washington,
DC 20460; telephone number:<PHONE_NUMBER>; fax number:<PHONE_NUMBER>;
email address: [email protected].

SUPPLEMENTARY INFORMATION:

How can I access the docket and/or submit comments?

    EPA has established a public docket for this ICR under Docket ID
No. EPA-HQ-OLEM-2018-0081 which is available for online viewing at
www.regulations.gov, or in person viewing at the Superfund Docket in
the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution
Ave. NW, Washington, DC. The EPA/DC Public Reading Room is open from 8
a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The
telephone number for the Reading Room is<PHONE_NUMBER>, and the
telephone number for the Superfund Docket is<PHONE_NUMBER>.
    Use www.regulations.gov to obtain a copy of the draft collection of
information, submit or view public comments, access the index listing
of the contents of the docket, and to access those documents in the
public docket that are available electronically. Once in the system,
select ``search,'' then key in the docket ID number identified in this
document.

What information is EPA particularly interested in?

    Pursuant to section 3506(c)(2)(A) of the PRA, EPA specifically
solicits comments and information to enable it to:
    (i) Evaluate whether the proposed collection of information is
necessary for the proper performance of the functions of the Agency,
including whether the information will have practical utility;
    (ii) evaluate the accuracy of the Agency's estimate of the burden
of the proposed collection of information, including the validity of
the methodology and assumptions used;
    (iii) enhance the quality, utility, and clarity of the information
to be collected; and
    (iv) minimize the burden of the collection of information on those
who are to respond, including through the use of appropriate automated
electronic, mechanical, or other technological collection techniques or
other forms of information technology, e.g., permitting electronic
submission of responses. In particular, EPA is requesting comments from
very small businesses (those that employ less than 25) on examples of
specific additional efforts that EPA could make to reduce the paperwork
burden for very small businesses affected by this collection.

What should I consider when I prepare my comments for EPA?

    You may find the following suggestions helpful for preparing your
comments:
    1. Explain your views as clearly as possible and provide specific
examples.
    2. Describe any assumptions that you used.
    3. Provide copies of any technical information and/or data you used
that support your views.
    4. If you estimate potential burden or costs, explain how you
arrived at the estimate that you provide.
    5. Offer alternative ways to improve the collection activity.
    6. Make sure to submit your comments by the deadline identified
under DATES.
    7. To ensure proper receipt by EPA, be sure to identify the docket
ID number assigned to this action in the subject line on the first page
of your response. You may also provide the name, date, and Federal
Register citation.

What information collection activity or ICR does this apply to?

    Docket ID No. EPA-HQ-OLEM-2018-0081.
    Affected entities: Entities potentially affected by this action are
Local Governments that apply for reimbursement under this program.
    Title: Local Governments Reimbursement Application.

    ICR numbers: EPA ICR No. 1425.05, OMB Control No. 2050-0077.
    ICR status: This ICR is currently scheduled to expire on June 30,
2018. An Agency may not conduct or sponsor, and a person is not
required to respond to, a collection of information, unless it displays
a currently valid OMB control number. The OMB control numbers for EPA's
regulations in title 40 of the CFR, after appearing in the Federal
Register when approved, are listed in 40 CFR part 9, are displayed
either by publication in the Federal Register or by other appropriate
means, such as on the related collection instrument or form, if
applicable. The display of OMB control numbers in certain EPA
regulations is consolidated in 40 CFR part 9.
    Abstract: The Agency requires applicants for reimbursement under
this program authorized under Section 123 of CERCLA to submit an
application that demonstrates consistency with program eligibility
requirements. This is necessary to ensure proper use of the Superfund.
EPA reviews the information to ensure compliance with all statutory and
program requirements. The applicants are local governments who have
incurred expenses, above and beyond their budgets, for hazardous
substance response. Submission of this information is voluntary and to
the applicant's benefit.
    Burden Statement: The annual public reporting and recordkeeping
burden for this collection of information is estimated to average 9
hours per response. Burden means the total time, effort, or financial
resources expended by persons to generate, maintain, retain, or
disclose or provide information to or for a Federal agency. This
includes the time needed to review instructions; develop, acquire,
install, and utilize technology and systems for the purposes of
collecting, validating, and verifying information, processing and
maintaining information, and disclosing and providing information;
adjust the existing ways to comply with any previously applicable
instructions and requirements which have subsequently changed; train
personnel to be able to respond to a collection of information; search
data sources; complete and review the collection of information; and
transmit or otherwise disclose the information.
    The ICR provides a detailed explanation of the Agency's estimate,
which is only briefly summarized here:
    Estimated total number of potential respondents: 30.
    Frequency of response: voluntary, on occasion.
    Estimated total average number of responses for each respondent: 1.
    Estimated total annual burden hours: 270 hours.
    Estimated total annual costs: $7,493 This includes an estimated
burden cost of $18.50/hour and there are no capital investment or
maintenance and operational costs.

Are there changes in the estimates from the last approval?

    At this time, the Agency does not anticipate any substantial
changes.

What is the next step in the process for this ICR?

    EPA will consider the comments received and amend the ICR as
appropriate. The final ICR package will then be submitted to OMB for
review and approval pursuant to 5 CFR 1320.12. At that time, EPA will
issue another Federal Register notice pursuant to 5 CFR
1320.5(a)(1)(iv) to announce the submission of the ICR to OMB and the
opportunity to submit additional comments to OMB. If you have any
questions about this ICR or the approval process, please contact the
technical person listed under FOR FURTHER INFORMATION CONTACT.

    Dated: March 6, 2018.
Reggie Cheatham,
Director, Office of Emergency Management.
[FR Doc. 2018-05405 Filed 3-15-18; 8:45 am]
 BILLING CODE 6560-50-P