[Federal Register Volume 78, Number 42 (Monday, March 4, 2013)]
[Notices]
[Pages 14088-14090]
[FR Doc No: 2013-04927]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-9786-9; EPA-HQ-OEI-2012-0481]

Creation of a New System of Records Notice: Telework Application
and Agreement Records

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: The Environmental Protection Agency's (EPA) Office of
Administration and Resources Management (OARM), Office of Human
Resources (OHR) is

giving notice that it proposes to create a new system of records
pursuant to the provisions of the Privacy Act of 1974 (5 U.S.C. 552a).
This system of records will contain information used by the Agency to
implement and manage its telework program. The records will also be
used to prepare and/or conduct telework program evaluations and audits.

DATES: Persons wishing to comment on this system of records notice must
do so by April 15, 2013.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OEI-2012-0481, by one of the following methods:
     www.regulations.gov: Follow the online instructions for
submitting comments.
     Email<EMAIL_ADDRESS>     Fax:<PHONE_NUMBER>.
     Mail: OEI Docket, Environmental Protection Agency, Mail
Code: 2822T, 1200 Pennsylvania Ave. NW., Washington, DC 20460.
     Hand Delivery: OEI Docket, EPA/DC, EPA West Building, Room
3334, 1301 Constitution Ave. NW, Washington, DC. Such deliveries are
only accepted during the Docket's normal hours of operation, and
special arrangements should be made for deliveries of boxed
information.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OEI-
2012-0481. EPA's policy is that all comments received will be included
in the public docket without change and may be made available online at
www.regulations.gov, including any personal information provided,
unless the comment includes information claimed to be Confidential
Business Information (CBI) or other information for which disclosure is
restricted by statute. Do not submit information that you consider to
be CBI or otherwise protected through www.regulations.gov. The
www.regulations.gov Web site is an ``anonymous access'' system, which
means EPA will not know your identity or contact information unless you
provide it in the body of your comment. If you send an e-mail comment
directly to EPA without going through www.regulations.gov your email
address will be automatically captured and included as part of the
comment that is placed in the public docket and made available on the
Internet. If you submit an electronic comment, EPA recommends that you
include your name and other contact information in the body of your
comment and with any disk or CD-ROM you submit If EPA cannot read your
comment due to technical difficulties and cannot contact you for
clarification, EPA may not be able to consider your comment. Electronic
files should avoid the use of special characters, any form of
encryption, and be free of any defects or viruses. For additional
information about EPA's public docket visit the EPA Docket Center
homepage at http://www.epa.gov/epahome/dockets.htm.
    Docket: All documents in the docket are listed in the
www.regulations.gov index. Although listed in the index, some
information is not publicly available, e.g., CBI or other information
for which disclosure is restricted by statute. Certain other material,
such as copyrighted material, will be publicly available only in hard
copy. Publicly available docket materials are available either
electronically in www.regulations.gov or in hard copy at OEI Docket,
EPA/DC, EPA West Building, Room 3334, 1301 Constitution Ave. NW.,
Washington, DC. The Public Reading Room is open from 8:30 a.m. to 4:30
p.m., Monday through Friday excluding legal holidays. The telephone
number for the Public Reading Room is<PHONE_NUMBER>, and the telephone
number for the OEI Docket is<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Cindee Smith, Office of Human
Resources,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

General Information

    The U.S. Environmental Protection Agency proposes to create a new
system of records under the Privacy Act to track all records used by
supervisors, managers and program and regional Telework Coordinators to
assist the EPA in implementing and managing its Telework Program. EPA's
Telework Program (or Flexiplace) provides employees the opportunity to
work at a location other than their regularly assigned work site or
official duty station. Alternate work sites include personal residences
and satellite locations. Flexiplace is a work arrangement that is
discretionary on the part of management and voluntary on the part of
the employee. The work agreement each employee must sign asks for
personally identifiable information. The agreement covers the terms,
conditions of participation in the Flexiplace Program, and establishes
that the employee and his or her supervisor will adhere to the
Program's policies.
    The Office of Human Resources in the Office of Administration and
Resources Management executes the duties of the Agency Telework
Coordinator and is responsible for overseeing the EPA Telework Program
and ensuring that reporting requirements are fulfilled. The program
office and regional Telework Coordinators are responsible for ensuring
that all participants are aware of their required responsibilities,
maintaining telework applications and providing data and documented
approvals and disapprovals to the Office of Human Resources to allow
the program to be monitored.
EPA-61

System Name:
    Telework Application and Agreement Records.

System Location:
    All EPA Headquarters Offices, Regions, Laboratories or other EPA
facilities.

Categories of Individuals Covered by the System:
    Employees who voluntarily apply to participate in EPA's Telework
Program.

Categories of Records in the System:
    a. Information provided on the Telework Application Form and Work
Agreement forms (e.g., employee's name, grade, job title and series,
office location, office email address, office telephone number,
alternate work location address, alternate work location facsimile,
alternate work location and telephone number).
    b. Safety Checklist, Annual Re-certification Form and
Discontinuation Form.
    c. Description of alternate work location equipment and software.
    d. Medical documentation (required for medical telework, only).

Authority for Maintenance of the System (includes any revisions or
amendments):
    The Telework Enhancement Act of 2010 (December 9, 2010); Public Law
11 1-292.

Purpose(s):
    To manage telework applications and conduct telework program
evaluations and audits.

Routine Uses of Records Maintained in the System, Including Categories
of Users, and the Purpose(s):
    Home address, home safety checklists and home safety reports may be
disclosed to the Department of Labor when an employee is injured while
working at home. Raw data such as the number of employees participating
in telework by job title, series and grade may be disclosed to
Headquarters and local bargaining unions to provide raw data on the
number of bargaining employees covered under the applicable negotiated
collective bargaining agreement(s).

    General routine uses A, E, F, G, H, I, J, K, and L apply to this
system.

Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
     Storage: Paper files and electronic databases.
     Retrievability: Primarily by the applicant's name.
     Safeguards: Computer records are maintained in a secure,
password protected computer system. Paper records are maintained in
lockable file cabinets. All records will have appropriate
administrative, technical and physical safeguards to ensure their
security and confidentiality. All records will be maintained in secure,
access-controlled areas of buildings. Medical telework records must be
protected in accordance with Agency policies and procedures for
accessing and safeguarding sensitive personally identifiable
information.
     Retention and Disposal: Records stored in this system are
subject to EPA schedule 039.
     System Manager(s) and Address: The system of records is
maintained by agency supervisors whose employees have applied for
telework and by program and regional office telework coordinators.
    Notice Procedures: Requests to determine whether this system of
records contains a record pertaining to you must be sent to the
Agency's Freedom of Information Office. The address is U.S.
Environmental Protection Agency; 1200 Pennsylvania Ave. NW., Room 6416
West; Washington, DC 20460;<PHONE_NUMBER>; Email: (hq.foia@epa.gov);
Attn: Privacy Act Officer.

Records Access Procedure:
    Individuals seeking access to their own personal information in
this system of records will be required to provide adequate
identification (e.g., driver's license, military identification card,
employee badge or identification card and, if necessary, proof of
authority). Additional identity verification procedures may be required
as warranted. Requests must meet the requirements of EPA regulations at
40 CFR part 16.

Contesting Procedure:
    Requests for correction or amendment must identify the record to be
changed and the corrective action sought. Complete EPA Privacy Act
procedures are set out in 40 CFR part 16.

Record Source Categories:
    The sources of data for records stored in this system are EPA
employees, supervisors and all telework coordinators.

System Exempted From Certain Provisions of the Privacy Act:
    None.

    Dated: February 20, 2013.
Malcolm D. Jackson,
Assistant Administrator, and Chief Information Officer.
[FR Doc. 2013-04927 Filed 3-1-13; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 87, Number 59 (Monday, March 28, 2022)]
[Rules and Regulations]
[Page 17181]
[FR Doc No: 2022-06430]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 100

[Docket No. USCG-2022-0162]

Special Local Regulations; Seventh Coast Guard District, Mug Race

AGENCY: Coast Guard, Department of Homeland Security (DHS).

ACTION: Notification of enforcement of regulation.

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SUMMARY: The Coast Guard will enforce the special local regulations for
the Mug Race on May 7, 2022, to provide for the safety of life on
navigable waterways during this event. Our regulation for marine events
within the Seventh Coast Guard District identifies the regulated area
for this event on the St Johns River from Palatka, FL, to Jacksonville,
FL. During the enforcement periods, the operator of any vessel in the
regulated area must comply with directions from the Patrol Commander or
any Official Patrol displaying a Coast Guard ensign.

DATES: The regulations in 33 CFR 100.701, Table 1 to Sec.  100.701,
section (c), Item 14, will be enforced from 7:00 a.m. until 9:00 p.m.
on May 7, 2022.

FOR FURTHER INFORMATION CONTACT: If you have questions about this
notification of enforcement, call or email MST2 Shawn Keeman, Sector
Jacksonville, Waterways Management Division, U.S. Coast Guard;
telephone<PHONE_NUMBER>, email [email protected].

SUPPLEMENTARY INFORMATION: The Coast Guard will enforce special local
regulations in 33 CFR 100.701, Table 1 to Sec.  100.701, section (c),
Item 14, for the 68th Mug Race regulated from 7:00 a.m. until 9:00
p.m., on May 7, 2022. This action is being taken to provide for the
safety of life on navigable waterways during the event. Our regulation
for recurring marine events within the Seventh Coast Guard District,
Sec.  100.701, Table 1 to Sec.  100.701, section (c), Item 14,
specifies the location of the regulated area for the Mug Race which
encompasses portions of the St Johns River from Palatka, FL, at the
U.S. 17 Bridge, to Jacksonville, FL, near the I-295 Bridge. During the
enforcement periods, as reflected in in Sec.  100.701, if you are the
operator of a vessel in the regulated area you must comply with
directions from the Patrol Commander or any Official Patrol displaying
a Coast Guard ensign.
    In addition to this notification of enforcement in the Federal
Register, the Coast Guard plans to provide notification of this
enforcement period via the Local Notice to Mariners and/or marine
information broadcasts.

    Dated: March 11, 2022.
M.R. Vlaun,
Captain, U.S. Coast Guard, Captain of the Port Jacksonville.
[FR Doc. 2022-06430 Filed 3-25-22; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 77, Number 134 (Thursday, July 12, 2012)]
[Notices]
[Page 41207]
[FR Doc No: 2012-17126]

=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

Sunshine Act Meeting

Federal Register Citation of Previous Announcement 77 FR 40392, July 9,
2012

STATUS: Closed Meeting.

PLACE: 100 F Street NE., Washington, DC.

DATE AND TIME OF PREVIOUSLY ANNOUNCED MEETING: Tuesday, July 10, 2012
at 10:00 a.m.

CHANGE IN THE MEETING: Date Change.
    The Closed Meeting scheduled for Tuesday, July 10, 2012 at 10:00
a.m., has been changed to Friday, July 13, 2012 at 3:00 p.m.
    At times, changes in Commission priorities require alterations in
the scheduling of meeting items. For further information and to
ascertain what, if any, matters have been added, deleted or postponed,
please contact:
    The Office of the Secretary at<PHONE_NUMBER>.

    Dated: July 10, 2012.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2012-17126 Filed 7-10-12; 4:15 pm]
BILLING CODE 8011-01-P


[Federal Register Volume 86, Number 83 (Monday, May 3, 2021)]
[Notices]
[Page 23404]
[FR Doc No: 2021-09189]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-4524-DR; Docket ID FEMA-2021-0001]

Arizona; Amendment No. 4 to Notice of a Major Disaster
Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of a major disaster declaration
for the State of Arizona (FEMA-4524-DR), dated April 4, 2020, and
related determinations.

DATES: This amendment was issued March 11, 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: The notice of a major disaster declaration
for the State of Arizona is hereby amended to include Individual
Assistance limited to COVID-19 Funeral Assistance under Other Needs
Assistance for those areas determined to have been adversely affected
by the event declared a major disaster by the President in his
declaration of April 4, 2020.

    Individual Assistance limited to COVID-19 Funeral Assistance
under Other Needs Assistance for all areas in the State of Arizona
(already designated for Individual Assistance, limited to the Crisis
Counseling Program and emergency protective measures [Category B]
not authorized under other Federal statutes, including direct
Federal assistance).

(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.)

Robert J. Fenton,
Senior Official Performing the Duties of the Administrator, Federal
Emergency Management Agency.
[FR Doc. 2021-09189 Filed 4-30-21; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register: October 24, 2006 (Volume 71, Number 205)]
[Notices]
[Page 62338-62343]
[DOCID:fr24oc06-98]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-54615; File No. SR-NYSE-2006-37]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2
Thereto Relating to Exchange Rule 86 (Automated Bond System[supreg])

October 17, 2006.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on May 16, 2006, the New York Stock Exchange LLC) (``NYSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by the Exchange. The
Exchange filed Amendment Nos. 1 and 2 to the proposed rule change on
August 4, 2006 \3\ and October 10, 2006,\4\ respectively. The
Commission is publishing this notice to solicit comments on the
proposed rule change, as amended, from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ Amendment No. 1 replaced and superseded the original filing
in its entirety.
    \4\ Amendment No. 2 replaced and superseded Amendment No. 1 in
its entirety.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    NYSE seeks to replace Exchange Rule 86 to implement changes to the
Automated Bond System (``ABS[supreg]''), which would be re-named ``NYSE
BondsSM.'' The text of the proposed rule change is available
on the NYSE's Web site (http://www.nyse.com), at the NYSE's principal

office, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The purpose of the proposed rule change is to replace current
Exchange Rule 86 with a new rule that would accommodate and promote
increased bond market activity and greater transparency in bond trading
on the Exchange. The new rule would continue to enumerate the NYSE's
primary rule relating to bond trading as Exchange Rule 86. The
automated system in which bonds would trade would be re-named ``NYSE
Bonds.'' Other Exchange rules that relate to trading of bonds in NYSE
Bonds would be amended to conform to new Exchange Rule 86.
    Users \5\ of NYSE Bonds would have the ability to buy and sell
bonds through the NYSE Bonds automated execution facility. To obtain
authorized access to NYSE Bonds, a member organization of the Exchange
would have to enter into a service agreement with the Exchange thereby
subscribing to NYSE Bonds. Non-members who wish to trade on NYSE Bonds
would have to do so through a written sponsorship agreement with a
subscribing member organization of the Exchange.
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    \5\ In the proposed rules, ``User'' means any Subscriber,
Sponsoring Member Organization, Sponsored Participant, or Authorized
Trader that is authorized to obtain access to NYSE Bonds. See
proposed NYSE Rule 86(b)(2)(M).
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Bonds To Be Traded on NYSE Bonds

    Debt securities that currently trade on ABS would also trade on
NYSE Bonds. Such debt securities include, but are not limited to the
following: Corporate bonds (including convertible bonds), international
bank bonds, foreign government bonds, U.S. government bonds, government
agency bonds, municipal bonds, and debt-based structured products. In a
separate filing, the Exchange has requested that the Commission provide
relief pursuant to Section 36 of the Act \6\ to provide an exemption
from the provisions of Section 12(a) of the Act \7\ to permit NYSE
member organizations to trade bonds that are not registered under
Section 12(b) of the Act,\8\ but are issued by NYSE-listed companies
and their wholly owned subsidiaries and that meet other conditions.\9\
Should this exemption be granted, trading in bonds covered by the
exemption would occur via the NYSE Bonds system.
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    \6\ 15 U.S.C. 78mm.
    \7\ 15 U.S.C. 78l(a).
    \8\ 15 U.S.C. 78l(b).
    \9\ See Securities Exchange Act Release No. 51998 (July 8,
2005), 70 FR 40748 (July 14, 2005) (File No. S7-06-05).
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    Any security traded on NYSE Bonds would be referred to as a
``bond'' for purposes of Exchange Rule 86. Any security traded on NYSE
Bonds would have to be listed, or otherwise admitted to dealing, on the
Exchange. Today, the majority of NYSE bond volume is in corporate debt,
with approximately 94% in non-convertible bonds, including certain
debt-based structured products, and approximately 6% in convertible
bonds.

NYSE Bonds Trading Rules

    The proposed rules designate the types of orders that could be
entered into NYSE Bonds and the minimum unit of trading for bonds
traded through the system. Initially, Users of NYSE Bonds would be
allowed to enter limit orders (``NYSE Bonds Limit Orders'') and reserve
orders (``NYSE Bonds Reserve Orders''). A NYSE Bonds Reserve Order
would be a limit order, a portion of which would be displayed and a
portion of which would remain as undisplayed or reserve size. As the
technology of the NYSE Bonds system continues to be implemented, all
order types that are currently available in ABS also could be available
in NYSE Bonds. Such order types may include ``Next Day,'' ``Cash,''
``Day,'' \10\ and ``Good 'til

Cancelled'' (``GTC'').\11\ The Exchange would notify its member
organizations when additional order types became available for use.
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    \10\ ``NYSE Bonds Day Orders'' would have to be designated for
specific trading sessions or, by default, such orders would
participate only in the Core Bond Auction and the Core Bond Trading
Session.
    \11\ ``NYSE Bonds Good 'Til Cancelled Orders'' would be
permitted to participate only in the Core Bond Auction and the Core
Bond Trading Session.
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    The minimum unit of trading in NYSE Bonds would be one bond. This
minimum unit of trading would apply to both the displayed and
undisplayed portion of a NYSE Bonds Reserve Order. A bond is usually
traded in denominations of $1,000 (i.e., the original principal amount
of a bond is usually $1,000). A unit of trading in bonds other than
$1,000 could be designated by the Exchange for specific issues of bonds
denominated in U.S. dollars or foreign currencies. Bonds with less than
$1,000 original principal amount could trade on NYSE Bonds, provided
the User first aggregated the bonds into denominations of $1,000. Bids
or offers for less than $1,000 would have to specify the original
principal amount of the bond. The maximum size for any bond order would
be 1,000,000 bonds. NYSE Bonds would accept and display bids and offers
in bonds priced to three decimal places.
    The Exchange would place parameters on priced orders that crossed
the market by establishing price collar thresholds. The Exchange
believes that these thresholds would help avoid executions at erroneous
prices. Initially, these collars would be set at one percentage point
of par value outside the Exchange best bid and offer. The Exchange
could modify the price collar thresholds from time to time, upon prior
notice to NYSE Bonds Users. The Exchange would reject an order sent to
NYSE Bonds if the limit price of an incoming order to buy were one
percentage point of par value higher than the price of the then-current
best offer displayed on NYSE Bonds, or if the limit price of an
incoming order to sell were one percentage point of par value lower
than the then-current price of the NYSE Bonds' best bid.
    NYSE Bonds would be an electronic order-driven matching system.
NYSE Bonds orders submitted by Users would be displayed, matched, and
executed on a price/time priority basis. Orders that were marketable at
the time of entry would be matched and executed. An order would be
marketable when it entered the NYSE Bonds system if contra side
interest were available at that price or a better price. Orders that
were not marketable at the time of entry would post to the NYSE Bonds
order ``book.'' Orders that were marketable beyond the price collar
threshold would be rejected by the system.
    If an order were entered capable of trading at a better price than
the then-best priced contra-side order on the NYSE Bonds book, the
system would match the incoming order against the resting order at the
resting order's price, thereby providing price improvement to the
incoming order. For example, assume the NYSE Bonds market in the
relevant bond is 101 bid, offered at 102 (1,000 x 1,000). A NYSE Bonds
Limit Order to buy 1,000 bonds comes in priced at 103. The order would
be executed at 102, providing 1 point of price improvement to the
incoming order. With the same market, assume a NYSE Bonds Limit Order
to buy 1,000 bonds at 104 comes into the NYSE Bonds system. The order
would be rejected as it would violate the price collar threshold of one
percentage point of par value.
    As previously discussed, NYSE Bonds would accept limit and reserve
orders. Undisplayed reserve interest in NYSE Bonds would always yield
to displayed orders at a particular price. Most orders matched on NYSE
Bonds would be locked-in trades and would be submitted to a registered
clearing agency with accrued interest calculated according to the
defined eligibility characteristics of the particular bond.\12\ Such
accrued interest would be distributed to the seller. Settlement of
corporate bond trades would be ``regular way,'' i.e., three-day
settlement.
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    \12\ The Exchange submits completed trades to one of the
subsidiaries of the Depository Trust Clearing Corporation (``DTCC'')
for clearance and settlement. The National Securities Clearing
Corporation (``NSCC''), a subsidiary of DTCC, provides clearance and
settlement services for government agency, corporate, and municipal
bonds that trade on ABS. While the Government Securities Division of
the Fixed Income Clearing Corporation (``FICC''), another subsidiary
of DTCC, provides clearance and settlement services for transactions
in U.S. government bonds, the Exchange does not currently have an
agreement with FICC for such settlement and clearance. Presently,
U.S. government bonds that trade on ABS are traded ex-clearing
(i.e., the parties to the transaction arrange for manual clearing
and settlement). The Exchange plans to submit trades on a locked-in
basis to FICC for clearance and settlement in 2007. Until such time
as the Exchange has such an agreement with the FICC, the U.S.
government bonds that trade on NYSE Bonds would continue to trade
ex-clearing as they do today on ABS. Trades that would not be
locked-in would be those in bonds that are not set up for the
Exchange's registered clearing agency, or bonds having a face value
other than $1,000.
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Bond Trading Sessions

    NYSE Bonds would have three trading sessions during which ordinary
trading would occur: (1) The Opening Bond Trading Session (4 a.m. until
9:30 a.m. e.t.); (2) the Core Bond Trading Session, which would likely
have the greatest market activity (9:30 a.m. until 4 p.m. e.t.); and
(3) the Late Bond Trading Session (4 p.m. until 8 p.m. e.t.). Orders
for one or more of these sessions could be entered in NYSE Bonds
beginning at 3:30 a.m. e.t., and the orders would queue until the
beginning of the designated Bond Trading Session(s). Users entering
orders into NYSE Bonds would be required to designate for each such
order the trading session(s) for which the order would be available for
execution. If an order were not designated for any particular trading
session the order would, by default, be available for execution only in
the Core Bond Auction and the Core Bond Trading Session.\13\
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    \13\ ``NYSE GTC Orders'' could execute only in the Core Bond
Auction and the Core Bond Trading Session.
---------------------------------------------------------------------------

    Orders could be designated only for Bond Trading Sessions--not Bond
Auctions. Therefore, while orders could be designated and ``available''
only for Trading Sessions, they would be ``eligible'' for execution in
the Auctions that would launch the designated Trading Session provided
the orders were entered before the related Auction commenced. If orders
were designated for either the Opening Bond Trading Session or the Core
Bond Trading Session and were entered after commencement of the related
Auction, the order would be available only for ordinary trading in the
designated Bond Trading Session. The Late Bond Trading Session would
not commence with a Bond Auction. An order designated for execution in
any Trading Session could be cancelled at any time as long as the order
had not been executed, except that a User could cancel an order
eligible for execution in a Bond Auction at any time until two minutes
prior to the beginning of the particular Auction.

Bond Auctions

    At the commencement of both the Opening Bond Trading Session and
the Core Bond Trading Session, there would be a single-priced execution
called a Bond Auction. The Opening Bond Trading Session would begin
with the Opening Bond Auction. The Core Bond Trading Session would
begin with the Core Bond Auction. During these Bond Auctions, all
marketable orders received by NYSE Bonds as of that time and, if so
designated for the related Bond Trading Session, would be matched and
executed at the Indicative Match Price (``IMP'').
    The IMP would be defined as: (1) The price at which the maximum
volume of

bonds are executable; (2) if there are two or more prices at which the
maximum volume of bonds are executable, the price that is closest to
the closing price of that bond on the previous trading day, or if the
bond did not trade on the previous day, the price that is closest to
the closing price on the last day that the bond traded; or (3) if bond
orders to buy and bond orders to sell are not marketable, the highest
priced bid. The lowest priced offer would not become the IMP as the
system would accept only one price for the IMP, and by default, that
would be the highest priced bid. The price collar threshold would act
as a determining factor for those orders that would either enter the
system or be rejected by the system.
    One initial order on a single side (i.e., only a buy order or only
a sell order) could establish the IMP, but, unless marketable orders
were entered into the NYSE Bonds system at appropriate times, no
execution, and hence no Bond Auction, would take place. A Bond Auction
would be an execution at the IMP. Therefore, to have a Bond Auction, at
least one marketable bond order to buy or sell would have to be
available to execute against contra-side interest. When the price of an
order to buy is equal to or greater than the price of an order to sell,
an Auction execution would occur. Beginning 30 minutes prior to the
Opening Bond Trading Session and various times thereafter, the IMP for
the Opening Bond Auction and any Imbalance \14\ associated with it
would be published by the Exchange.
---------------------------------------------------------------------------

    \14\ See proposed NYSE Rule 86(b)(2)(F) (defining ``Imbalance''
as the number of buy or sell NYSE Bonds orders that cannot be
matched with other orders at the Indicative Match Price at any given
time).
---------------------------------------------------------------------------

    A User could cancel an order eligible for execution in either Bond
Auction at any time until two minutes prior to the beginning of the
particular Auction. The matching and execution of orders in an Auction
would be instantaneous. The sequence of Bond Auctions and Bond Trading
Sessions on NYSE Bonds would provide a seamless, continuous trading day
that would begin at 3:30 a.m. e.t. and would continue until 8 p.m. e.t.

NYSE Bonds Order Entry and Execution

    To post an order in a particular bond on NYSE Bonds, a User would
be required to enter certain basic information including: cusip number,
order quantity, order type (i.e., NYSE Bonds Limit Order or NYSE Bonds
Reserve Order); price (up to three decimals); account type indicator
(``P'' for principle or ``A'' for agent); time in force (i.e., Opening
Bond Trading Session, Core Bond Trading Session, and/or Late Bond
Trading Session and GTC); and whether the order is buy, sell, or sell/
short. The staff of the Division of Market Regulation of the Commission
has stated that it would not recommend that the Commission take
enforcement action if short sales in exchange-listed bonds and
debentures are effected without complying with Rule 10a-1 under the
Act.\15\ By this filing, the Exchange seeks continued effect of this
ruling.
---------------------------------------------------------------------------

    \15\ See Securities Exchange Act Release No. 30772 (June 3,
1992), 57 FR 24415 (June 9, 1992) (File No. S7-13-92). The Exchange
deems this determination by the Commission Staff to apply to
Exchange Rule 440B (Short Sales).
---------------------------------------------------------------------------

    NYSE Bonds would accept orders beginning at 3:30 a.m. e.t., and
orders could be entered throughout the trading day. Orders designated
for the Opening Bond Trading Session that are entered into the system
before 4 a.m. e.t. also would be eligible for the Opening Bond Auction.
At 4 a.m. e.t., orders designated for the Opening Bond Trading Session
would first be matched and executed in the Opening Bond Auction at the
IMP. During this instantaneous Auction, the orders would be matched
based on price/time priority. At various times during the period from
3:30 a.m. to 4 a.m., the IMP of the Opening Bond Auction, and any
Imbalance associated therewith, would be published via a data feed. The
data feed would provide Imbalance information in real time, and it
would be available to Users, third-party data vendors, and other
interested parties who agree to terms established by the Exchange. An
Imbalance would be published any time one occurred, including when new
orders are entered into NYSE Bonds that might affect the relevant
Auction.
    Orders designated for a specific Trading Session automatically
would be included in the Bond Auction that launches the designated
Trading Session. The Opening Bond Auction would launch the Opening Bond
Trading Session, and the Core Bond Auction would launch the Core Bond
Trading Session. Therefore, an order designated for the Opening Bond
Trading Session would be ``available'' to participate in the Opening
Bond Trading Session, and if such order were entered into the system
before 4 a.m. e.t., it also would be ``eligible'' for participation in
the Opening Bond Auction. Similarly, an order designated for and thus
``available'' for the Core Bond Trading Session would be included in
the Core Bond Auction if entered before the Core Bond Auction occurs at
9:30 a.m. e.t.
    An order designated for more than one Bond Trading Session would
potentially straddle both Bond Auctions depending on the time the order
is entered. As described above, an order designated for the Opening
Bond Trading Session would first have an opportunity to match and
execute in the Opening Bond Auction at the IMP. If such order does not
execute in the Opening Bond Auction, either because the Auction did not
occur or because the order did not match with interest on the contra
side, the order would then have a second opportunity to participate in
ordinary trading in the Opening Bond Trading Session, which would last
from 4 a.m. until 9:30 a.m. e.t. Thereafter, if the same order does not
trade in the Opening Bond Trading Session, it would have a third
opportunity to trade in the Core Bond Auction at the IMP, which would
occur at 9:30 a.m. e.t. If the same order does not trade in the Core
Bond Auction, it would be cancelled unless it is designated for either
of the next two trading sessions (i.e., the Core Bond Trading Session
(9:30 a.m. until 4 p.m. e.t.) and the Late Bond Trading Session (4 p.m.
until 8 p.m. e.t.). Therefore, if the same order is designated for the
Core Bond Trading Session and the Late Bond Trading Session, it would
get a fourth and perhaps a fifth opportunity to trade during the
trading day, if not cancelled. Thus, the designation of a bond order in
NYSE Bonds would determine the order's eligibility to participate in
either or both of the Bond Auctions and its availability to participate
in additional Bond Trading Sessions.
    NYSE Bonds would accept orders for the Core Bond Auction and Core
Bond Trading Session from 3:30 a.m. e.t. until 9:30 a.m. e.t. Such
orders would queue until 9:30 a.m. e.t. when the Core Bond Auction
takes place. Like the Opening Bond Auction, marketable orders would be
instantaneously matched and executed at the IMP in the Core Bond
Auction. Those orders would be matched based on price/time priority.
Like the Opening Bond Auction, at various times during the period from
3:30 a.m. to 9:30 a.m. e.t., the IMP of the Core Bond Auction, and any
Imbalance associated therewith, would be published via a data feed. As
discussed above, an order designated for execution in the Core Bond
Trading Session could be cancelled at any time as long as it had not
been executed, except that a User could not cancel an order eligible
for execution in the Core Bond Auction inside of two minutes prior to
the beginning of the Core Bond Auction.
    An order designated for the Late Bond Trading Session would be
eligible for

ordinary trading in the Late Bond Trading Session beginning at 4 p.m.
and lasting until 8 p.m e.t. If the order does not trade in the Late
Bond Trading Session, it would be cancelled. No Bond Auction would
occur at the beginning of the Late Bond Trading Session. An order that
is not designated for a particular trading session would be available
only for the Core Bond Trading Session and the Core Bond Auction.

Clearly Erroneous Executions

    The NYSE Bonds rules would define a ``clearly erroneous execution''
to be one where there is an obvious error in any term, such as price,
unit of trading, or identification of the bond.\16\ A User that
receives an erroneous execution could request the Exchange review the
transaction. A clearly erroneous execution would be determined by
Exchange personnel. The request for review would have to be made via
telephone, facsimile, or email and would have to be submitted within 30
minutes of the trade in question. The other party (or parties) to the
trade would be notified of the request for review. Thereafter, an
Officer of the Exchange or a designee would review the transaction and
would make a determination as to whether there was a ``clearly
erroneous execution.'' The reviewer could make this determination with
or without supporting documentation from any party to the transaction.
The Exchange would be able to review a request that is submitted more
than 30 minutes after the transaction. This review would be determined
on a case-by-case basis in a manner that promotes a fair and orderly
market and does not unfairly discriminate against Users of NYSE Bonds.
---------------------------------------------------------------------------

    \16\ See proposed NYSE Rule 86(b)(2)(H) and (j)(1).
---------------------------------------------------------------------------

    If the reviewer determined that the execution was not clearly
erroneous, no corrective action would be taken in relation to the
transaction. If the reviewer determined that the transaction were
clearly erroneous, the transaction could be deemed null and void or
equitably modified. If one party did not agree with the determination,
that party could request further review or an appeal by a panel of
reviewers that includes Exchange personnel and representatives of two
NYSE Bonds subscribers who are not associated with the parties to the
trade in question. Depending on the outcome of the appeal, the
transaction would either remain unchanged or be deemed null and void.
An appeal would not result in a new modification of the terms of the
transaction, as this result would be available only at the initial
review of the transaction.

NYSE Bonds System Disruption or Malfunction or Equipment Changeover

    The proposed rule further provides that, in the event of any system
disruption, malfunction, or equipment changeover in the NYSE Bonds
trading facility, an Officer of the Exchange or a designee, without the
need for a request for review, would review transactions affected by a
system disruption, malfunction, or equipment changeover and decide if
any transactions are erroneous. In such situations, the Officer of the
Exchange or the designee could declare the transaction to be unchanged,
null and void, or modified as appropriate. The rule also provides that,
absent extraordinary circumstances, any such action of the Exchange
Officer or a designee shall be taken within 30 minutes of detection of
the system disruption, malfunction, or equipment changeover, or an
erroneous transaction resulting from such system problem. If an
erroneous transaction occured as a result of a system disruption,
system malfunction, or equipment changeover, each party to the
erroneous transaction would be notified of the situation and the
specific action as soon as practicable. Thereafter, the User aggrieved
by the action could appeal such action.\17\
---------------------------------------------------------------------------

    \17\ See proposed NYSE Rule 86(j).
---------------------------------------------------------------------------

Halting, Suspending, and Closing of Bond Trading on the Exchange

    The proposed rule provides for the halting, suspension, and closing
of bond trading on NYSE Bonds when: (1) In the Exchange's regulatory
capacity, it is necessary or appropriate to maintain a fair and orderly
market, to protect investors, or is in the public interest, due to
extraordinary circumstances or unusual market conditions; (2) in the
case of an individual bond, the related stock has been halted,
suspended, or closed on the Exchange or the primary listing Exchange
for regulatory purposes; (3) in the case of an individual bond, that
bond has been halted, suspended, or closed on the primary listing
Exchange for regulatory purposes; (4) news reports have a material
impact on an individual bond, its issuer, or related stock of its
issuer; and (5) the authority under which a bond trades on the Exchange
or on its primary market is revoked (i.e., the bond is delisted).
    When bond trading is halted under any of the circumstance described
above, a halt message at the beginning and end of the halt would be
disseminated to all NYSE Bonds Users. This trading halt would be
referred to as a ``Bond Halt.'' During the Bond Halt, orders could
enter the system and queue according to price/time priority. The IMP,
and any Imbalance associated with such halt, would be published as soon
as the Bond Halt commenced and would continue to be published until the
conclusion of the halt. When the Bond Halt is concluded, trading would
resume with a Bond Halt Auction, which would include matching and
execution of orders at the IMP. The IMP would be determined during the
Bond Halt. At the conclusion of the Bond Halt Auction, ordinary trading
would resume in the Bond Trading Session (``Opening,'' ``Core,'' or
``Late'') that is in progress at the conclusion of the halt. Bond halts
would be implemented to maintain a fair and orderly market and to
dampen volatility.

Dissemination of Trading Information

    The Exchange would publish a real-time bond data feed to NYSE Bonds
Users that would reflect all orders in time sequence in the NYSE Bonds
order ``book.'' Because NYSE Bonds would be a purely order-driven
system, the Exchange would not disseminate any information on a
particular bond if there are no orders posted in the ``book'' for such
bond. In addition to the NYSE Bonds order ``book,'' the data feed also
would include the last sale price (with corresponding number of bonds)
as executions occur. The NYSE Bonds data feed would be available for
purchase by non-subscribing market participants, third-party data
vendors, and other interested parties who agree to the Exchange's
terms.

Member Organization and Non-Member Access to the NYSE Bonds System

    Only member organizations of the Exchange would be able to enter
into written service agreements with the Exchange specifically
providing for authorized access to NYSE Bonds (i.e., a ``NYSE Bonds
Service Agreement''). A non-member who wished to trade bonds on NYSE
Bonds could do so as a ``Sponsored Participant'' of a subscribing
member organization (``Sponsoring Member Organization''). The
Sponsoring Member Organization's service agreement with the Exchange
would have to include the name of the Sponsored Participant and to
identify such entity as the Sponsored Participant.
    The proposed rule requires the Sponsoring Member Organization and
the Sponsored Participant to maintain a written ``sponsorship
agreement.'' The

sponsorship agreement would have to be agreed to by both the Sponsoring
Member Organization and the Sponsored Participant. The proposed
sponsorship agreement would have to include the following provisions:
    (A) Sponsoring Member Organization must acknowledge and agree that:
    (i) All orders entered by a Sponsored Participant and any person
acting on behalf of or in the name of such Sponsored Participant and
any executions occurring as a result of such orders are binding in all
respects on the Sponsoring Member Organization;
    (ii) Sponsoring Member Organization is responsible for any and all
actions taken by such Sponsored Participant and any person acting on
behalf of or in the name of such Sponsored Participant; and
    (iii) Sponsoring Member Organization must provide the Exchange with
a Notice of Consent acknowledging its responsibility for the orders,
executions, and actions of its Sponsored Participant at issue.
    (B) Sponsored Participant must have written policies and procedures
in place that comply with the Exchange's bylaws, rules, and procedures
and with the rules of the Commission with regard to the Exchange, as if
Sponsored Participant were a Member Organization of the Exchange.
    (C) Sponsored Participant must maintain, keep current, and provide
to the Sponsoring Member Organization a list of Authorized Traders who
may obtain access to NYSE Bonds on behalf of the Sponsored Participant.
    (D) Sponsored Participant must provide training to its Authorized
Traders regarding the Sponsored Participant's obligations under this
rule, other rules of the Exchange, and the rules of the Commission, and
assure that these Authorized Traders receive appropriate training prior
to any use or access to NYSE Bonds.
    (E) Sponsored Participant must not permit anyone other than
Authorized Traders to use or obtain access to NYSE Bonds.
    (F) Sponsored Participant must have in place and must enforce
written policies and procedures that provide reasonable security
precautions to prevent unauthorized use or access to NYSE Bonds,
including unauthorized entry of information into NYSE Bonds or the
information and data made available therein. Sponsored Participant
understands and agrees that Sponsored Participant is responsible for
any and all orders, trades, and other messages and instructions
entered, transmitted, or received under identifiers, passwords, and
security codes of Authorized Traders, and for the trading and other
consequences thereof.
    (G) Sponsored Participant acknowledges its responsibility to
establish adequate written procedures and controls that permit it to
effectively monitor its employees', agents', and customers' use and
access to the Exchange for compliance with the terms of this agreement
and all relevant rules of the Exchange and the Commission.
    (H) Sponsored Participant shall pay when due all amounts, if any,
payable to Sponsoring Member Organization, the Exchange, NYSE Bonds, or
any other third parties that arise from the Sponsored Participants
access to and use of NYSE Bonds. Such amounts include, but are not
limited to, applicable exchange and regulatory fees.

Reports and Recordkeeping

    Users of NYSE Bonds would have to comply with all relevant rules of
the Exchange and the Commission in relation to reports and
recordkeeping of transactions on NYSE Bonds, including Exchange Rules
342 and 440 and Rules 17a-3 and 17a-4 under the Act.\18\
---------------------------------------------------------------------------

    \18\ 17 CFR 240.17a-3 and 240.17a-4.
---------------------------------------------------------------------------

Applicability of Section 11(a) and (b) of the Act

    Section 11(a) of the Act \19\ prohibits a member of a national
securities exchange from effecting transactions on that exchange for
its own account, the account of an associated person, or an account
over which it or its associated person exercises investment discretion,
unless an exception applies. This general prohibition would not impact
trading on NYSE Bonds because Rule 11a1-4(T) under the Act \20\ deems
transactions in bonds on a national securities exchange for a member's
own account to be consistent with Section 11(a). Similarly, Section
11(b) of the Act \21\ and Rule 11b-1 thereunder,\22\ which pertain to
specialists and market-makers, would not be implicated because there
would be no specialists or market makers on NYSE Bonds.
---------------------------------------------------------------------------

    \19\ 15 U.S.C. 78k(a).
    \20\ 17 CFR 240.11a1-4(T).
    \21\ 15 U.S.C. 78k(b).
    \22\ 17 CFR 240.11b-1.
---------------------------------------------------------------------------

2. Statutory Basis
    The basis under the Act for this proposed rule change is the
requirement under Section 6(b)(5) \23\ that an Exchange have rules that
are designed to promote just and equitable principles of trade, to
remove impediments to and perfect the mechanism of a free and open
market and a national market system, and, in general, to protect
investors and the public interest.
---------------------------------------------------------------------------

    \23\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change would
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act.

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

    The Exchange has neither solicited nor received written comments on
the proposed rule change.

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

    Within 35 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which NYSE consents, the Commission will:
    (A) By order approve such proposed rule change, or
    (B) Institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml.
); or     Send an e-mail to<EMAIL_ADDRESS>Please include

File Number SR-NYSE-2006-37 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2006-37. This file
number should be included on the subject line if e-mail 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 inspection and copying in the Commission's
Public Reference Room. Copies of such filing 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-NYSE-2006-37 and should be
submitted on or before November 14, 2006.
---------------------------------------------------------------------------

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

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\24\
Jill M. Peterson,
Assistant Secretary.
[FR Doc. E6-17745 Filed 10-23-06; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register: June 18, 2010 (Volume 75, Number 117)]
[Rules and Regulations]
[Page 34634-34636]
[DOCID:fr18jn10-7]

=======================================================================
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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 100

[Docket No. USCG-2009-0395]
RIN 1625-AA08

Special Local Regulation; Swim Across the Sound, Long Island
Sound, Port Jefferson, NY to Captain's Cove Seaport, Bridgeport, CT

AGENCY: Coast Guard, DHS.

ACTION: Final rule.

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

SUMMARY: The Coast Guard is establishing a permanent Special Local
Regulation on the navigable waters of Long Island Sound between Port
Jefferson, NY and Captain's Cove Seaport, Bridgeport, CT due to the
annual Swim Across the Sound event. This special local regulation is
necessary to provide for the safety of life by protecting swimmers and
their safety craft from the hazards imposed by marine traffic. Entry
into this zone is prohibited unless authorized by the Captain of the
Port Long Island Sound, New Haven, CT.

DATES: This rule is effective July 19, 2010.

ADDRESSES: Comments and material received from the public, as well as
documents mentioned in this preamble as being available in the docket,
are part of docket USCG-2009-0395 and are available online by going to
http://www.regulations.gov, inserting USCG-2009-0395 in the ``Keyword''
box, and then clicking ``Search.'' This material is also available for
inspection or copying at the Docket Management Facility (M-30), U.S.
Department of Transportation, West Building Ground Floor, Room W12-140,
1200 New Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or e-mail Petty Officer Joseph Graun, Prevention Department, USCG
Sector Long Island Sound at<PHONE_NUMBER><EMAIL_ADDRESS>If
you have questions on viewing the docket, call Renee V. Wright, Program
Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Regulatory Information

    On July 21, 2009 the Coast Guard published a notice of proposed
rulemaking with request for comments titled, ``Special Local
Regulation, Swim Across the Sound, Long Island Sound, Port Jefferson,
NY to Captain's Cove Seaport, Bridgeport, CT'' (Docket number USCG-
2009-0395) in the Federal Register (74 FR 35834).
    On April 2, 2010, the Coast Guard published a supplemental notice
of proposed rulemaking (SNPRM) entitled: Special Local Regulation, Swim
Across the Sound, Long Island Sound, Port Jefferson, NY to Captain's
Cove Seaport, Bridgeport, CT in the Federal Register (75 FR 16700). The
Coast Guard received no comments or requests for meetings on the
proposed rule.

Basis and Purpose

    Swim Across the Sound is a 25 km swim that has historically
involved over 200 swimmers and accompanying safety craft. The swim
course is located directly northwest of Port Jefferson, NY and extends
to Captain's Cove Seaport, Bridgeport, CT. Prior to this rule there was
not a permanent regulation in place to protect the swimmers or safety
craft from the hazards imposed by marine traffic. To provide for the
safety of life, the Coast Guard is establishing a permanent special
local regulation on the navigable waters of Long Island Sound that
excludes all unauthorized persons and vessels from approaching within
100 yards of any swimmer or safety craft on the race course. This
section will be enforced from 8:30 a.m. to 7:30 p.m. on August 7, 2010
and thereafter annually on a single, specified Saturday in either July
or August. Notification of the exact dates will be announced in the
Federal Register, via a Notice of Enforcement, and separate Marine
Broadcasts and a local notice to mariners.

Background

    On July 21, 2009, the notice of proposed rulemaking's regulated
area encompassed 100 yards around the race course for the duration of
the race. This provided safety of life for swimmers and safety craft,
but any vessel transiting through Long Island Sound would have to pass
through the regulated area, putting a burden on vessel traffic. Due to
the length of the race course, participants will only be occupying a
small portion of the course at any given time. This regulated area, was
considered but was not chosen due to its burden on vessel traffic.
    On April 2, 2010, the Coast Guard published a supplemental notice
of proposed rulemaking (SNPRM) entitled: Special Local Regulation, Swim
Across the Sound, Long Island Sound, Port Jefferson, NY to Captain's
Cove Seaport, Bridgeport, CT in the Federal Register

(75 FR 16700). This notice proposed a 100-yard regulated area that
encompasses the swimmers and safety craft moving with them as they
travel the race course. This moving regulated area provides protection
for swimmers and safety craft, with a much smaller regulated area. It
allows vessels to pass through the race course as long as they stay
clear of the swimmers and safety craft, reducing the burden on vessel
traffic. This proposal was chosen because it provides the same amount
of safety as the previously proposed regulated area while being less of
a burden on vessel traffic.

Discussion of Comments and Changes

    No comments or requests for meetings were received. However, during
the final edits of the Final Rule we realized that the description of
the regulated area was incorrect and needed clarification. A
supplemental notice of proposed rulemaking with request for comments
was then published to provide clarification of the regulatory text and
minimize the regulated area.
    The changes in the text redefined the regulated area from 100 yards
of the race course to 100 yards from any swimmer or safety craft so
that it would not block the entire waterway. This will reduce the
burden on vessels by allowing them to pass through the race course as
long as they stay clear of the swimmers and safety craft.

Regulatory Analyses

    We developed this rule after considering numerous statutes and
executive orders related to rulemaking. Below we summarize our analyses
based on 13 of these statutes or executive orders.

Regulatory Planning and Review

    This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866, Regulatory Planning and Review, and does not
require an assessment of potential costs and benefits under section
6(a)(3) of that Order. The Office of Management and Budget has not
reviewed it under that Order.

Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this rule would have a significant economic impact
on a substantial number of small entities. The term ``small entities''
comprises small businesses, not-for-profit organizations that are
independently owned and operated and are not dominant in their fields,
and governmental jurisdictions with populations of less than 50,000.
    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.

Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), in the NPRM we offered to
assist small entities in understanding the rule so that they could
better evaluate its effects on them and participate in the rulemaking
process.
    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.

Collection of Information

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

Federalism

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

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.

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.

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.

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.

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.

Energy Effects

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

Technical Standards

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

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

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 concluded
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 is categorically excluded, under figure 2-1, paragraph (34)(h), of
the Instruction. This rule finalizes the establishment of a special
local regulation. No comments were received that would affect the
assessment of environmental impacts from this action. An environmental
analysis checklist and a categorical exclusion determination are
available in the docket where indicated under ADDRESSES.

List of Subjects in 33 CFR Part 100

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

0
For the reasons discussed in the preamble, the Coast Guard amends 33
CFR part 100 as follows:

PART 100--SAFETY OF LIFE ON NAVIGABLE WATERS

0
1. The authority citation for part 100 continues to read as follows:

    Authority: 33 U.S.C. 1233.

0
2. Add Sec.  100.121 to read as follows:

Sec.  100.121  Swim Across the Sound, Long Island Sound, Port
Jefferson, NY to Captain's Cove Seaport, Bridgeport, CT.

    (a) Regulated area. All navigable waters of Long Island Sound
within 100 yards of any swimmer or safety craft on the race course
bounded by the following points: Starting Point at Port Jefferson Beach
at approximate position 40[deg]58'11.71'' N 073[deg]05'51.12'' W,
north-westerly to the finishing point at Captain's Cove Seaport at
approximate location 41[deg]09'25.07'' N 073[deg]12'47.82'' W.
    (b) Definitions. The following definition applies to this section:
Designated On-scene Patrol Personnel, means any commissioned, warrant
and petty officers of the U.S. Coast Guard operating Coast Guard
vessels who have been authorized to act on the behalf of the Captain of
the Port Long Island Sound.
    (c) Special local regulations. (1) No person or vessel may approach
or remain within 100 yards of any swimmer or safety craft within the
regulated area during the enforcement period of this regulation unless
they are officially participating in the Swim Across the Sound event or
are otherwise authorized by the Captain of the Port Long Island Sound
or by Designated On-scene Patrol Personnel.
    (2) All persons and vessels must comply with the instructions from
Coast Guard Captain of the Port or the Designated On-scene Patrol
Personnel. The Designated On-scene Patrol Personnel may delay, modify,
or cancel the swim event as conditions or circumstances require.
    (3) Upon being hailed by a U.S. Coast Guard vessel by siren, radio,
flashing light or other means, the operator of the vessel must proceed
as directed.
    (4) Persons and vessels desiring to enter the regulated area within
100 yards of a swimmer or safety craft may request permission to enter
from the designated on scene patrol personnel by contacting them on
VHF-16 or by a request to the Captain of the Port Long Island Sound via
phone at<PHONE_NUMBER>.
    (d) Enforcement Period. This rule is enforced on August 7, 2010 and
thereafter annually on a single Saturday during the last weekend of
July or one of the first two weekends in August, depending on the
tides. Notification of the specific date and enforcement of the special
local regulation will be made via a Notice of Enforcement in the
Federal Register, separate marine broadcasts and local notice to
mariners.

    Dated: June 3, 2010.
Daniel A. Ronan,
Captain, U.S. Coast Guard, Captain of the Port Long Island Sound.
[FR Doc. 2010-14719 Filed 6-17-10; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 82, Number 108 (Wednesday, June 7, 2017)]
[Notices]
[Pages 26497-26498]
[FR Doc No: 2017-11822]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2011-N-0019]

Agency Information Collection Activities; Proposed Collection;
Comment Request; Customer/Partner Service Surveys

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA or Agency) is announcing
an opportunity for public comment on the proposed collection of certain
information by the Agency. Under the Paperwork Reduction Act of 1995
(PRA), Federal Agencies are required to publish notice in the Federal
Register concerning each proposed collection of information, including
each proposed extension of an existing collection of information, and
to allow 60 days for public comment in response to the notice. This
notice solicits comments on voluntary customer satisfaction service
surveys to implement Executive Order 12862.

DATES: Submit either electronic or written comments on the collection
of information by August 7, 2017.

ADDRESSES: You may submit comments as follows. Please note that late,
untimely filed comments will not be considered. Electronic comments
must be submitted on or before August 7, 2017. The https://www.regulations.gov electronic filing system will accept comments until
midnight Eastern Time at the end of August 7, 2017. Comments received
by mail/hand delivery/courier (for written/paper submissions) will be
considered timely if they are postmarked or the delivery service
acceptance receipt is on or before that date.

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments. Comments submitted
electronically, including attachments, to https://www.regulations.gov
will be posted to the docket unchanged. Because your comment will be
made public, you are solely responsible for ensuring that your comment
does not include any confidential information that you or a third party
may not wish to be posted, such as medical information, your or anyone
else's Social Security number, or confidential business information,
such as a manufacturing process. Please note that if you include your
name, contact information, or other information that identifies you in
the body of your comments, that information will be posted on https://www.regulations.gov.
     If you want to submit a comment with confidential
information that you do not wish to be made available to the public,
submit the comment as a written/paper submission and in the manner
detailed (see ``Written/Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper
submissions): Division of Dockets Management (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Division of
Dockets Management, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2011-N-0019 for ``Customer/Partner Service Surveys.'' Received
comments, those filed in a timely manner (see ADDRESSES), will be
placed in the docket and, except for those submitted as ``Confidential
Submissions,'' publicly viewable at https://www.regulations.gov or at
the Division of Dockets Management between 9 a.m. and 4 p.m., Monday
through Friday.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on https://www.regulations.gov.
Submit both copies to the Division of Dockets Management. If you do not
wish your name and contact information to be made publicly available,
you can provide this information on the cover sheet and not in the body
of your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: https://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Division of Dockets Management, 5630 Fishers
Lane, Rm. 1061, Rockville, MD 20852.

FOR FURTHER INFORMATION CONTACT: JonnaLynn Capezzuto, Office of
Operations, Food and Drug Administration, Three White Flint North,
10A63, 11601 Landsdown St., North Bethesda, MD 20852,<PHONE_NUMBER>,
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501-3520), Federal
Agencies must obtain approval from the Office of Management and Budget
(OMB) for each collection of information they conduct or sponsor.
``Collection of information'' is defined in 44 U.S.C. 3502(3) and 5 CFR
1320.3(c) and includes Agency requests or requirements that members of
the public submit reports, keep records, or provide information to a
third party. Section 3506(c)(2)(A) of the PRA (44 U.S.C. 3506(c)(2)(A))
requires Federal Agencies to provide a 60-day notice in the Federal
Register concerning each proposed collection of information,

including each proposed extension of an existing collection of
information, before submitting the collection to OMB for approval. To
comply with this requirement, FDA is publishing notice of the proposed
collection of information set forth in this document.
    With respect to the following collection of information, FDA
invites comments on these topics: (1) Whether the proposed collection
of information is necessary for the proper performance of FDA's
functions, including whether the information will have practical
utility; (2) the accuracy of FDA's estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used; (3) ways to enhance the quality,
utility, and clarity of the information to be collected; and (4) ways
to minimize the burden of the collection of information on respondents,
including through the use of automated collection techniques, when
appropriate, and other forms of information technology.

Customer/Partner Service Surveys; OMB Control Number 0910-0360--
Extension

    Under section 903 of the Federal Food, Drug, and Cosmetic Act (21
U.S.C. 393), FDA is authorized to conduct research and public
information programs about regulated products and responsibilities of
the Agency. Executive Order 12862, entitled, ``Setting Customer Service
Standard,'' directs Federal Agencies that ``provide significant
services directly to the public'' to ``survey customers to determine
the kind and quality of services they want and their level of
satisfaction with existing services.'' FDA is seeking OMB clearance to
conduct a series of surveys to implement Executive Order 12862.
Participation in the surveys is voluntary. This request covers
customer/partner service surveys of regulated entities, such as food
processors; cosmetic drug, biologic and medical device manufacturers;
consumers; and health professionals. The request also covers
``partner'' (State and local governments) customer service surveys.
    FDA will use the information from these surveys to identify
strengths and weaknesses in service to customers/partners and to make
improvements. The surveys will measure timeliness, appropriateness and
accuracy of information, courtesy and problem resolution in the context
of individual programs.
    FDA estimates conducting 15 customer/partner service surveys per
year, each requiring an average of 15 minutes for review and
completion. We estimate respondents to these surveys to be between 100
and 20,000 customers. Some of these surveys will be repeats of earlier
surveys for purposes of monitoring customer/partner service and
developing long-term data.
    FDA estimates the burden of this collection of information as
follows:

----------------------------------------------------------------------------------------------------------------
                                                            Annual
            Type of survey                 Number of     frequency per     Hours per response       Total hours
                                          respondents      response
----------------------------------------------------------------------------------------------------------------
Mail, telephone, web-based............          55,000               1  0.25 (15 minutes).......          13,750
----------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.

    Dated: June 1, 2017.
Anna K. Abram,
Deputy Commissioner for Policy, Planning, Legislation, and Analysis.
[FR Doc. 2017-11822 Filed 6-6-17; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register Volume 79, Number 218 (Wednesday, November 12, 2014)]
[Notices]
[Pages 67210-67212]
[FR Doc No: 2014-26689]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-73529; File No. SR-NYSEARCA-2014-128]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change Proposing To Amend
NYSE Arca Equities Rule 7.44(j) To Delete Reference to the Exchange's
Proprietary Data Feed When Disseminating the Retail Liquidity
Identifier

November 5, 2014.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given
that, on October 28, 2014, NYSE Arca, Inc. (``Exchange'' or ``NYSE
Arca'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C.78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

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

    The Exchange proposes to revise [sic] to amend NYSE Arca Equities
Rule 7.44(j) to delete reference to the Exchange's proprietary data
feed. The text of the proposed rule change is available on the
Exchange's Web site at www.nyse.com, at the principal office of the
Exchange, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The Exchange is proposing to amend NYSE Arca Equities Rule 7.44
(``Rule 7.44''), which governs the Exchange's Retail Liquidity Program
(``Program'') and is currently operating as a pilot, to delete
reference to the Exchange's proprietary data feed in Rule 7.44(j).
    Rule 7.44(j) currently provides, that ``[a]n identifier shall be
disseminated through the Consolidated Quotation System, the UTP Quote
Data Feed, and the Exchange's proprietary data feed when RPI interest
priced at least $0.001 better than the PBB or PBO for a particular
security is available in Exchange systems (`Retail Liquidity
Identifier').'' When the Exchange implemented the Program, it filed a
rule proposal that specified that in connection with the implementation
of the Program, the Exchange would begin disseminating the Retail
Liquidity Identifier referenced in Rule 7.44(j) through the
Consolidated Quotation System and the UTP Quote Data Feed (the ``public
data feeds''). However, because of the differing technology associating
with disseminating data via the Exchange's proprietary data feed, the
Exchange was not be able to disseminate the Retail Liquidity Identifier
via the Exchange's proprietary data feed on the initial implementation
date of the Program. Accordingly, the Exchange proposed a separate
implementation date for disseminating the Retail Liquidity Identifier
via the Exchange's proprietary data feed and would have announced that
date via Trader Update.\4\
---------------------------------------------------------------------------

    \4\ See Securities Exchange Act Release No. 71960 (April 17,
2014), 79 FR 22746 (April 23, 2014) (SR-NYSEArca-2014-38).
---------------------------------------------------------------------------

    Because the Exchange does not have technology currently available
to disseminate the Retail Liquidity Identifier over the Exchange's
proprietary data feed, the Exchange proposes to amend Rule 7.44(j) to
delete the reference to the Exchange's proprietary data feed. If the
Exchange at a later date has the technology to disseminate the Retail
Liquidity Indicator over its proprietary data feed, the Exchange will
file a separate rule

proposal pursuant to Rule 19(b)(1) of the Act \5\ to amend Rule 7.44(j)
to add back the reference to the proprietary data feeds. The Exchange
believes that deleting the reference to the proprietary data feed in
Rule 7.44 provides transparency in Exchange rules regarding over what
data feeds the Retail Liquidity Indicator is available.\6\
---------------------------------------------------------------------------

    \5\ See 15 U.S.C. 78s(b)(1).
    \6\ The Exchange proposes a non-substantive change to Rule
7.44(j) to clarify that the Exchange would disseminate a Retail
Liquidity Indicator through the Consolidated Quotation System or UTP
Quote Data Feed, as applicable, i.e., that Retail Liquidity
Indicators for Tape B symbols would be disseminated over the
Consolidated Quotation System and Retail Liquidity Indicators for
Tape C symbols would be disseminated over UTP Quote Data Feed,
consistent with the Regulation NMS plans governing the respective
public data feeds.
---------------------------------------------------------------------------

2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the
Act,\7\ in general, and furthers the objectives of Section 6(b)(5),\8\
in particular, in that it is designed to promote just and equitable
principles of trade, to remove impediments to and perfect the mechanism
of a free and open market and a national market system, and in general,
to protect investors and the public interest.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78f(b).
    \8\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that deleting reference to the proprietary
data feed in Rule 7.44(j) is consistent with the Act because the Retail
Liquidity Identifier has been and will continue to be available via the
public data feeds. The Exchange further believes that the proposed rule
change would protect investors and the public interest because
information about Retail Liquidity Identifiers has been and continues
to be available via the public data feeds. Pending the availability of
technology to support the dissemination of the Retail Liquidity
Indicator over the proprietary data feed, the Exchange believes that it
removes impediments to and perfects the mechanism of a free and open
market to delete reference to the proprietary data feed in Rule 7.44(j)
because it would provide transparency in Exchange rules regarding how
the Retail Liquidity Indicator is disseminated.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The Exchange notes that the
Retail Liquidity Identifier has been and will continue to be available
via the public data feeds and therefore market participants will have
access to information regarding the Retail Liquidity Identifiers.

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

    No written comments were solicited or received with respect to the
proposed rule change.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A) of the Act \9\ and Rule 19b-4(f)(6) \10\ thereunder because
the proposal does not: (i) significantly affect the protection of
investors or the public interest; (ii) impose any significant burden on
competition; and (iii) by its terms, become operative for 30 days from
the date on which it was filed, or such shorter time as the Commission
may designate if consistent with the protection of investors and the
public interest.\11\
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(6).
    \11\ In addition, Rule 19b-4(f)(6)(iii) requires the Exchange to
give the Commission written notice of the Exchange's intent to file
the proposed rule change, along with a brief description and text of
the proposed rule change, at least five business days prior to the
date of filing of the proposed rule change, or such shorter time as
designated by the Commission. The Exchange has satisfied this
requirement.
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) normally may
not become operative prior to 30 days after the date of filing.
However, Rule 19b-4(f)(6)(iii) \12\ permits the Commission to designate
a shorter time if such action is consistent with the protection of
investors and the public interest. The Exchange has requested that the
Commission waive the 30-day operative delay period. The Commission
believes that waiver of the 30-day operative delay period is consistent
with the protection of investors and the public interest. Specifically,
the Commission believes that the proposal would provide clarity to the
Exchange's rules and would not affect the dissemination of the Retail
Liquidity Identifier. For these reasons, the Commission believes that
waiving the 30-day operative delay is consistent with the protection of
investors and the public interest, and designates the proposed rule
change to be operative upon filing with the Commission.\13\
---------------------------------------------------------------------------

    \12\ 17 CFR 240.19b-4(f)(6)(iii).
    \13\ For purposes only of waiving the operative delay for this
proposal, the Commission has considered the proposed rule's impact
on efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.\14\
---------------------------------------------------------------------------

    \14\ 15 U.S.C. 78s(b)(3)(C).
---------------------------------------------------------------------------

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml ); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSEArca-2014-128 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEArca-2014-128. 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 such filing 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-2014-128 and should be submitted on or before December 3,
2014.
---------------------------------------------------------------------------

    \15\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\15\
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-26689 Filed 11-10-14; 8:45 am]
BILLING CODE 8011-01-P