[Federal Register Volume 79, Number 164 (Monday, August 25, 2014)]
[Notices]
[Pages 50720-50724]
[FR Doc No: 2014-20083]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-72867; File No. SR-NYSEArca-2014-56]

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting
Proceedings to Determine Whether To Approve or Disapprove Proposed Rule
Change Relating to Listing and Trading of Shares of the PIMCO Income
Exchange-Traded Fund Under NYSE Arca Equities Rule 8.600

August 19, 2014.
    On May 1, 2014, NYSE Arca, Inc. (``Exchange'' or ``NYSE Arca'')
filed with the Securities and Exchange Commission (``Commission''),
pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ a proposed rule change to
list and trade shares (``Shares'') of the PIMCO Income Exchange-Traded
Fund (``Fund'') under NYSE Arca Equities Rule 8.600. The proposed rule
change was published for comment in the Federal Register on May 21,
2014.\3\ On June 24, 2014, the Commission designated a longer period
within which to approve the proposed rule change, disapprove the
proposed rule change, or institute proceedings to determine whether to
disapprove the proposed rule change.\4\ The Commission received no
comments on the proposed rule change. This Order institutes proceedings
under Section 19(b)(2)(B) of the Act \5\ to determine whether to
approve or disapprove the proposed rule change.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 72170 (May 15,
2014), 79 FR 29231 (``Notice'').
    \4\ See Securities Exchange Act Release No. 72458, 79 FR 36849
(June 30, 2014). The Commission determined that it was appropriate
to designate a longer period within which to take action on the
proposed rule change so that it has sufficient time to consider the
proposed rule change. Accordingly, the Commission designated August
19, 2014 as the date by which it should approve, disapprove, or
institute proceedings to determine whether to disapprove the
proposed rule change.
    \5\ 15 U.S.C. 78s(b)(2)(B).
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I. Description of the Proposal

    The Exchange proposes to list and trade Shares of the Fund pursuant
to NYSE Arca Equities Rule 8.600, which governs the listing and trading
of Managed Fund Shares on the Exchange. The Shares will be offered by
PIMCO ETF Trust (``Trust''), a statutory trust organized under the laws
of the State of Delaware and registered with the Commission as an open-
end management investment company.\6\
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    \6\ The Trust is registered under the Investment Company Act of
1940 (``1940 Act''). According to the Exchange, on January 27, 2014,
the Trust filed an amendment to its registration statement on Form
N-1A under the Securities Act of 1933 and the 1940 Act relating to
the Fund (File Nos. 333-155395 and 811-22250) (``Registration
Statement''). In addition, the Exchange represents that the Trust
has obtained certain exemptive relief under the 1940 Act. See
Investment Company Act Release No. 28993 (November 10, 2009) (File
No. 812-13571).
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    The investment manager to the Fund will be Pacific Investment
Management Company LLC (``PIMCO'' or ``Adviser''). PIMCO Investments
LLC will serve as the distributor for the Fund. State Street Bank &
Trust Co. will serve as the custodian and transfer agent for the Fund.
The Exchange represents that, while the Adviser is not registered as a
broker-dealer, the Adviser is affiliated with a broker-dealer and will
implement a fire wall with respect to its broker-dealer affiliate
regarding access to information concerning the composition and changes
to the portfolio.\7\
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    \7\ See Commentary .06 to NYSE Arca Equities Rule 8.600. The
Exchange represents that in the event (a) the Adviser becomes
registered as a broker-dealer or newly affiliated with a broker-
dealer, or (b) any new adviser or sub-adviser is a registered
broker-dealer or becomes affiliated with a broker-dealer, such
Adviser, new adviser, or new sub-adviser will implement a fire wall
with respect to its relevant personnel or its broker-dealer
affiliate, as applicable, regarding access to information concerning
the composition and changes to the portfolio, and will be subject to
procedures designed to prevent the use and dissemination of
material, non-public information regarding such portfolio.
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    The Exchange has made the following representations and statements
describing the Fund and its investment strategy, including portfolio
holdings and investment restrictions.\8\
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    \8\ Additional information regarding the Trust, the Fund, and
the Shares, investment strategies, investment restrictions, risks,
net asset value (``NAV'') calculation, creation and redemption
procedures, fees, portfolio holdings, disclosure policies,
distributions, and taxes, among other information, is included in
the Notice and the Registration Statement, as applicable. See Notice
and Registration Statement, supra notes 3 and 6, respectively.
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Characteristics of the Fund

    In selecting investments for the Fund, PIMCO will develop an
outlook for interest rates, currency exchange rates, and the economy,
will analyze credit and call risks, and will use other investment
selection techniques. The proportion of the Fund's assets committed to
investment in securities with particular characteristics (such as
quality, sector, interest rate, or maturity) will vary based on PIMCO's
outlook for the U.S. economy and the economies of other countries in
the world, the financial markets, and other factors.
    In seeking to identify undervalued currencies, PIMCO may consider
many factors, including, but not limited to, longer-term analysis of
relative interest rates, inflation rates, real exchange rates,
purchasing power parity, trade account balances, and current account
balances, as well as other factors that influence exchange rates such
as flows, market technical trends, and government policies. With
respect to fixed income investing, PIMCO will attempt to identify areas
of the bond market that are undervalued relative to the rest of the
market. PIMCO will identify these areas by grouping fixed income
investments into sectors such as money markets, governments,
corporates, mortgages, asset-backed, and international. Sophisticated
proprietary software will then assist in evaluating sectors and pricing
specific investments. Once investment opportunities are identified,
PIMCO will shift assets among sectors depending upon changes in
relative valuations, credit spreads, and other factors.

Fixed Income Instruments

    Among other investments described in more detail herein, the Fund
may invest in Fixed Income Instruments, which include:
     Securities issued or guaranteed by the U.S. Government,
its agencies or government-sponsored enterprises;
     corporate debt securities of U.S. and non-U.S. issuers,
including convertible securities and corporate commercial paper; \9\
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    \9\ With respect to the Fund, while non-emerging markets
corporate debt securities (excluding commercial paper) generally
must have $100 million or more par amount outstanding and
significant par value traded to be considered as an eligible
investment for the Fund, at least 80% of issues of such securities
held by the Fund must have $100 million or more par amount
outstanding (aggregated by issuer or group of related issuers) at
the time of investment. See also infra note 21.
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     mortgage-backed and other asset-backed securities; \10\
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    \10\ Mortgage-related and other asset-backed securities include
collateralized mortgage obligations (``CMOs''), commercial mortgage-
backed securities, mortgage dollar rolls, CMO residuals, stripped
mortgage-backed securities, and other securities that directly or
indirectly represent a participation in, or are secured by and
payable from, mortgage loans on real property. A to-be-announced
(``TBA'') transaction is a method of trading mortgage-backed
securities. In a TBA transaction, the buyer and seller agree upon
general trade parameters such as agency, settlement date, par
amount, and price. The actual pools delivered generally are
determined two days prior to the settlement date.
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     inflation-indexed bonds issued both by governments and
corporations; \11\
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    \11\ Inflation-indexed bonds (other than municipal inflation-
indexed bonds and certain corporate inflation-indexed bonds) are
fixed income securities whose principal value is periodically
adjusted according to the rate of inflation (e.g., Treasury
Inflation Protected Securities (TIPS)). Municipal inflation-indexed
securities are municipal bonds that pay coupons based on a fixed
rate, plus the Consumer Price Index for All Urban Consumers (CPI).
With regard to municipal inflation-indexed bonds and certain
corporate inflation-indexed bonds, the inflation adjustment is
reflected in the semi-annual coupon payment.

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     structured notes, including hybrid or ``indexed''
securities and event-linked bonds; \12\
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    \12\ The Fund may obtain event-linked exposure by investing in
``event-linked bonds'' or ``event-linked swaps'' or by implementing
``event-linked strategies.'' Event-linked exposure results in gains
or losses that typically are contingent, or formulaically related to
defined trigger events. Examples of trigger events include
hurricanes, earthquakes, weather-related phenomena, or statistics
relating to such events. Some event-linked bonds are commonly
referred to as ``catastrophe bonds.'' If a trigger event occurs, the
Fund may lose a portion or its entire principal invested in the bond
or notional amount on a swap.
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     bank capital and trust preferred securities; \13\
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    \13\ There are two common types of bank capital: Tier I and Tier
II. Bank capital is generally, but not always, of investment grade
quality. According to the Exchange, Tier I securities often take the
form of trust preferred securities. Tier II securities are commonly
thought of as hybrids of debt and preferred stock, are often
perpetual (with no maturity date), callable, and, under certain
conditions, allow for the issuer bank to withhold payment of
interest until a later date. However, such deferred interest
payments generally earn interest.
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     loan participations and assignments; \14\
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    \14\ The Fund may invest in fixed- and floating-rate loans,
which investments generally will be in the form of loan
participations and assignments of portions of such loans.
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     delayed funding loans and revolving credit facilities;
     bank certificates of deposit, fixed time deposits, and
bankers' acceptances;
     repurchase agreements on Fixed Income Instruments and
reverse repurchase agreements on Fixed Income Instruments;
     debt securities issued by states or local governments and
their agencies, authorities, and other government-sponsored enterprises
(``Municipal Bonds'');
     obligations of non-U.S. governments or their subdivisions,
agencies, and government-sponsored enterprises; and
     obligations of international agencies or supranational
entities.

Use of Derivatives by the Fund

    The Fund's investments in derivative instruments will be made in
accordance with the 1940 Act and consistent with the Fund's investment
objective and policies. With respect to the Fund, derivative
instruments primarily will include forwards,\15\ exchange-traded and
over-the-counter options contracts, exchange-traded futures contracts,
swap agreements, and options on futures contracts and swap agreements.
Generally, derivatives are financial contracts, the values of which
depend upon, or are derived from, the value of an underlying asset,
reference rate, or index, and may relate to stocks, bonds, interest
rates, currencies or currency exchange rates, commodities, and related
indexes. The Fund may, but is not required to, use derivative
instruments for risk management purposes or as part of its investment
strategies.
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    \15\ Forwards are contracts to purchase or sell securities for a
fixed price at a future date beyond normal settlement time (forward
commitments).
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    According to the Exchange, the Fund will typically use derivative
instruments as a substitute for taking a position in the underlying
asset and/or as part of a strategy designed to reduce exposure to other
risks, such as interest rate or currency risk. The Fund may also use
derivative instruments to enhance returns. To limit the potential risk
associated with such transactions, the Fund will segregate or
``earmark'' assets determined to be liquid by PIMCO in accordance with
procedures established by the Trust's Board of Trustees (``Board'') and
in accordance with the 1940 Act (or, as permitted by applicable
regulation, enter into certain offsetting positions) to cover its
obligations under derivative instruments. These procedures have been
adopted consistent with Section 18 of the 1940 Act and related
Commission guidance. In addition, the Fund will include appropriate
risk disclosure in its offering documents, including leveraging risk.
Leveraging risk is the risk that certain transactions of the Fund,
including the Fund's use of derivatives, may give rise to leverage,
causing the Fund to be more volatile than if it had not been
leveraged.\16\ Because the markets for certain securities, or the
securities themselves, may be unavailable or cost prohibitive as
compared to derivative instruments, suitable derivative transactions
may be an efficient alternative for the Fund to obtain the desired
asset exposure.
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    \16\ To mitigate leveraging risk, the Adviser will segregate or
``earmark'' liquid assets or otherwise cover the transactions that
may give rise to such risk.
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    The Exchange states that derivatives can be an economically
attractive substitute for an underlying physical security that the Fund
would otherwise purchase. For example, the Fund could purchase Treasury
futures contracts instead of physical Treasuries or could sell credit
default protection on a corporate bond instead of buying a physical
bond. Economic benefits include potentially lower transaction costs or
attractive relative valuation of a derivative versus a physical bond
(e.g., differences in yields).
    The Exchange further states that derivatives can be used as a more
liquid means of adjusting portfolio duration as well as targeting
specific areas of yield curve exposure, with potentially lower
transaction costs than the underlying securities (e.g., interest rate
swaps may have lower transaction costs than physical bonds). Similarly,
money market futures can be used to gain exposure to short-term
interest rates in order to express views on anticipated changes in
central bank policy rates. In addition, derivatives can be used to
protect client assets through selectively hedging downside (or tail
risks) in the Fund.
    The Fund also can use derivatives to increase or decrease credit
exposure. Index credit default swaps (CDX) can be used to gain exposure
to a basket of credit risk by ``selling protection'' against default or
other credit events, or to hedge broad market credit risk by ``buying
protection.'' Single name credit default swaps (CDS) can be used to
allow the Fund to increase or decrease exposure to specific issuers,
saving investor capital through lower trading costs. The Fund can use
total return swap contracts to obtain the total return of a reference
asset or index in exchange for paying a financing cost. A total return
swap may be much more efficient than buying underlying securities of an
index, potentially lowering transaction costs.\17\
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    \17\ The Fund will seek, where possible, to use counterparties
whose financial status is such that the risk of default is reduced;
however, the risk of losses resulting from default is still
possible. PIMCO's Counterparty Risk Committee evaluates the
creditworthiness of counterparties on an ongoing basis. In addition
to information provided by credit agencies, PIMCO credit analysts
evaluate each approved counterparty using various methods of
analysis, including company visits, earnings updates, the broker-
dealer's reputation, PIMCO's past experience with the broker-dealer,
market levels for the counterparty's debt and equity, the
counterparty's liquidity, and its share of market participation.
According to the Exchange, the Fund has adopted procedures that are
consistent with Section 18 of the 1940 Act and related Commission
guidance, which require that a fund's derivative instruments be
fully collateralized by liquid assets of the fund.
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    The Exchange states that the use of derivatives will allow the Fund
to selectively add diversifying sources of return from selling options.
Option purchases and sales can also be used to hedge specific exposures
in the portfolio, and can provide access to return streams available to
long-term investors, such as the persistent difference between implied
and realized volatility. Option strategies can generate income or
improve execution prices (i.e., covered calls).

Principal Investments of the Fund

    The Fund will seek to maximize current income, and long-term
capital appreciation will be a secondary objective. The Fund will seek
to maintain a high and consistent level of dividend income by investing
in a broad array of fixed income sectors and utilizing income efficient
implementation strategies. The capital appreciation sought by the Fund
generally will arise from decreases in interest rates or improving
credit fundamentals for a particular sector or security.
    The Fund will seek to achieve its investment objective by
investing, under normal circumstances,\18\ at least 65% of its total
assets in a multi-sector portfolio of Fixed Income Instruments of
varying maturities, which may be represented by derivatives based on
Fixed Income Instruments (``65% policy''). The average portfolio
duration \19\ of the Fund normally will vary from zero to eight years
based on PIMCO's forecast for interest rates.
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    \18\ The term ``under normal circumstances'' includes, but is
not limited to, the absence of extreme volatility or trading halts
in the fixed income markets or the financial markets generally;
operational issues causing dissemination of inaccurate market
information; or force majeure type events such as a systems failure,
natural or man-made disaster, act of God, armed conflict, act of
terrorism, riot or labor disruption, or any similar intervening
circumstance.
    \19\ Duration is a measure used to determine the sensitivity of
a security's price to changes in interest rates. The longer a
security's duration, the more sensitive it will be to changes in
interest rates.
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    The Fund will generally allocate its assets among several
investment sectors, without limitation, which may include: (i) High
yield securities (``junk bonds'') and investment grade corporate bonds
of issuers located in the United States and non-U.S. countries,
including emerging market countries; (ii) fixed income securities
issued by the U.S. and non-U.S. governments (including emerging market
governments), their agencies, and instrumentalities; (iii) mortgage-
related and other asset backed securities; and (iv) foreign currencies,
including those of emerging market countries. The Fund, however, will
not be required to gain exposure to any one investment sector, and the
Fund's exposure to any one investment sector will vary over time.
    The Fund may invest up to 50% of its total assets in high yield
securities rated below investment grade, but rated at least Caa by
Moody's Investors Service, Inc. (``Moody's''), or equivalently rated by
Standard & Poor's Ratings Services (``S&P'') or Fitch, Inc.
(``Fitch''), or if unrated, determined by PIMCO to be of comparable
quality \20\ (except such limitation shall not apply to the Fund's
investments in mortgage- and asset-backed securities).
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    \20\ Securities rated Ba or lower by Moody's, or equivalently
rated by S&P or Fitch, are sometimes referred to as ``high yield
securities'' or ``junk bonds'' while securities rated Baa or higher
are referred to as ``investment grade.'' Unrated securities may be
less liquid than comparable rated securities and involve the risk
that the Fund's portfolio manager may not accurately evaluate the
security's comparative credit rating. To the extent that the Fund
invests in unrated securities, the Fund's success in achieving its
investment objective may depend more heavily on the portfolio
manager's creditworthiness analysis than if that Fund invested
exclusively in rated securities. In determining whether a security
is of comparable quality, the Adviser will consider, for example,
whether the issuer of the security has issued other rated
securities; whether the obligations under the security are
guaranteed by another entity and the rating of such guarantor (if
any); whether and (if applicable) how the security is
collateralized; other forms of credit enhancement (if any); the
security's maturity date; liquidity features (if any); relevant cash
flow(s); valuation features; other structural analysis;
macroeconomic analysis; and sector or industry analysis.
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    The Fund may invest up to 20% of its total assets in securities and
instruments that are economically tied to emerging market
countries.\21\
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    \21\ PIMCO will generally consider an instrument to be
economically tied to an emerging market country if the security's
``country of exposure'' is an emerging market country, as determined
by the criteria set forth in the Registration Statement.
Alternatively, such as when a ``country of exposure'' is not
available or when PIMCO believes the following tests more accurately
reflect which country the security is economically tied to, PIMCO
may consider an instrument to be economically tied to an emerging
market country if the issuer or guarantor is a government of an
emerging market country (or any political subdivision, agency,
authority, or instrumentality of such government), if the issuer or
guarantor is organized under the laws of an emerging market country,
or if the currency of settlement of the security is a currency of an
emerging market country. With respect to derivative instruments,
PIMCO will generally consider such instruments to be economically
tied to emerging market countries if the underlying assets are
currencies of emerging market countries (or baskets or indices of
such currencies), or instruments or securities that are issued or
guaranteed by governments of emerging market countries or by
entities organized under the laws of emerging market countries.
While emerging markets corporate debt securities (excluding
commercial paper) generally must have $200 million or more par
amount outstanding and significant par value traded to be considered
as an eligible investment for the Fund, at least 80% of issues
(aggregated by issuer or group of related issuers) of such
securities held by the Fund must have $200 million or more par
amount outstanding at the time of investment.
    PIMCO will have broad discretion to identify countries that it
would consider to qualify as emerging markets. In making investments
in emerging market securities, the Fund will emphasize those
countries with relatively low gross national product per capita and
with the potential for rapid economic growth. Emerging market
countries are generally located in Asia, Africa, the Middle East,
Latin America, and Eastern Europe. PIMCO will select the country and
currency composition based on its evaluation of relative interest
rates, inflation rates, exchange rates, monetary and fiscal
policies, trade and current account balances, legal and political
developments, and any other specific factors it believes to be
relevant.
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    The Fund may invest in securities and instruments that are
economically tied to foreign (non-U.S.) countries.\22\ The Fund may
invest, without limitation, in securities denominated in foreign
currencies. The Fund will normally limit its foreign currency exposure
(from non-U.S. dollar-denominated securities or currencies) to 10% of
its total assets.
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    \22\ PIMCO will generally consider an instrument to be
economically tied to a non-U.S. country if the issuer is a foreign
government (or any political subdivision, agency, authority, or
instrumentality of such government), or if the issuer is organized
under the laws of a non-U.S. country. In the case of certain money
market instruments, such instruments will be considered economically
tied to a non-U.S. country if either the issuer or the guarantor of
such money market instrument is organized under the laws of a non-
U.S. country. With respect to derivative instruments, PIMCO will
generally consider such instruments to be economically tied to non-
U.S. countries if the underlying assets are foreign currencies (or
baskets or indexes of such currencies), or instruments or securities
that are issued by foreign governments or issuers organized under
the laws of a non-U.S. country (or if the underlying assets are
certain money market instruments, if either the issuer or the
guarantor of such money market instruments is organized under the
laws of a non-U.S. country).
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    In furtherance of the 65% policy, or with respect to the Fund's
other investments, the Fund may invest in derivative instruments,
subject to applicable law and any other restrictions described herein.
    The Fund may invest up to 25% of its assets in mortgage-related and
other asset-backed securities, although this 25% limitation does not
apply to securities issued or guaranteed by Federal agencies and/or
U.S. government sponsored instrumentalities.
    The Fund may engage in foreign currency transactions on a spot
(cash) basis and forward basis and invest in foreign currency futures
and options contracts. The Fund may enter into these contracts to hedge
against foreign exchange risk, to increase exposure to a foreign
currency, or to shift exposure to foreign currency fluctuations from
one currency to another. Suitable hedging transactions may not be
available in all circumstances, and there can be no assurance that the
Fund will engage in such transactions at any given time or from time to
time.
    The Fund may, without limitation, seek to obtain market exposure to
the securities in which it primarily invests by entering into a series
of purchase and sale contracts or by using other investment techniques
(such as buy backs or dollar rolls).

Other (Non-Principal) Investments of the Fund

    The Fund may invest up to 10% of its total assets in preferred
stocks, convertible securities, and other equity-related
securities.\23\
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    \23\ Convertible securities are generally preferred stocks and
other securities, including fixed income securities and warrants,
that are convertible into or exercisable for common stock at a
stated price or rate. Equity-related investments may include
investments in small-capitalization (``small-cap''), mid-
capitalization (``mid-cap''), and large-capitalization (``large-
cap'') companies. A small-cap company will be defined as a company
with a market capitalization of up to $1.5 billion, a mid-cap
company will be defined as a company with a market capitalization of
between $1.5 billion and $10 billion, and a large-cap company will
be defined as a company with a market capitalization above $10
billion. Not more than 10% of the net assets of the Fund in the
aggregate shall consist of non-U.S. equity securities, including
non-U.S. stocks into which a convertible security is converted,
whose principal market is not a member of the Intermarket
Surveillance Group or is a market with which the Exchange does not
have a comprehensive surveillance sharing agreement.
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    The Fund may invest in variable and floating rate securities, which
are securities that pay interest at rates that adjust whenever a
specified interest rate changes and/or that reset on predetermined
dates (such as the last day of a month or calendar quarter). The Fund
may invest in floating rate debt instruments (floaters) and inverse
floating rate debt instruments (inverse floaters) and may engage in
credit spread trades.
    The Fund may also invest in trade claims,\24\ privately placed and
unregistered securities, and structured products, including credit-
linked securities, commodity-linked notes, and structured notes. The
Fund may invest in Brady Bonds, which are securities created through
the exchange of existing commercial bank loans to sovereign entities
for new obligations in connection with a debt restructuring.
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    \24\ Trade claims are non-securitized rights of payment arising
from obligations that typically arise when vendors and suppliers
extend credit to a company by offering payment terms for products
and services. If the company files for bankruptcy, payments on these
trade claims stop, and the claims are subject to compromise along
with the other debts of the company. Trade claims may be purchased
directly from the creditor or through brokers.
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    The Fund may purchase or sell securities which the Fund is eligible
to purchase or sell on a when-issued basis, may purchase and sell such
securities for delayed delivery, and may make contracts to purchase or
sell such securities for a fixed price at a future date beyond normal
settlement time (forward commitments). The Fund may make short sales as
part of its overall portfolio management strategies or to offset a
potential decline in value of a security.
    The Fund may enter into repurchase agreements, in which the Fund
purchases a security from a bank or broker-dealer, which agrees to
purchase the security at the Fund's cost, plus interest within a
specified time. Repurchase agreements maturing in more than seven days
and which may not be terminated within seven days at approximately the
amount at which the Fund has valued the agreements will be considered
illiquid securities. The Fund may enter into reverse repurchase
agreements and dollar rolls subject to the Fund's limitations on
borrowings.\25\ Reverse repurchase agreements and dollar rolls may be
considered borrowing for some purposes. The Fund will segregate or
``earmark'' assets determined to be liquid by PIMCO in accordance with
procedures established by the Board to cover its obligations under
reverse repurchase agreements and dollar rolls.
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    \25\ A reverse repurchase agreement involves the sale of a
security by the Fund and its agreement to repurchase the instrument
at a specified time and price. A dollar roll is similar except that
the counterparty is not obligated to return the same securities as
those originally sold by the Fund but only securities that are
substantially identical.
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    The Fund may invest, without limit, for temporary or defensive
purposes, in U.S. debt securities, including taxable securities and
short-term money market securities, if PIMCO deems it appropriate to do
so. If PIMCO believes that economic or market conditions are
unfavorable to investors, the Fund may temporarily invest up to 100% of
its assets in certain defensive strategies, including holding a
substantial portion of its assets in cash, cash equivalents, or other
highly rated short-term securities, including securities issued or
guaranteed by the U.S. government, its agencies, or instrumentalities.
    To the extent permitted by Section 12(d)(1)(A) of the 1940 Act, the
Fund may invest in other affiliated and unaffiliated funds, such as
open-end or closed-end management investment companies, including other
exchange traded funds, provided that the Fund's investment in units or
shares of investment companies and other open-end collective investment
vehicles will not exceed 10% of the Fund's total assets. The Fund may
invest securities lending collateral in one or more money market funds
to the extent permitted by Rule 12d1-1 under the 1940 Act, including
series of PIMCO Funds, affiliated open-end management investment
companies managed by PIMCO.

Investment Restrictions

    The Fund's investments, including investments in derivative
instruments, will be subject to all of the restrictions under the 1940
Act, including restrictions with respect to investments in illiquid
securities, that is, the limitation that a fund may hold up to an
aggregate amount of 15% of its net assets in illiquid securities
(calculated at the time of investment), including Rule 144A securities
deemed illiquid by the Adviser, in accordance with Commission
guidance.\26\ The Fund will monitor its portfolio liquidity on an
ongoing basis to determine whether, in light of current circumstances,
an adequate level of liquidity is being maintained, and will consider
taking appropriate steps in order to maintain adequate liquidity if,
through a change in values, net assets, or other circumstances, more
than 15% of the Fund's net assets are held in illiquid securities.
Illiquid securities include securities subject to contractual or other
restrictions on resale and other instruments that lack readily
available markets as determined in accordance with Commission staff
guidance.
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    \26\ In reaching liquidity decisions, the Adviser may consider
the following factors: The frequency of trades and quotes for the
security; the number of dealers willing to purchase or sell the
security and the number of other potential purchasers; dealer
undertakings to make a market in the security; and the nature of the
security and the nature of the marketplace trades (e.g., the time
needed to dispose of the security, the method of soliciting offers,
and the mechanics of transfer).
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    The Fund is non-diversified, which means that it may invest its
assets in a smaller number of issuers than a diversified fund, will
include a minimum of 13 non-affiliated issuers, and intends to qualify
annually and elect to be treated as a regulated investment company
under Subchapter M of the Internal Revenue Code. In addition, the Fund
will not concentrate its investments in a particular industry, as that
term is used in the 1940 Act, and as interpreted, modified, or
otherwise permitted by regulatory authority having jurisdiction from
time to time. The Fund's investments, including derivatives, will be
consistent with the Fund's investment objective, and the Fund's use of
derivatives may be used to enhance leverage. However, the Fund's
investments will not be used to seek performance that is the multiple
or inverse multiple (i.e., 2Xs and 3Xs) of the Fund's broad-based
securities market index (as defined in Form N-1A).\27\
---------------------------------------------------------------------------

    \27\ The Exchange states that the Fund's broad-based securities
market index will be identified in a future amendment to the
Registration Statement following the Fund's first full calendar year
of performance.

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

    The Exchange represents that the Shares will conform to the initial
and continued listing criteria under NYSE Arca Equities Rule 8.600.
Consistent with NYSE Arca Equities Rule 8.600(d)(2)(B)(ii), the Fund's
Reporting Authority will implement and maintain, or be subject to,
procedures designed to prevent the use and dissemination of material,
non-public information regarding the actual components of the Fund's
portfolio. The Exchange represents that, for initial and/or continued
listing, the Fund will be in compliance with Rule 10A-3 under the
Act,\28\ as provided by NYSE Arca Equities Rule 5.3. A minimum of
100,000 Shares will be outstanding at the commencement of trading on
the Exchange. The Exchange will obtain a representation from the issuer
of the Shares that the NAV per Share will be calculated daily and that
the NAV and the Disclosed Portfolio (as defined in NYSE Arca Equities
Rule 8.600) will be made available to all market participants at the
same time.
---------------------------------------------------------------------------

    \28\ 17 CFR 240.10A-3.
---------------------------------------------------------------------------

II. Proceedings To Determine Whether To Approve or Disapprove SR-
NYSEArca-2014-56 and Grounds for Disapproval Under Consideration

    The Commission is instituting proceedings pursuant to Section
19(b)(2)(B) of the Act \29\ to determine whether the proposed rule
change should be approved or disapproved. Institution of such
proceedings is appropriate at this time in view of the legal and policy
issues raised by the proposed rule change. Institution of proceedings
does not indicate that the Commission has reached any conclusions with
respect to any of the issues involved. Rather, as described below, the
Commission seeks and encourages interested persons to provide comments
on the proposed rule change.
---------------------------------------------------------------------------

    \29\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

    Pursuant to Section 19(b)(2)(B) of the Act,\30\ the Commission is
providing notice of the grounds for disapproval under consideration.
The Commission is instituting proceedings to allow for additional
analysis of the proposed rule change's consistency with Section 6(b)(5)
of the Act, which requires, among other things, that the rules of a
national securities exchange be ``designed to prevent fraudulent and
manipulative acts and practices, to promote just and equitable
principles of trade,'' and ``to protect investors and the public
interest.'' \31\
---------------------------------------------------------------------------

    \30\ Id.
    \31\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

III. Procedure: Request for Written Comments

    The Commission requests that interested persons provide written
submissions of their views, data, and arguments with respect to the
information described in the Notice,\32\ as summarized above, as well
as any other concerns they may have with the proposal. In particular,
the Commission invites the written views of interested persons
concerning whether the proposal is consistent with Section 6(b)(5) or
any other provision of the Act, or the rules and regulations
thereunder. Although there do not appear to be any issues relevant to
approval or disapproval that would be facilitated by an oral
presentation of views, data, and arguments, the Commission will
consider, pursuant to Rule 19b-4, any request for an opportunity to
make an oral presentation.\33\
---------------------------------------------------------------------------

    \32\ See supra note 3.
    \33\ Section 19(b)(2) of the Act, as amended by the Securities
Act Amendments of 1975, Public Law 94-29 (June 4, 1975), grants the
Commission flexibility to determine what type of proceeding--either
oral or notice and opportunity for written comments--is appropriate
for consideration of a particular proposal by a self-regulatory
organization. See Securities Act Amendments of 1975, Senate Comm. on
Banking, Housing & Urban Affairs, S. Rep. No. 75, 94th Cong., 1st
Sess. 30 (1975).
---------------------------------------------------------------------------

    Interested persons are invited to submit written data, views, and
arguments regarding whether the proposal should be approved or
disapproved by September 15, 2014. Any person who wishes to file a
rebuttal to any other person's submission must file that rebuttal by
September 29, 2014.
    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-NYSEArca-2014-56 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 Numbers SR-NYSEArca-2014-56. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of these filings also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-NYSEArca-2014-56 and should
be submitted on or before September 15, 2014. Rebuttal comments should
be submitted by September 29, 2014.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\34\
---------------------------------------------------------------------------

    \34\ 17 CFR 200.30-3(a)(57).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-20083 Filed 8-22-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 172 (Thursday, September 5, 2013)]
[Rules and Regulations]
[Pages 54585-54587]
[FR Doc No: 2013-21628]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket Number USCG-2013-0688]
RIN 1625-AA00

Safety Zone; Escape to Miami Triathlon, Biscayne Bay, Miami, FL

AGENCY: Coast Guard, DHS.

ACTION: Temporary final rule.

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SUMMARY: The Coast Guard is establishing a temporary safety zone on the
waters of Biscayne Bay, east of Margaret Pace Park, Miami, Florida
during the Publix Escape to Miami Triathlon. The Publix Escape to Miami
Triathlon is scheduled to take place on September 29, 2013.
Approximately 2,100 participants are anticipated to participate in the
swim portion of this event. This safety zone is necessary to provide
for the safety of the participants and general public on the navigable
waters of the United States during the event. The safety zone
establishes a regulated area that will encompass the swim area. Non-
participant persons and vessels will be prohibited from entering,
transiting through, anchoring in, or remaining within the regulated
area unless authorized by the Captain of the Port Miami or a designated
representative.

DATES: This rule will be enforced from 6:30 a.m. to 10 a.m. on
September 29, 2013.

ADDRESSES: Documents mentioned in this preamble are part of docket
USCG-2013-0688. To view documents mentioned in this preamble as being
available in the docket, go to http://www.regulations.gov, type the
docket number in the ``SEARCH'' box and click ``SEARCH.'' Click on Open
Docket Folder on the line associated with this rulemaking. You may also
visit the Docket Management Facility in Room W12-140 on the ground
floor of the Department of Transportation West Building, 1200 New
Jersey Avenue SE., Washington, DC 20590, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or email John K. Jennings, Sector Miami Prevention Department,
U.S. Coast Guard; telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>If you have questions on viewing or
submitting material to the docket, call Barbara Hairston, Program
Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Table of Acronyms

DHS Department of Homeland Security
FR Federal Register
NPRM Notice of Proposed Rulemaking

A. Regulatory History and Information

    The Coast Guard is issuing this temporary final rule without prior
notice and opportunity to comment pursuant to authority under section
4(a) of the Administrative Procedure Act (APA) (5 U.S.C. 553(b)). This
provision authorizes an agency to issue a rule without prior notice and
opportunity to comment when the agency for good cause finds that those
procedures are ``impracticable, unnecessary, or contrary to the public
interest.'' Under 5 U.S.C. 553(b)(B), the Coast Guard finds that good
cause exists for not publishing a notice of proposed rulemaking (NPRM)
with respect to this rule because the Coast Guard did not have
sufficient time to publish an NPRM and to receive public comments prior
to the event. Any delay in the effective date of this rule would be
contrary to the public interest because immediate action is needed to
minimize potential danger to participants and the general public.
    For the same reason discussed above, under 5 U.S.C. 553(d)(3) the
Coast Guard finds that good cause exists for making this rule effective
less than 30 days after publication in the Federal Register.

B. Basis and Purpose

    The legal basis for the rule is the Coast Guard's authority to
establish safety zones: 33 U.S.C. 1231; 46 U.S.C. Chapter 701, 3306,
3703; 50 U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1, 6.04-6, 160.5; Public
Law 107-295, 116 Stat. 2064; Department of Homeland Security Delegation
No. 0170.1. The purpose of the rule is to provide for the safety of
life on navigable waters of the United States during the Publix Escape
to Miami Triathlon.

C. Discussion of Final Rule

    On September 29, 2013, US Road Sports and Entertainment Group are
sponsoring the Publix Escape to Miami Triathlon. The event will be held
on the waters of Biscayne Bay, east of Margaret Pace Park, Miami,
Florida. Approximately 2,100 participants are anticipated to
participate in the swim portion of this event.
    The rule will establish a safety zone that will encompass certain
waters of Biscayne Bay, Miami, Florida. The safety zone will be
enforced from 6:30 a.m. until 10 a.m. on September 29, 2013. The safety
zone will encompass

the event area where all non-participant persons and vessels are
prohibited from entering, transiting through, anchoring in, or
remaining within.
    Non-participant persons and vessels may request authorization to
enter the event area by contacting the Captain of the Port Miami by
telephone at<PHONE_NUMBER>, or a designated representative via VHF radio
on channel 16. If authorization to enter, transit through, anchor in,
or remain within the event area is granted by the Captain of the Port
Miami or a designated representative, all persons and vessels receiving
such authorization must comply with the instructions of the Captain of
the Port Miami or a designated representative. The Coast Guard will
provide notice of the safety zone by Local Notice to Mariners,
Broadcast Notice to Mariners, and on-scene designated representatives.

D. Regulatory Analyses

    We developed this rule after considering numerous statutes and
executive orders related to rulemaking. Below we summarize our analyses
based on these statutes and executive orders.

1. Regulatory Planning and Review

    This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866, Regulatory Planning and Review, as
supplemented by Executive Order 13563, Improving Regulation and
Regulatory Review, and does not require an assessment of potential
costs and benefits under section 6(a)(3) of Executive Order 12866 or
under section 1 of Executive Order 13563. The Office of Management and
Budget has not reviewed it under those Orders. The economic impact of
this rule is not significant for the following reasons: (1) The safety
zone will be enforced for only three hour and one half hours; (2)
although non-participant persons and vessels will not be able to enter,
transit through, anchor in, or remain within the event area without
authorization from the Captain of the Port Miami or a designated
representative, they may operate in the surrounding area during the
enforcement period; (3) non-participant persons and vessels may still
enter, transit through, anchor in, or remain within the event area
during the enforcement period if authorized by the Captain of the Port
Miami or a designated representative; and (4) the Coast Guard will
provide advance notification of the safety zone to the local maritime
community by Local Notice to Mariners and Broadcast Notice to Mariners.

2. Impact on Small Entities

    The Regulatory Flexibility Act of 1980 (RFA), 5 U.S.C. 601-612, as
amended, requires federal agencies to consider the potential impact of
regulations on small entities during rulemaking. 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.
    The Coast Guard certifies under 5 U.S.C. 605(b) that this rule will
not have a significant economic impact on a substantial number of small
entities. This rule may affect the following entities, some of which
may be small entities: The owners or operators of vessels intending to
enter, transit through, anchor in, or remain within the regulated area
during the respective enforcement period. For the reasons discussed in
the Regulatory Planning and Review Section above, this rule will not
have a significant economic impact on a substantial number of small
entities.

3. Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Public Law 104-121), we want to assist small
entities in understanding this rule. If the rule would affect your
small business, organization, or governmental jurisdiction and you have
questions concerning its provisions or options for compliance, please
contact the person listed in the FOR FURTHER INFORMATION CONTACT,
above.
    Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247). The Coast Guard will not retaliate against small
entities that question or complain about this rule or any policy or
action of the Coast Guard.

4. Collection of Information

    This rule will not call for a new collection of information under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

5. Federalism

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. We have analyzed this rule under that Order and determined
that this rule does not have implications for federalism.

6. Protest Activities

    The Coast Guard respects the First Amendment rights of protesters.
Protesters are asked to contact the person listed in the FOR FURTHER
INFORMATION CONTACT section to coordinate protest activities so that
your message can be received without jeopardizing the safety or
security of people, places or vessels.

 7. 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 (adjusted for
inflation) 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.

 8. Taking of Private Property

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

9. 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.

10. 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.

11. 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.

12. Energy Effects

    This action is not a ``significant energy action'' under Executive
Order 13211, Actions Concerning Regulations That Significantly Affect
Energy Supply, Distribution, or Use.

13. Technical Standards

    This rule does not use technical standards. Therefore, we did not
consider the use of voluntary consensus standards.

14. Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have determined
that this action is one of a category of actions that do not
individually or cumulatively have a significant effect on the human
environment. This rule involves the creation of a safety zone. This
rule is categorically excluded from further review under paragraph
34(g) of Figure 2-1 of the Commandant Instruction. An environmental
analysis checklist supporting this determination and a Categorical
Exclusion Determination are available in the docket where indicated
under ADDRESSES. We seek any comments or information that may lead to
the discovery of a significant environmental impact from this rule.

List of Subjects in 33 CFR Part 165

    Harbors, Marine safety, Navigation (water), Reporting and
recordkeeping requirements, Security measures, and Waterways.

    For the reasons discussed in the preamble, the Coast Guard amends
33 CFR part 165 as follows:

PART 165--REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS

0
1. The authority citation for part 165 continues to read as follows:

    Authority:  33 U.S.C. 1231; 46 U.S.C. Chapter 701, 3306, 3703;
50 U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1, 6.04-6, 160.5; Pub. L.
107-295, 116 Stat. 2064; Department of Homeland Security Delegation
No. 0170.1.

0
2. Add a temporary Sec.  165.T07-0688 to read as follows:

Sec.  165.T07-0688  Safety Zone; Publix Escape to Miami Triathlon,
Biscayne Bay; Miami, FL.

    (a) Regulated Area. The following regulated area is established as
a safety zone. All coordinates are North American Datum 1983. All
waters of Biscayne Bay, east of Margaret Pace Park, Miami, FL
encompassed within the following points: Starting at Point 1 in
position 25[deg]47'40'' N, 80[deg]11'07'' W; thence north to Point 2 in
position 25[deg]48'12'' N, 80[deg]11'07'' W; thence east to Point 3 in
25[deg]48'12'' N, 80[deg]10'30'' W; thence south to Point 4 in position
25[deg]47'40'' N, 80[deg]10'30'' W; thence west back to origin.
    (b) Definition. The term ``designated representative'' means Coast
Guard Patrol Commanders, including Coast Guard coxswains, petty
officers, and other officers operating Coast Guard vessels, and
Federal, state, and local officers designated by or assisting the
Captain of the Port Miami in the enforcement of the regulated area.
    (c) Regulations. (1) All non-participant persons and vessels are
prohibited from entering, transiting through, anchoring in, or
remaining within the event area without authorization from the Captain
of the Port Miami or a designated representative.
    (2) Non-participants persons and vessels desiring to enter, transit
through, anchor in, or remain within a regulated area may contact the
Captain of the Port Miami by telephone at<PHONE_NUMBER>, or a designated
representative via VHF radio on channel 16. If authorization to enter,
transit through, anchor in, or remain within a regulated area is
granted by the Captain of the Port Miami or a designated
representative, all persons and vessels receiving such authorization
must comply with the instructions of the Captain of the Port Miami or a
designated representative.
    (3) The Coast Guard will provide notice of the regulated area by
Local Notice to Mariners, Broadcast Notice to Mariners and on-scene
designated representatives.
    (d) Effective Date. This rule will be enforced from 6:30 a.m. until
10 a.m. on September 29, 2013.

    Dated: August 14, 2013.
A.J. Gould,
Captain, U.S. Coast Guard, Captain of the Port Miami.
[FR Doc. 2013-21628 Filed 9-4-13; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 84, Number 175 (Tuesday, September 10, 2019)]
[Notices]
[Page 47501]
[FR Doc No: 2019-19482]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 10624-027]

French Paper Company; French Hydro LLC; Notice of Application for
Transfer of License, Substitution of Relicense Applicant, and
Soliciting Comments, Motions To Intervene, and Protests

    On July 30, 2019, French Paper Company (transferor) and French
Hydro LLC (transferee) filed a joint application for: (1) Transfer of
license for the French Paper Project No. 10624, located on the St.
Joseph River in Berrien County, Michigan; and (2) substitution of
French Hydro LLC for French Paper Company as the applicant in the
pending application for a new license filed by the transferor for
Project No. 10624-026.
    Applicants Contacts: For Transferor and Transferee: Mr. Alex
Rotolo, Secretary & Chief Financial Officer, French Paper Company and
French Hydro LLC, 100 French Street, Niles, MI 49120, Phone: 203-241-
6743.
    FERC Contact: Anumzziatta Purchiaroni,<PHONE_NUMBER>,
<EMAIL_ADDRESS>    Deadline for filing comments, interventions, and protests: 30 days
from the issuance date of this notice, by the Commission. The
Commission strongly encourages electronic filing. Please file
interventions, comments, and protests using the Commission's eFiling
system at http://www.ferc.gov/docs-filing/efiling.asp. Commenters can
submit brief comments up to 6,000 characters, without prior
registration, using the eComment system at http://www.ferc.gov/docs-filing/ecomment.asp. You must include your name and contact information
at the end of your comments.
    For assistance, please contact FERC Online Support at
<EMAIL_ADDRESS>(866) 208-3676 (toll free), or (202) 502-
8659 (TTY). In lieu of electronic filing, please send a paper copy to:
Secretary, Federal Energy Regulatory Commission, 888 First Street NE,
Washington, DC 20426. The first page of any filing should include
docket number P-10624-027.

    Dated: September 4, 2019.
Kimberly D. Bose,
 Secretary.
[FR Doc. 2019-19482 Filed 9-9-19; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 78, Number 162 (Wednesday, August 21, 2013)]
[Notices]
[Pages 51816-51818]
[FR Doc No: 2013-20266]

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DEPARTMENT OF TRANSPORTATION

Pipeline and Hazardous Materials Safety Administration

Notice of Actions on Special Permit Applications

AGENCY: Pipeline And Hazardous Materials Safety Administration (PHMSA),
DOT.

ACTION: Notice of actions on Special Permit Applications.

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    In accordance with the procedures governing the application for,
and the processing of, special permits from the Department of
Transportation's Hazardous Material Regulations (49 CFR part 107,
Subpart B), notice is hereby given of the actions on special permits
applications in (July to July 2013). The mode of transportation
involved are identified by a number in the ``Nature of Application''
portion of the table below as follows: 1--Motor vehicle, 2--Rail
freight, 3--Cargo vessel, 4--Cargo aircraft only, 5--Passenger-carrying
aircraft. Application numbers prefixed by the letters EE represent
applications for Emergency Special Permits. It should be noted that
some of the sections cited were those in effect at the time certain
special permits were issued.

    Issued in Washington, DC, on August 8, 2013.
Don Burger,
Chief, General Approvals and Permits.

----------------------------------------------------------------------------------------------------------------
                                                                                Nature of special permit
         S.P No.                   Applicant                 Regulation(s)                     thereof
----------------------------------------------------------------------------------------------------------------
                                       Modification Special Permit Granted
----------------------------------------------------------------------------------------------------------------
15136-M..................  Luxfer Gas Cylinders,     49 CFR 173.302a, 173.304a,     To modify the special permit
                            Riverside, CA.            and 180.205.                   to authorize a new maximum
                                                                                allowable volume and
                                                                                allowable contents.
14149-M..................  Digital Wave              49 CFR 172.203(a),             To modify the special permit
                            Corporation,              172.301(c), and 180.205.       to authorize ultrasonic
                            Centennial, CO.                                          equipment with a five
                                                                                sensor head with sensors
                                                                                positioned to perform all
                                                                                required straight and angle
                                                                                beam examinations in a
                                                                                single pass.
14206-M..................  Digital Wave              49 CFR 172.203(a),             To modify the special permit
                            Corporation,              172.301(c), and 180.205.       to authorize ultrasonic
                            Centennial, CO.                                          equipment with a five
                                                                                sensor head with sensors
                                                                                positioned to perform all
                                                                                required straight and angle
                                                                                beam examinations in a
                                                                                single pass.
11952-M..................  U.S. Department of        49 CFR 173.306(a)............  To modify the special permit
                            Defense, Scott AFB, IL.                                  to authorize a greater
                                                                                maximum weight limit when
                                                                                up to eight metal
                                                                                containers are transported.
11667-M..................  Weldship Corporation,     49 CFR 173.34(e), and          To modify the special permit
                            Bethlehem, PA.            173.302(c)(2),(3), and (4).    to authorize neck thread
                                                                                requirements that are
                                                                                consistent with CGA
                                                                                Pamphlet C-23.
12184-M..................  Weldship Corporation,     49 CFR 173.34(e)(1),           To modify the special permit
                            Bethlehem, PA.            173.302(c)(2)(3)(4),           to authorize neck thread
                                                      173.34(e)(3), 173.34(e)(4),    requirements that are
                                                      and 173.34(e)(6).              consistent with CGA
                                                                                Pamphlet C-23.
10704-M..................  Air Liquide America       49 CFR 173.302(a)(1), Part     To modify the special permit
                            Specialty Gases LLC,      172 Subpart C, E and F, Part   to authorize a lower
                            Plumsteadville, PA.       174, and Part 177.             minimum burst pressure and
                                                                                pressure rating.
9847-M...................  FIBA Technologies, Inc.,  49 CFR 180.209(a),             To modify the special permit
                            Millbury, MA.             180.205(c), (f), (g), and      so that the neck thread
                                                      (i); 173.302a (b)(2), (3),     requirements in paragraph
                                                      (4), and (5); and 180.213.     7.b.(2) are consistent with
                                                                                CGA Pamphlet C-23.
10922-M..................  FIBA Technologies, Inc.,  49 CFR 172.301a and 180.205..  To modify the special permit
                            Millbury, MA.                                            so that the neck thread
                                                                                requirements in paragraph
                                                                                7.k. are consistent with
                                                                                CGA Pamphlet C-23.
14453-M..................  FIBA Technologies, Inc.,  49 CFR 180.209...............  To modify the special permit
                            Millbury, MA.                                            so that the neck thread
                                                                                requirements in paragraph
                                                                                7.b.(1) are consistent with
                                                                                CGA Pamphlet C-23.
14661-M..................  FIBA Technologies, Inc.,  49 CFR 180.209(a) and          To modify the special permit
                            Millbury, MA.             180.209(b).                    to authorize new corrosion
                                                                                requirements to be
                                                                                consistent with CGA
                                                                                Pamphlet C-23 and require
                                                                                neck thread requirements to
                                                                                be consistent with CGA
                                                                                Paphlet C-23.
15793-M..................  Northern Air Cargo,       49 CFR 172.101 Column (9B)...  To reissue the special
                            Anchorage, AK.                                           permit originally issued on
                                                                                an emergency basis.
15817-M..................  C L Smith Company, Saint  49 CFR 173.13(a), 173.13(b),   To reissue the special
                            Louis, MO.                173.13(c)(1)(ii),              permit originally issued on
                                                      173.13(c)(l)(iv), and          an emergency basis.
                                                      173.13(d).
15871-M,.................  Shell Chemical LP, Deer   49 CFR 171.2(g)..............  To modify the special permit
                            Park, TX.                                                to authorize a 16 week
                                                                                extension to the expiration
                                                                                date.
----------------------------------------------------------------------------------------------------------------
                                           New Special Permit Granted
----------------------------------------------------------------------------------------------------------------
15755-N..................  Micronesian Aviation      49 CFR Sec.   172.101 Column   To authorize the
                            Corporation dba           (9B), Sec.   172.204(c)(3),    transportation in commerce
                            Americopters, Saipan,     Sec.   173.27(b)(2), Sec.      of certain hazardous
                            MP.                       175.30(a)(1), Sec.  Sec.       materials by Part 133
                                                      172.200, 172.300, 172.400,     Rotorcraft External Load
                                                      173.302(f)(3) and Sec.         Operations, attached to or
                                                      175.75.                        suspended from an aircraft,
                                                                                in remote areas of the U.S.
                                                                                without meeting certain
                                                                                hazard communication and
                                                                                stowage requirements. (mode
                                                                                4)
15727-N..................  Blackhawk Helicopters,    49 CFR Sec.   172.101 Column   To authorize the
                            El Cajon, CA.             (9B), Sec.   172.204(c)(3),    transportation in commerce
                                                      Sec.   173.27(b)(2), Sec.      of certain hazardous
                                                      175.30(a)(1), Sec.  Sec.       materials by Part 133
                                                      172.200, 172.300, 172.400,     Rotorcraft External Load
                                                      173.302(f)(3) and Sec.         Operations, attached to or
                                                      175.75.                        suspended from an aircraft,
                                                                                in remote areas of the US
                                                                                without meeting certain
                                                                                hazard communication and
                                                                                stowage requirements. (mode
                                                                                4)
15809-N..................  Olin Corporation,         49 CFR 173.63(b)(2)(v).......  To authorize the
                            Oxford, MS.                                              transportation in commerce
                                                                                of .17 caliber rim-fire
                                                                                cartridges loosely packed
                                                                                in strong outside
                                                                                packagings. (modes 1, 2, 3,
                                                                                4, 5)

15811-N..................  Bluesky Helicopters,      49 CFR 49 CFR Table Sec.       To authorize the
                            Inc., Redlands, CA.       172.101, Column(9B), Sec.      transportation in commerce
                                                      172.204(c)(3), Sec.            of certain hazardous
                                                      173.27(b)(2), Sec.             materials by 14 CFR Part
                                                      175.30(a)(1), Sec.  Sec.       133 Rotorcraft External
                                                      172.200, 172.300, and          Load Operations
                                                      172.400.                       transporting hazardous
                                                                                materials attached to or
                                                                                suspended from an aircraft,
                                                                                in remote areas of the US
                                                                                only, without being subject
                                                                                to hazard communication
                                                                                requirements, quantity
                                                                                limitations and certain
                                                                                loading and stowage
                                                                                requirements. (mode 4)
15788-N..................  Amtrol-Alfa,              49 CFR 173.302a(a)(1),         To authorize the
                            Metalomecanica SA,        180.205.                       manufacture, marking, sale,
                            Portugal.                                                and use of non-DOT
                                                                                specification fully-wrapped
                                                                                carbon fiber reinforced
                                                                                welded steel lined
                                                                                cylinders that meets all
                                                                                requirements of ISO 11119-
                                                                                2. (modes 1, 2, 3, 4, 5)
15837-N..................  Department of Defense,    49 CFR 173.304a..............  To authorize the
                            Scotts AFB, IL.                                          transportation in commerce
                                                                                of a Submarine High Data
                                                                                Rate (HDR)/Advanced
                                                                                Communications Mast (ACM)
                                                                                configured with a non-DOT
                                                                                specification pressure
                                                                                vessel containing anhydrous
                                                                                ammonia. (modes 1, 2, 3, 4)
15859-N..................  Heli-Jet Corporation,     49 CFR 49 CFR Table Sec.       To authorize the
                            Nampa, ID.                172.101, Column(9B), Sec.      transportation in commerce
                                                      172.204(c)(3), Sec.            of certain hazardous
                                                      173.27(b)(2), Sec.             materials by 14 CFR Part
                                                      175.30(a)(1), Sec.  Sec.       133 Rotorcraft External
                                                      172.200, 172.300, and          Load Operations
                                                      172.400.                       transporting hazardous
                                                                                materials attached to or
                                                                                suspended from an aircraft,
                                                                                in remote areas of the US
                                                                                only, without being subject
                                                                                to hazard communication
                                                                                requirements, quantity
                                                                                limitations and certain
                                                                                loading and stowage
                                                                                requirements. (mode 4)
15866-N..................  General Motors LLC,       49 CFR 173.185...............  To authorize the
                            Warren, MI.                                              transportation in commerce
                                                                                of certain damaged or
                                                                                defective lithium
                                                                                batteries. (modes 1, 2, 3)
----------------------------------------------------------------------------------------------------------------
                                        Emergency Special Permit Granted
----------------------------------------------------------------------------------------------------------------
15789-N..................  Sartomer USA LLC, King    49 CFR 173.24(c).............  To authorize the
                            of Prussia, PA.                                          transportation in commerce
                                                                                of a 485 gallon reactor
                                                                                containing approximately
                                                                                300 gallons of
                                                                                predominately solid polymer
                                                                                that may contain pockets of
                                                                                liquid containing Toluene
                                                                                Diisocyanate. (mode 1)
15884-N,.................  Suttles Truck Leasing     49 CFR 173.244...............  To authorize the one time
                            LLC, Avenel, NJ.                                         one way transportation of a
                                                                                DOT 407 cargo tank
                                                                                containing residual amounts
                                                                                of Waste Trichlorosilane
                                                                                for cleaning and purging.
                                                                                (mode 1)
----------------------------------------------------------------------------------------------------------------
                                          New Special Permit Withdrawn
----------------------------------------------------------------------------------------------------------------
15857-N..................  Otter Products, LLC, d/b/ 49 CFR 172.101(c)............  To authorize the
                            a OtterBox, Fort                                         transportation in commerce
                            Collins, CO.                                             of a lithium ion battery
                                                                                which is permanently
                                                                                installed in a cell phone
                                                                                case as ``Lithium batteries
                                                                                contained in equipment.''
                                                                                (modes 1, 4, 5)
----------------------------------------------------------------------------------------------------------------
                                                     Denied
----------------------------------------------------------------------------------------------------------------
11296-M..................     Request by Clean Earth of North Jersey, Inc. South Kearny, NJ July 31, 2013. To
                              modify the special permit to authorize an additional packaging (cubic yard box).
----------------------------------------------------------------------------------------------------------------
15800-N..................  Request by EQ Industrial Services, Inc. Ypsilanti, MI July 11, 2013. To authorize the
                                 transportation of damaged small arms cartridges, flares, and other similar
                            explosives that have been desensitized to remove their explosive characteristics, as
                                                       Division 4.1 flammable solids.
----------------------------------------------------------------------------------------------------------------

[FR Doc. 2013-20266 Filed 8-20-13; 8:45 am]
BILLING CODE 4909-60-P


[Federal Register Volume 86, Number 12 (Thursday, January 21, 2021)]
[Notices]
[Pages 6319-6320]
[FR Doc No: 2021-01180]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

    Take notice that the Commission received the following electric
rate filings:
    Docket Numbers: ER21-483-001.
    Applicants: Southwest Power Pool, Inc.
    Description: Tariff Amendment: 3620R1 Kansas City Board of Public
Utilities NITSA NOA to be effective 9/1/2020.
    Filed Date: 1/13/21.
    Accession Number: 20210113-5119.
    Comments Due: 5 p.m. ET 2/3/21.

    Docket Numbers: ER16-632-010.
    Applicants: Blythe Solar II, LLC.
    Description: Notice of Change in Status of Blythe Solar II, LLC.
    Filed Date: 1/12/21.
    Accession Number: 20210112-5188.
    Comments Due: 5 p.m. ET 2/2/21.

    Docket Numbers: ER21-534-001.
    Applicants: Southwest Power Pool, Inc.
    Description: Tariff Amendment: 1978R9 Evergy Kansas Central, Inc.
NITSA NOA--Toronto to be effective 9/1/2020.
    Filed Date: 1/13/21.
    Accession Number: 20210113-5016.
    Comments Due: 5 p.m. ET 2/3/21.

    Docket Numbers: ER21-543-001.
    Applicants: Southwest Power Pool, Inc.
    Description: Tariff Amendment: 2066R9 Evergy Kansas Central, Inc.
NITSA NOA--Muscotah to be effective 9/1/2020.
    Filed Date: 1/13/21.
    Accession Number: 20210113-5020.
    Comments Due: 5 p.m. ET 2/3/21.

    Docket Numbers: ER21-544-001.
    Applicants: Southwest Power Pool, Inc.
    Description: Tariff Amendment: 2491R8 Evergy Kansas Central, Inc.
NITSA NOA--Scranton to be effective 9/1/2020.
    Filed Date: 1/13/21.
    Accession Number: 20210113-5030.
    Comments Due: 5 p.m. ET 2/3/21.

    Docket Numbers: ER21-868-000.
    Applicants: Duke Energy Carolinas, LLC.
    Description: Sec.  205(d) Rate Filing: DEC-Lockhart NITSA SA No.
407 to be effective 1/1/2021.
    Filed Date: 1/12/21.
    Accession Number: 20210112-5168.
    Comments Due: 5 p.m. ET 2/2/21.

    Docket Numbers: ER21-869-000.
    Applicants: Michigan Electric Transmission Company, LLC.
    Description: Sec.  205(d) Rate Filing: Filing of a Joint Use Pole
Agreement to be effective 3/15/2021.
    Filed Date: 1/12/21.
    Accession Number: 20210112-5169.
    Comments Due: 5 p.m. ET 2/2/21.

    Docket Numbers: ER21-870-000.
    Applicants: Duke Energy Carolinas, LLC.
    Description: Sec.  205(d) Rate Filing: DEC-NCEMC Reimbursement
Agreement RS No. 564 to be effective 3/14/2021.
    Filed Date: 1/12/21.
    Accession Number: 20210112-5179.
    Comments Due: 5 p.m. ET 2/2/21.

    Docket Numbers: ER21-871-000.
    Applicants: Northern Indiana Public Service Company LLC, Indiana
Crossroads Wind Farm LLC.
    Description: Request for Authorization to Undertake Affiliate Sales
of Northern Indiana Public Service Company LLC, et al.
    Filed Date: 1/12/21.
    Accession Number: 20210112-5185.
    Comments Due: 5 p.m. ET 2/2/21.

    Docket Numbers: ER21-872-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Sec.  205(d) Rate Filing: 3758 East River Electric &
City of Pierre, SD Inter Agr to be effective 12/31/9998.
    Filed Date: 1/13/21.
    Accession Number: 20210113-5000.
    Comments Due: 5 p.m. ET 2/3/21.

    Docket Numbers: ER21-873-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Amendment to ISA, SA #3836;
Queue #Z1-050; Request for Expedited Comment Period to be effective 4/
30/2014.
    Filed Date: 1/13/21.
    Accession Number: 20210113-5047.
    Comments Due: 5 p.m. ET 2/3/21.

    Docket Numbers: ER21-874-000.
    Applicants: Louisville Gas and Electric Company.
    Description: Sec.  205(d) Rate Filing: LGE and KU Amended and
Restated BREC IA to be effective 12/31/2020.
    Filed Date: 1/13/21.
    Accession Number: 20210113-5062.
    Comments Due: 5 p.m. ET 2/3/21.

    Docket Numbers: ER21-875-000.
    Applicants: Kentucky Utilities Company.
    Description: Sec.  205(d) Rate Filing: LGE and KU Amended and
Restated BREC IA_KU Concurrence to be effective 12/31/2020.
    Filed Date: 1/13/21.
    Accession Number: 20210113-5070.
    Comments Due: 5 p.m. ET 2/3/21.

    Docket Numbers: ER21-876-000.
    Applicants: Kentucky Utilities Company.
    Description: Tariff Cancellation: Cancellation of KU Rate Schedule
FERC No. 405 to be effective 12/31/2020.
    Filed Date: 1/13/21.
    Accession Number: 20210113-5072.
    Comments Due: 5 p.m. ET 2/3/21.

    Docket Numbers: ER21-877-000.
    Applicants: PacifiCorp.
    Description: Sec.  205(d) Rate Filing: BPA NITSA (OR Wind) to be
effective 12/15/2020.
    Filed Date: 1/13/21.
    Accession Number: 20210113-5092.
    Comments Due: 5 p.m. ET 2/3/21.

    Docket Numbers: ER21-878-000.
    Applicants: Pacific Gas and Electric Company.
    Description: Sec.  205(d) Rate Filing: E&P Agreement for Oakland
Energy Storage 1, LLC to be effective 1/14/2021.
    Filed Date: 1/13/21.
    Accession Number: 20210113-5114.
    Comments Due: 5 p.m. ET 2/3/21.

    Docket Numbers: ER21-879-000.
    Applicants: Public Service Company of Colorado.
    Description: Sec.  205(d) Rate Filing: 2021-1-13 PSC-HLYCRS-SISA-
Orchard Mesa-621-0.0.0 to be effective 1/14/2021.
    Filed Date: 1/13/21.
    Accession Number: 20210113-5122.
    Comments Due: 5 p.m. ET 2/3/21.

    The filings are accessible in the Commission's eLibrary system
(https://

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

    Dated: January 13, 2021.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2021-01180 Filed 1-19-21; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 86, Number 124 (Thursday, July 1, 2021)]
[Notices]
[Page 35106]
[FR Doc No: 2021-14087]

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

DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-4594-DR; Docket ID FEMA-2021-0001]

Tennessee; Major Disaster and Related Determinations

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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

SUMMARY: This is a notice of the Presidential declaration of a major
disaster for the State of Tennessee (FEMA-4594-DR), dated April 21,
2021, and related determinations.

DATES: The declaration was issued April 21, 2021.

FOR FURTHER INFORMATION CONTACT: Dean Webster, Office of Response and
Recovery, Federal Emergency Management Agency, 500 C Street SW,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Notice is hereby given that, in a letter
dated April 21, 2021, 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 et seq. (the ``Stafford
Act''), as follows:

    I have determined that the damage in certain areas of the State
of Tennessee resulting from severe winter storms during the period
of February 11 to February 19, 2021, 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 et seq. (the ``Stafford Act''). Therefore, I declare that such
a major disaster exists in the State of Tennessee.
    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 and Hazard Mitigation throughout the State.
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.
    Further, you are authorized to make changes to this declaration
for the approved assistance 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, Myra M. Shird, of FEMA is appointed
to act as the Federal Coordinating Officer for this major disaster.

The following areas of the State of Tennessee have been designated as
adversely affected by this major disaster:

    Bedford, Cannon, Coffee, DeKalb, Fentress, Jackson, Moore,
Overton, Pickett, Putnam, Scott, Shelby, and Smith Counties for
Public Assistance.
    All areas within the State of Tennessee are eligible 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.

Deanne Criswell,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2021-14087 Filed 6-30-21; 8:45 am]
BILLING CODE 9111-23-P