[Federal Register Volume 86, Number 75 (Wednesday, April 21, 2021)]
[Notices]
[Pages 20756-20757]
[FR Doc No: 2021-08141]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-609, OMB Control No.3235-0706]

Submission for OMB Review; Comment Request

Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736

Extension:
    Form ABS-EE

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget this request for extension of the previously approved
collection of information discussed below.
    Form ABS-EE (17 CFR 249.1401) is filed by asset-backed issuers to
provide asset-level information for registered offerings of asset-
backed securities at the time of securitization and on an ongoing basis
required by Item 1111(h) of Regulation AB (17 CFR 229.1111(h)). The
purpose of the information collected on Form ABS-EE is to implement the
disclosure requirements of Section 7(c) of the Securities Act of 1933
(15 U.S.C. 77g(c)) to provide information regarding the use of
representations and warranties in the asset-backed securities markets.
We estimate that approximately 13,374 securitizers will file Form ABS-
EE annually at estimated 170,089 burden hours per response. In
addition, we estimate that 25% of the 50.87152 hours per response
(12.71788 hours) is carried internally by the securitizers for a total
annual reporting burden of 170,089 hours (12.71788 hours per response x
13,374 responses).
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    The public may view background documentation for this information
collection at the following website: www.reginfo.gov. Find this
particular information collection by selecting ``Currently under 30-day
Review--Open for Public Comments'' or by using the search function.
Written comments and recommendations for the proposed information
collection should be sent within 30 days of publication of this notice
to (i) www.reginfo.gov/public/do/PRAMain and (ii) David Bottom,
Director/Chief Information Officer,

Securities and Exchange Commission, c/o Cynthia Roscoe, 100 F Street
NE, Washington, DC 20549, or by sending an email to:
<EMAIL_ADDRESS>
    Dated: April 15, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-08141 Filed 4-20-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 83, Number 173 (Thursday, September 6, 2018)]
[Notices]
[Pages 45284-45285]
[FR Doc No: 2018-19289]

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DEPARTMENT OF LABOR

Occupational Safety and Health Administration

[Docket No. OSHA-2018-0005]

Whistleblower Protection; Public Meeting

AGENCY: Occupational Safety and Health Administration (OSHA), Labor.

ACTION: Notice of public meeting.

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SUMMARY: The Occupational Safety and Health Administration (OSHA) is
announcing a public meeting to solicit comments and suggestions from
stakeholders in the financial industry, including employers, employees,
and representatives of employers and employees, on issues facing the
agency in its administration of the whistleblower protection provisions
of the Consumer Financial Protection Act of 2010, Section 1057 of the
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, and
the Sarbanes-Oxley Act.

DATES: The public meeting will be held on October 16, 2018, from 1:00
p.m. to 3:00 p.m. ET. Persons interested in attending the meeting must
register by September 30, 2018. In addition, comments relating to the
``Scope of Meeting'' section of this document must be submitted in
written or electronic form by October 9, 2018.

ADDRESSES: The public meeting will be held in Room N-4437 A-B, U.S.
Department of Labor, 200 Constitution Avenue NW, Washington, DC 20210.
    Written Comments: Submit written comments to the OSHA Docket
Office, Docket No. OSHA-2018-0005, Room N-3653, U.S. Department of
Labor, 200 Constitution Avenue NW, Washington, DC 20210; telephone
(202) 693-2350. You may submit materials, including attachments,
electronically at http://www.regulations.gov, which is the Federal
eRulemaking Portal. Follow the on-line instructions for submissions.
All comments should be identified with Docket No. OSHA-2018-0005.
    Registration To Attend and/or To Participate in the Meeting: If you
wish to attend the public meeting, make an oral presentation at the
meeting, or participate in the meeting via telephone, you must register
using this link https://www.eventbrite.com/e/occupational-safety-and-health-administration-financial-stakeholder-meeting-registration-48336609099 by close of business on September 30, 2018. Participants
may speak and pass out written materials, but there will not be an
opportunity to give an electronic presentation. Actual times provided
for presentation will depend on the number of requests, but no more
than 10 minutes per participant. There is no fee to register for the
public meeting. Registration on the day of the public meeting will be
permitted on a space-available basis beginning at 12:00 p.m. ET. After
reviewing the requests to present, we will contact each participant
prior to the meeting with the approximate time that the participant's
presentation is scheduled to begin.

FOR FURTHER INFORMATION CONTACT:
    For press inquiries: Mr. Frank Meilinger, Director, OSHA Office of
Communications, U.S. Department of Labor; telephone<PHONE_NUMBER>;
email [email protected].
    For general information: Mr. Anthony Rosa, Deputy Director, OSHA
Directorate of Whistleblower Protection Programs, U.S. Department of
Labor; telephone<PHONE_NUMBER>; email [email protected].

SUPPLEMENTARY INFORMATION:

Scope of Meeting

    OSHA is interested in obtaining information from the public on key
issues facing the agency's whistleblower program. This meeting is the
second in a series of meetings requesting public input on this program.
For this meeting, OSHA is focusing on issues relating to whistleblower
protection in the financial industry. In particular, the agency invites
input on the following:
    1. How can OSHA deliver better whistleblower customer service?
    2. What kind of assistance can OSHA provide to help explain the
whistleblower laws it enforces?

Request for Comments

    Regardless of attendance at the public meeting, interested persons
may submit written or electronic comments (see ADDRESSES). Submit a
single copy of electronic comments or two paper copies of any mailed
comments, except that individuals may submit one paper copy. To permit
time for interested persons to submit data, information, or views on
the issues in the ``Scope of Meeting'' section of this notice, submit
comments by October 9, 2018. Please

include Docket No. OSHA-2018-0005. Comments received may be seen in the
OSHA Docket Office, (see ADDRESSES), between 10:00 a.m. and 3:00 p.m.
ET, Monday through Friday.

Access to the Public Record

    Electronic copies of this Federal Register notice are available at
http://www.regulations.gov. This notice, as well as news releases and
other relevant information, also are available on the Directorate of
Whistleblower Protection Programs' web page at: http://www.whistleblowers.gov.

Authority and Signature

    Loren Sweatt, Deputy Assistant Secretary for Occupational Safety
and Health, authorized the preparation of this notice under the
authority granted by Secretary's Order 01-2012 (Jan. 18, 2012), 77 FR
3912 (Jan. 25, 2012); 29 U.S.C. 660(c); 49 U.S.C. 31105; 49 U.S.C.
20109, and 6 U.S.C. 1142.

    Signed at Washington, DC, on August 30, 2018.
Loren Sweatt,
Deputy Assistant Secretary of Labor for Occupational Safety and Health.
[FR Doc. 2018-19289 Filed 9-5-18; 8:45 am]
 BILLING CODE 4510-26-P


[Federal Register Volume 85, Number 208 (Tuesday, October 27, 2020)]
[Notices]
[Page 68103]
[FR Doc No: 2020-23750]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-556, OMB Control No. 3235-0619]

Submission for OMB Review; Comment Request

Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736

Extension:
    Rule 163

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget this request for extension of the previously approved
collection of information discussed below.
    Rule 163 (17 CFR 230.163) provides an exemption from Section 5(c)
(15 U.S.C. 77e(c)) under the Securities Act of 1933 (15 U.S.C. 77a et
seq.) for certain communications by or on behalf of a well-known
seasoned issuer. The information filed under Rule 163 is publicly
available. We estimate that it takes approximately 0.24 burden hours
per response to provide the information required under Rule 163 and is
filed by approximately 53 issuers. We estimate that 25% of the 0.24
hours per response (0.06 hours) is prepared by the issuer for an annual
reporting burden of 3 hours (0.06 hours per response x 53 responses).
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    The public may view background documentation for this information
collection at the following website: www.reginfo.gov. Find this
particular information collection by selecting ``Currently under 30-day
Review--Open for Public Comments'' or by using the search function.
Written comments and recommendations for the proposed information
collection should be sent within 30 days of publication of this notice
to (i) www.reginfo.gov/public/do/PRAMain and (ii) David Bottom,
Director/Chief Information Officer, Securities and Exchange Commission,
c/o Cynthia Roscoe, 100 F Street NE, Washington, DC 20549, or by
sending an email to<EMAIL_ADDRESS>
    Dated: October 22, 2020.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-23750 Filed 10-26-20; 8:45 am]
BILLING CODE 8011-01-P


exceeding 175 Mbit/s and designed to convert digital video magnetic
tape recorders for use as digital instrumentation data recorders;
    a.5. Waveform digitizers and transient recorders, having all of
the following:
    N.B.: See also 3A292.
    a.5.a. Digitizing rates equal to or more than 200 million
samples per second and a resolution of 10 bits or more; and
    a.5.b. A `continuous throughput' of 2 Gbit/s or more;

    Technical Notes:

    1. For those instruments with a parallel bus architecture, the
`continuous throughput' rate is the highest word rate multiplied by
the number of bits in a word.
    2. `Continuous throughput' is the fastest data rate the
instrument can output to mass storage without the loss of any
information while sustaining the sampling rate and analog-to-digital
conversion.

    a.6. Digital instrumentation data recorders, using magnetic disk
storage technique and having all of the following:
    a.6.a. Digitizing rate equal to or more than 100 million samples
per second and a resolution of 8 bits or more; and
    a.6.b. A `continuous throughput' of 1 Gbit/s or more;
    b. ``Frequency synthesizer'' ``electronic assemblies'' having a
``frequency switching time'' from one selected frequency to another
of less than 1 ms;

    Note:
    The control status of ``signal analyzers'', signal generators,
network analyzers, and microwave test receivers as stand-alone
instruments is determined by 3A002.c., 3A002.d., 3A002.e., and
3A002.f., respectively.

    c. Radio-frequency ``signal analyzers'' as follows:
    c.1. ``Signal analyzers'' capable of analyzing any frequencies
exceeding 31.8 GHz but not exceeding 37.5 GHz and having a 3 dB
resolution bandwidth (RBW) exceeding 10 MHz;
    c.2. ``Signal analyzers'' capable of analyzing frequencies
exceeding 43.5 GHz;
    c.3. ``Dynamic signal analyzers'' having a ``real-time
bandwidth'' exceeding 500 kHz;

    Note:
    3A002.c.3 does not control those ``dynamic signal analyzers''
using only constant percentage bandwidth filters (also known as
octave or fractional octave filters).

    d. Frequency synthesized signal generators producing output
frequencies, the accuracy and short term and long term stability of
which are controlled, derived from or disciplined by the internal
master reference oscillator, and having any of the following:
    d.1. A maximum synthesized frequency exceeding 31.8 GHz, but not
exceeding 43.5 GHz and rated to generate a `pulse duration' of less
than 100 ns;
    d.2. A maximum synthesized frequency exceeding 43.5 GHz;
    d.3. A ``frequency switching time'' from one selected frequency
to another as specified by any of the following:
    d.3.a. Less than 10 ns;
    d.3.b. Less than 100 [mu]s for any frequency change exceeding
1.6 GHz within the synthesized frequency range exceeding 3.2 GHz but
not exceeding 10.6 GHz;
    d.3.c. Less than 250 [mu]s for any frequency change exceeding
550 MHz within the synthesized frequency range exceeding 10.6 GHz
but not exceeding 31.8 GHz;
    d.3.d. Less than 500 [mu]s for any frequency change exceeding
550 MHz within the synthesized frequency range exceeding 31.8 GHz
but not exceeding 43.5 GHz; or
    d.3.e. Less than 1 ms within the synthesized frequency range
exceeding 43.5 GHz; or
    d.4. A single sideband (SSB) phase noise better than - (126 + 20
log 10F)- 20 log 10f) in dBc/Hz, where F is
the off-set from the operating frequency in Hz and f is the
operating frequency in MHz;

    Note 1:
    For the purpose of 3A002.d., frequency synthesized signal
generators includes arbitrary waveform and function generators.

    Note 2:
    3A002.d. does not control equipment in which the output
frequency is either produced by the addition or subtraction of two
or more crystal oscillator frequencies, or by an addition or
subtraction followed by a multiplication of the result.

    Technical Notes:

    1. Arbitrary waveform and function generators are normally
specified by sample rate (e.g., GSample/s), which is converted to
the RF domain by the Nyquist factor of two. Thus, a 1 GSample/s
arbitrary waveform has a direct output capability of 500 MHz. Or,
when oversampling is used, the maximum direct output capability is
proportionately lower.
    2. For the purposes of 3A002.d.1., `pulse duration' is defined
as the time interval between the leading edge of the pulse achieving
90% of the peak and the trailing edge of the pulse achieving 10% of
the peak.

    Note:
    3A002.d does not control equipment in which the output frequency
is either produced by the addition or subtraction of two or more
crystal oscillator frequencies, or by an addition or subtraction
followed by a multiplication of the result.

    e. Network analyzers with a maximum operating frequency
exceeding 43.5 GHz;
    f. Microwave test receivers having all of the following:
    f.1. A maximum operating frequency exceeding 43.5 GHz; and
    f.2. Being capable of measuring amplitude and phase
simultaneously;
    g. Atomic frequency standards being any of the following:
    g.1. ``Space qualified'';
    g.2. Non-rubidium and having a long-term stability less (better)
than 1 x 10-11/month; or
    g.3. Non-''space qualified'' and having all of the following:
    g.3.a. Being a rubidium standard;
    g.3.b. Long-term stability less (better) than 1 x
10-\11\/month; and
    g.3.c. Total power consumption of less than 1 Watt.

0
19. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3A229 is amended by revising the Related Controls paragraph, to read as
follows:

3A229 Firing sets and equivalent high-current pulse generators (for
detonators controlled by 3A232), as follows (see List of Items
Controlled).

* * * * *

List of Items Controlled

* * * * *
    Related Controls: (1) See ECCNs 3E001 and 1E001(''development''
and ``production'') and 3E201 and 1E201 (``use'') for technology for
items controlled under this entry. (2) High explosives and related
equipment for military use are subject to the export licensing
authority of the U.S. Department of State, Directorate of Defense
Trade Controls (see 22 CFR part 121).
* * * * *

0
20. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3A232 is amended by revising the Related Controls and Items paragraphs
in the List of Items Controlled section, to read as follows:

3A232 Detonators and multipoint initiation systems, as follows (see
List of Items Controlled).

* * * * *

List of Items Controlled

* * * * *
    Related Controls: (1) See 1A007 for electrically driven
explosive detonators. (2) See ECCNs 3E001 (``development'' and
``production'') and 3E201 (``use'') for technology for items
controlled under this entry. (3) High explosives and related
equipment for military use are subject to the export licensing
authority of the U.S. Department of State, Directorate of Defense
Trade Controls (see 22 CFR part 121).
* * * * *
    Items:
    a. [Reserved]
    b. Arrangements using single or multiple detonators designed to
nearly simultaneously initiate an explosive surface over an area
greater than 5,000 mm\2\ from a single firing signal with an
initiation timing spread over the surface of less than 2.5 [mu]s.

    Technical Note:
    The word initiator is sometimes used in place of the word
detonator.

0
21. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3A991 amended by adding a new paragraph (o) to the Items paragraph in
the List of Items Controlled section, to read as follows:

3A991 Electronic devices and components not controlled by 3A001.

* * * * *

List of Items Controlled

* * * * *
    Items:
* * * * *
    o. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space qualified'' and
not controlled by 3A001.e.4.

0
22. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3B001 is amended by revising the Heading and the Items paragraph in the
List of Items Controlled section, to read as follows:

3B001 Equipment for the manufacturing of semiconductor devices or
materials, as follows (see List of Items Controlled) and specially
designed components and accessories therefor.

* * * * *

List of Items Controlled

* * * * *
    Items:
    a. Equipment designed for epitaxial growth as follows:
    a.1. Equipment capable of producing a layer of any material
other than silicon with a thickness uniform to less than 2.5% across a distance of 75 mm or more;
    a.2. Metal Organic Chemical Vapor Deposition (MOCVD) reactors
specially designed for compound semiconductor crystal growth by the
chemical reaction between materials controlled by 3C003 or 3C004;
    a.3. Molecular beam epitaxial growth equipment using gas or
solid sources;
    b. Equipment designed for ion implantation and having any of the
following:
    b.1. A beam energy (accelerating voltage) exceeding 1MeV;
    b.2. Being specially designed and optimized to operate at a beam
energy (accelerating voltage) of less than 2 keV;
    b.3. Direct write capability; or
    b.4. A beam energy of 65 keV or more and a beam current of 45 mA
or more for high energy oxygen implant into a heated semiconductor
material ``substrate'';
    c. Anisotropic plasma dry etching equipment as follows:
    c.1. Equipment with cassette-to-cassette operation and load-
locks, and having any of the following:
    c.1.a. Designed or optimized to produce critical dimensions of
180 nm or less with 5% 3 sigma precision; or
    c.1.b. Designed for generating less than 0.04 particles/cm\2\
with a measurable particle size greater than 0.1 [mu]m in diameter;
    c.2. Equipment specially designed for equipment controlled by
3B001.e. and having any of the following:
    c.2.a. Designed or optimized to produce critical dimensions of
180 nm or less with 5% 3 sigma precision; or
    c.2.b. Designed for generating less than 0.04 particles/cm\2\
with a measurable particle size greater than 0.1 [mu]m in diameter;
    d. Plasma enhanced Chemical Vapor Deposition (CVD) equipment as
follows:
    d.1. Equipment with cassette-to-cassette operation and load-
locks, and designed according to the manufacturer's specifications
or optimized for use in the production of semiconductor devices with
critical dimensions of 180 nm or less;
    d.2. Equipment specially designed for equipment controlled by
3B001.e. and designed according to the manufacturer's specifications
or optimized for use in the production of semiconductor devices with
critical dimensions of 180 nm or less;
    e. Automatic loading multi-chamber central wafer handling
systems having all of the following:
    e.1. Interfaces for wafer input and output, to which more than
two pieces of semiconductor processing equipment are to be
connected; and
    e.2. Designed to form an integrated system in a vacuum
environment for sequential multiple wafer processing;

    Note:
    3B001.e. does not control automatic robotic wafer handling
systems not designed to operate in a vacuum environment.

    f. Lithography equipment as follows:
    f.1. Align and expose step and repeat (direct step on wafer) or
step and scan (scanner) equipment for wafer processing using photo-
optical or X-ray methods and having any of the following:
    f.1.a. A light source wavelength shorter than 245 nm; or
    f.1.b. Capable of producing a pattern with a `minimum resolvable
feature size' of 180 nm or less;

    Technical Note:
    The `minimum resolvable feature size' is calculated by the
following formula:

[GRAPHIC] [TIFF OMITTED] TR14OC08.055

Where the K factor = 0.45
MRF = `minimum resolvable feature size'.

    f.2 Imprint lithography equipment capable of production features
of 180 nm or less;

    Note: 3B001.f.2 includes:

--Micro contact printing tools
--Hot embossing tools
--Nano-imprint lithography tools
--Step and flash imprint lithography (S-FIL) tools.

    f.3. Equipment specially designed for mask making or
semiconductor device processing using direct writing methods and
having all of the following:
    f.3.a. Using deflected focused electron beam, ion beam or
``laser'' beam; and
    f.3.b. Having any of the following:
    f.3.b.1. A spot size smaller than 0.2 [mu]m;
    f.3.b.2. Being capable of producing a pattern with a feature
size of less than 1 [mu]m; or
    f.3.b.3. An overlay accuracy of better than 0.20
[mu]m (3 sigma);
    g. Masks and reticles, designed for integrated circuits
controlled by 3A001;
    h. Multi-layer masks with a phase shift layer;

    Note:
    3B001.h. does not control multi-layer masks with a phase shift
layer designed for the fabrication of memory devices not controlled
by 3A001.

    i. Imprint lithography templates designed for integrated
circuits by 3A001.

0
23. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3C002 is amended by:
0
a. Revising the Heading;
0
b. Revising the GBS and CIV paragraphs in the License Exception
section; and
0
c. Replacing the semicolon with a period at the end of paragraph d; and
0
d. Adding paragraph e to the Items paragraph in the List of Items
Controlled section, to read as follows:

3C002 Resist materials as follows (see List of Items Controlled) and
``substrates'' coated with the following resists.

* * * * *

License Exceptions

* * * * *
    GBS: Yes for positive resists not optimized for photolithography
at a wavelength of less than 365 nm, provided that they are not
controlled by 3C002.b through .e.
    CIV: Yes for positive resists not optimized for photolithography
at a wavelength of less than 365 nm, provided that they are not
controlled by 3C002.b through .e.

List of Items Controlled

* * * * *
    Items:
* * * * *
    e. All resists designed or optimized for use with imprint
lithography equipment specified by 3B001.f.2. that use either a
thermal or photo-curable process.

0
24. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3C005 is amended by revising the Heading, to read as follows:

3C005 Silicon carbide (SiC), gallium nitride (GaN), aluminum nitride
(AlN) or aluminum gallium nitride (AlGaN) ``substrates'', or ingots,
boules, or other preforms of those materials, having resistivities
greater than 10,000 ohm-cm at 20 [deg]C.

* * * * *

0
25. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3C006 is added after ECCN 3C005, to read as follows:

3C006 ``Substrates'' specified in 3C005 with at least one epitaxial
layer of silicon carbide, gallium nitride, aluminum nitride or aluminum
gallium nitride.

License Requirements

    Reason for Control: NS, AT

------------------------------------------------------------------------
                Control(s)                         Country Chart
------------------------------------------------------------------------
NS applies to entire entry...............  NS Column 2.
AT applies to entire entry...............  AT Column 1.
------------------------------------------------------------------------

License Exceptions

    LVS: $3000
    GBS: Yes
    CIV: Yes

List of Items Controlled

    Unit: $ value
    Related Controls: See ECCN 3D001 for related ``development'' or
``production'' ``software'', ECCN 3E001 for related ``development''
and ``production'' ``technology'', and ECCN 3B991.b.1.b for related
``production'' equipment.
    Related Definition: N/A
    Items:
    The list of items controlled is contained in the ECCN heading.

0
26. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3D001 is amended by:
    (a) Revising the Related Controls paragraph of the List of Items
Controlled section; and
    (b) Removing the text of the Related Definitions paragraph of the
List of Items Controlled section and replacing it with ``N/A'' to read
as follows:

3D001 ``Software'' specially designed for the ``development'' or
``production'' of equipment controlled by 3A001.b to 3A002.g or 3B
(except 3B991 and 3B992).

List of Items Controlled

    Unit: * * *
    Related Controls: ``Software'' specially designed for the
``development'' or ``production'' of the following equipment is
under the export licensing authority of the Department of State,
Directorate of Defense Trade Controls (22 CFR part 121): (1.) When
operating at frequencies higher than 31.8 GHz and ``space
qualified'': Helix tubes (traveling wave tubes (TWT)) defined in
3A001.b.1.a.4.c; microwave solid state amplifiers defined in
3A001.b.4.b; and traveling wave tube amplifiers (TWTA) defined in
3A001.b.8; (2.) ``Space qualified'' solar cells, coverglass-
interconnect-cells or covered-interconnect-cells (CIC) assemblies,
solar arrays, and/or solar panels, with a minimum average efficiency
of 31% or greater at an operating temperature of 301 [deg]K (28
[deg]C) under simulated `AM0' illumination with an irradiance of
1,367 Watts per square meter (W/m\2\), and associated solar
concentrators, power conditioners, and/or controllers, bearing and
power transfer assemblies, and deployment hardware/systems. (3.)
``Space qualified'' atomic frequency standards defined in 3A002.g.2.
See also 3D101.
    Related Definitions: N/A
    Items: * * *

0
27. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3E001 is amended by:
0
a. Revising the Heading;
0
b. Revising the NS column 1 paragraph of the License Requirements
section;
0
c. Revising the Related Controls paragraph of the List of Items
Controlled section;
0
d. Revising the License Exceptions section;
0
e. Removing the text of the Related Definitions paragraph of the List
of Items and replacing it with ``N/A''; and
0
f. Revising the technical note in the Items paragraph of the List of
Items Controlled section, to read as follows:

3E001 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment or materials controlled
by 3A (except 3A292, 3A980, 3A981, 3A991 3A992, or 3A999), 3B (except
3B991 or 3B992) or 3C (except 3C992).

License Requirements

* * * * *

------------------------------------------------------------------------
                Control(s)                         Country Chart
------------------------------------------------------------------------
NS applies to ``technology'' for items     NS Column 1.
 controlled by 3A001, 3A002, 3B001,3B002,
 or 3C001 to 3C006.
------------------------------------------------------------------------

* * * * *

License Exceptions

    CIV: N/A
    TSR: Yes, except N/A for MT, and ``technology'' specially
designed for the ``development'' or ``production'' of: (a) Traveling
Wave Tube Amplifiers described in 3A001.b.8, having operating
frequencies exceeding 19 Ghz; and (b) solar cells, coverglass-
interconnect-cells or covered-interconnect-cells (CIC) assemblies,
solar arrays and/or solar panels, which are ``space qualified,''
having a minimum average efficiency exceeding 20% but less than 31%
described in 3A001.e.4.
* * * * *

List of Items Controlled

* * * * *
    Related Controls: (1) See also 3E101 and 3E201.
(2)''Technology'' according to the General Technology Note for the
``development'' or ``production'' of the following commodities is
under the export licensing authority of the Department of State,
Directorate of Defense Trade Controls (22 CFR part 121): (a) When
operating at frequencies higher than 31.8 GHz and ``space
qualified'': helix tubes (traveling wave tubes (TWT)) defined in
3A001.b.1.a.4.c; microwave solid state amplifiers defined in
3A001.b.4.b; or traveling wave tube amplifiers (TWTA) defined in
3A001.b.8; (b) ``Space qualified'' solar cells, coverglass-
interconnect-cells or covered-interconnect-cells (CIC) assemblies,
solar arrays, and/or solar panels, with a minimum average efficiency
of 31% or greater at an operating temperature of 301 [deg]K (28
[deg]C) under simulated `AM0' illumination with an irradiance of
1,367 Watts per square meter (W/m\2\), and associated solar
concentrators, power conditioners, and/or controllers, bearing and
power transfer assemblies, and deployment hardware/systems. and (c)
``Space qualified'' atomic frequency standards defined in 3A002.g.2.
    Related Definition: N/A
    Items:
* * * * *

    Technical Note:
    Multi-layer structures in Note 2 of 3E001 do not include devices
incorporating a maximum of three metal layers and three polysilicon
layers.

    28. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 5 Telecommunications and ``Information Security'', Part I
Telecommunications, Export Control Classification Number (ECCN) 5A001
is amended by revising the Heading and the Items paragraph of the List
of Items Controlled section to read as follows:

5A001 Telecommunications systems, equipment, components and
accessories, as follows (see List of Items Controlled).

* * * * *

List of Items Controlled

* * * * *
    Items:
    a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
    a.1. Specially designed to withstand transitory electronic
effects or electromagnetic pulse effects, both arising from a
nuclear explosion;
    a.2. Specially hardened to withstand gamma, neutron or ion
radiation; or
    a.3. Specially designed to operate outside the temperature range
from 218 K (-55 [deg]C) to 397 K (124 [deg]C);

    Note:
    5A001.a.3 applies only to electronic equipment.

    Note:
    5A001.a.2 and 5A001.a.3 do not apply to equipment designed or
modified for use on board satellites.

    b. Telecommunication systems and equipment, and specially
designed components and accessories therefor, having any of the
following characteristics, functions or features:
    b.1 Being underwater untethered communications systems having
any of the following:
    b.1.a. An acoustic carrier frequency outside the range from 20
kHz to 60 kHz;
    b.1.b. Using an electromagnetic carrier frequency below 30 kHz;
or
    b.1.c. Using electronic beam steering techniques; or
    b.1.d. Using ``lasers'' or light-emitting diodes (LEDs) with an
output wavelength greater than 400 nm and less than 700 nm, in a
``local area network'';
    b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having all of the following:
    b.2.a.. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and

    b.2.b. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the frequency range of 1.5 MHz or
more but less than 30 MHz, or 250 W or more in the frequency range
of 30 MHz or more but not exceeding 87.5 MHz, over an
``instantaneous bandwidth'' of one octave or more and with an output
harmonic and distortion content of better than -80 dB;
    b.3. Being radio equipment employing ``spread spectrum''
techniques, including ``frequency hopping'' techniques, not
controlled in 5A001.b.4 and having any of the following:
    b.3.a. User programmable spreading codes; or
    b.3.b. A total transmitted bandwidth which is 100 or more times
the bandwidth of any one information channel and in excess of 50
kHz;

    Note:
    5A001.b.3.b does not control radio equipment specially designed
for use with civil cellular radio-communications systems.

    Note:
    5A001.b.3 does not control equipment operating at an output
power of 1 W or less.

    b.4. Being radio equipment employing ultra-wideband modulation
techniques, having user programmable channelizing codes, scrambling
codes, or network identification codes and having any of the
following:
    b.4.a. A bandwidth exceeding 500 MHz; or
    b.4.b. A ``fractional bandwidth'' of 20% or more;
    b.5. Being digitally controlled radio receivers having all of
the following:
    b.5.a. More than 1,000 channels;
    b.5.b. A ``frequency switching time'' of less than 1 ms;
    b.5.c. Automatic searching or scanning of a part of the
electromagnetic spectrum; and
    b.5.d. Identification of the received signals or the type of
transmitter; or

    Note:
    5A001.b.5 does not control radio equipment specially designed
for use with civil cellular radio-communications systems.

    b.6. Employing functions of digital ``signal processing'' to
provide `voice coding' output at rates of less than 2,400 bit/s.

    Technical Notes:
    1. For variable rate `voice coding', 5A001.b.6 applies to the
'voice coding' output of continuous speech.
    2. For the purpose of 5A001.b.6, `voice coding' is defined as
the technique to take samples of human voice and then convert these
samples of human voice and then convert these samples into a digital
signal taking into account specific characteristics of human speech.

    c. Optical fiber communication cables, optical fibers and
accessories, as follows:
    c.1. Optical fibers of more than 500 m in length specified by
the manufacturer as being capable of withstanding a `proof test'
tensile stress of 2 x 10\9\ N/m\2\ or more;

    Technical Note:
    `Proof Test': on-line or off-line production screen testing that
dynamically applies a prescribed tensile stress over a 0.5 to 3 m
length of fiber at a running rate of 2 to 5 m/s while passing
between capstans approximately 150 mm in diameter. The ambient
temperature is a nominal 293 K (20 [deg]C) and relative humidity
40%. Equivalent national standards may be used for executing the
proof test.

    c.2. Optical fiber cables and accessories, designed for
underwater use;

    Note:
    5A001.c.2 does not control standard civil telecommunication
cables and accessories.

    N.B. 1: For underwater umbilical cables, and connectors thereof,
see 8A002.a.3.
    N.B. 2: For fiber-optic hull penetrators or connectors, see
8A002.c.
    d. ``Electronically steerable phased array antennae'' operating
above 31.8 GHz;

    Note:
    5A001.d does not control ``electronically steerable phased array
antennae'' for landing systems with instruments meeting ICAO
standards covering Microwave Landing Systems (MLS).

    e. Radio direction finding equipment operating at frequencies
above 30 MHz and having all of the following, and specially designed
components therefor:
    e.1. ``Instantaneous bandwidth'' of 10 MHz or more; and
    e.2. Capable of finding a Line Of Bearing (LOB) to non-
cooperating radio transmitters with a signal duration of less than 1
ms;
    f. Jamming equipment specially designed or modified to
intentionally and selectively interfere with, deny, inhibit, degrade
or seduce mobile telecommunication services and having any of the
following characteristics, and specially designed components
therefor:
    f.1. Simulating the functions of Radio Access Network (RAN)
equipment; or
    f.2. Detecting and exploiting specific characteristics of the
mobile telecommunications protocol employed (e.g., GSM);
    N.B.: For GNSS jamming equipment see the Munitions List.
    g. Passive Coherent Location (PCL) systems or equipment,
specially designed for detecting and tracking moving objects by
measuring reflections of ambient radio frequency emissions, supplied
by non-radar transmitters.

    Technical Note:
    Non-radar transmitters may include commercial radio, television
or cellular telecommunications base stations.

    Note:
    5A001.g. does not control:
    a. Radio-astronomical equipment; or
    b. Systems or equipment, that require any radio transmission
from the target.

0
29. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 5 Telecommunications and ``Information Security'', Part 2
Information Security, Export Control Classification Number (ECCN) 5A002
is amended by revising the Heading and the Items paragraph of the List
of Items Controlled section, to read as follows:

5A002 ``Information security'' systems, equipment and components
therefor, as follows (see List of Items Controlled).

* * * * *

List of Items Controlled

* * * * *
    Items:

    Note:
    5A002 does not control any of the following. However, these
items are instead controlled under 5A992:
    (a) ``Personalized smart cards'' having any of the following:
    (1) Where the cryptographic capability is restricted for use in
equipment or systems excluded from control paragraphs (b) through
(g) of this Note; or
    (2) For general public-use applications where the cryptographic
capability is not user-accessible and it is specially designed and
limited to allow protection of personal data stored within;
    N.B.: If a ``personalized smart card'' has multiple functions,
the control status of each function is assessed individually.
    (b) Receiving equipment for radio broadcast, pay television or
similar restricted audience broadcast of the consumer type, without
digital encryption except that exclusively used for sending the
billing or program-related information back to the broadcast
providers;
    (c) Equipment where the cryptographic capability is not user-
accessible and which is specially designed and limited to allow any
of the following:
    (1) Execution of copy-protected ``software'';
    (2) Access to any of the following:
    (a) Copy-protected contents stored on read-only media; or
    (b) Information stored in encrypted form on media (e.g., in
connection with the protection of intellectual property rights)
where the media is offered for sale in identical sets to the public;
    (3) Copying control of copyright protected audio/video data; or
    (4) Encryption and/or decryption for protection of libraries,
design attributes, or associated data for the design of
semiconductor devices or integrated circuits;
    (d) Cryptographic equipment specially designed and limited for
banking use or 'money transactions';
    Technical Note: The term `money transactions' includes the
collection and settlement of fares or credit functions.
    (e) Portable or mobile radiotelephones for civil use (e.g., for
use with commercial civil cellular radio communication systems) that
are not capable of transmitting encrypted data directly to another
radiotelephone or equipment (other than Radio Access Network (RAN)
equipment), nor of passing encrypted data through RAN equipment
(e.g., Radio Network Controller (RNC) or Base Station Controller
(BSC));
    (f) Cordless telephone equipment not capable of end-to-end
encryption where the maximum effective range of unboosted cordless
operation (e.g., a single, unrelayed hop between terminal and home
base station) is less than 400 meters according to the
manufacturer's specifications; or
    (g) Portable or mobile radiotelephones and similar client
wireless devices for civil use, that implement only published or
commercial cryptographic standards (except for anti-piracy
functions, which may be non-published) and also meet the provisions
of paragraphs b. to d. of the Cryptography Note

(Note 3 in Category 5--Part 2), that have been customized for a
specific civil industry application with features that do not affect
the cryptographic functionality of these original non-customized
devices.
    Technical Note: Parity bits are not included in the key length.

    a. Systems, equipment, application specific ``electronic
assemblies'', modules and integrated circuits for ``information
security'', as follows and other specially designed components
therefor:
    N.B.: For the control of Global Navigation Satellite Systems
(GNSS) receiving equipment containing or employing decryption (i.e.,
GPS or GLONASS) see 7A005.
    a.1. Designed or modified to use ``cryptography'' employing
digital techniques performing any cryptographic function other than
authentication or digital signature and having any of the following:
    Technical Notes:
    1. Authentication and digital signature functions include their
associated key management function.
    2. Authentication includes all aspects of access control where
there is no encryption of files or text except as directly related
to the protection of passwords, Personal Identification Numbers
(PINs) or similar data to prevent unauthorized access.
    3. ``Cryptography'' does not include ``fixed'' data compression
or coding techniques.
    Note: 5A002.a.1 includes equipment designed or modified to use
``cryptography'' employing analog principles when implemented with
digital techniques.
    a.1.a. A ``symmetric algorithm'' employing a key length in
excess of 56-bits; or
    a.1.b. An ``asymmetric algorithm'' where the security of the
algorithm is based on any of the following:
    a.1.b.1. Factorization of integers in excess of 512 bits (e.g.,
RSA);
    a.1.b.2. Computation of discrete logarithms in a multiplicative
group of a finite field of size greater than 512 bits (e.g., Diffie-
Hellman over Z/pZ); or
    a.1.b.3. Discrete logarithms in a group other than mentioned in
5A002.a.1.b.2 in excess of 112 bits (e.g., Diffie-Hellman over an
elliptic curve);
    a.2. Designed or modified to perform cryptanalytic functions;
    a.3. [Reserved]
    a.4. Specially designed or modified to reduce the compromising
emanations of information-bearing signals beyond what is necessary
for health, safety or electromagnetic interference standards;
    a.5. Designed or modified to use cryptographic techniques to
generate the spreading code for ``spread spectrum'' systems, not
controlled in 5A002. a.6., including the hopping code for
``frequency hopping'' systems;
    a.6. Designed or modified to use cryptographic techniques to
generate channelizing codes, scrambling codes or network
identification codes, for systems using ultra-wideband modulation
techniques and having any of the following:
    a.6.a. A bandwidth exceeding 500 MHz; or
    a.6.b. A ``fractional bandwidth'' of 20% or more;
    a.7. [Reserved]
    a.8. Communications cable systems designed or modified using
mechanical, electrical or electronic means to detect surreptitious
intrusion;
    a.9. Designed or modified to use `quantum cryptography.'

    Technical Notes:
    1. `Quantum cryptography' A family of techniques for the
establishment of a shared key for ``cryptography'' by measuring the
quantum-mechanical properties of a physical system (including those
physical properties explicitly governed by quantum optics, quantum
field theory, or quantum electrodynamics).
    2. `Quantum cryptography' is also known as Quantum Key
Distribution (QKD).

0
30. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 6 Sensors, Export Control Classification Number (ECCN) 6A001
is amended by revising the Heading and the Items paragraph of the List
of Items Controlled section, to read as follows:

6A001 Acoustic systems, equipment and components, as follows (see List
of Items Controlled).

* * * * *

List of Items Controlled

* * * * *
    Items:
    a. Marine acoustic systems, equipment and specially designed
components therefor, as follows:
    a.1. Active (transmitting or transmitting-and-receiving)
systems, equipment and specially designed components therefor, as
follows:

    Note: 6A001.a.1 does not control:
    a. Depth sounders operating vertically below the apparatus, not
including a scanning function exceeding 20[deg], and limited to measuring the depth of
water, the distance of submerged or buried objects or fish finding;
    b. Acoustic beacons, as follows:
    1. Acoustic emergency beacons;
    2. Pingers specially designed for relocating or returning to an
underwater position.

    a.1.a. Wide-swath bathymetric survey systems designed for sea
bed topographic mapping and having all of the following:
    a.1.a.1. Designed to take measurements at an angle exceeding
20[deg] from the vertical;
    a.1.a.2. Designed to measure depths exceeding 600 m below the
water surface; and
    a.1.a.3. Designed to provide any of the following:
    a.1.a.3.a. Incorporation of multiple beams any of which is less
than 1.9[deg]; or
    a.1.a.3.b. Data accuracies of better than 0.3% of water depth
across the swath averaged over the individual measurements within
the swath;
    a.1.b. Object detection or location systems, having any of the
following:
    a.1.b.1. A transmitting frequency below 10 kHz;
    a.1.b.2. Sound pressure level exceeding 224dB (reference 1[mu]Pa
at 1 m) for equipment with an operating frequency in the band from
10 kHz to 24 kHz inclusive;
    a.1.b.3. Sound pressure level exceeding 235 dB (reference 1
[mu]Pa at 1 m) for equipment with an operating frequency in the band
between 24 kHz and 30 kHz;
    a.1.b.4. Forming beams of less than 1[deg] on any axis and
having an operating frequency of less than 100 kHz;
    a.1.b.5. Designed to operate with an unambiguous display range
exceeding 5,120 m; or
    a.1.b.6. Designed to withstand pressure during normal operation
at depths exceeding 1,000 m and having transducers with any of the
following:
    a.1.b.6.a. Dynamic compensation for pressure; or
    a.1.b.6.b. Incorporating other than lead zirconate titanate as
the transduction element;
    a.1.c. Acoustic projectors, including transducers, incorporating
piezoelectric, magnetostrictive, electrostrictive, electrodynamic or
hydraulic elements operating individually or in a designed
combination and having any of the following:
    Notes: 1. The control status of acoustic projectors, including
transducers, specially designed for other equipment is determined by
the control status of the other equipment.
    2. 6A001.a.1.c does not control electronic sources that direct
the sound vertically only, or mechanical (e.g., air gun or vapor-
shock gun) or chemical (e.g., explosive) sources.
    a.1.c.1. An instantaneous radiated `acoustic power density'
exceeding 0.01 mW/mm\2\/Hz for devices operating at frequencies
below 10 kHz;
    a.1.c.2. A continuously radiated `acoustic power density'
exceeding 0.001 mW/mm\2\/Hz for devices operating at frequencies
below 10 kHz; or
    Technical Note: `Acoustic power density' is obtained by dividing
the output acoustic power by the product of the area of the
radiating surface and the frequency of operation.
    a.1.c.3. Side-lobe suppression exceeding 22 dB;
    a.1.d. Acoustic systems, equipment and specially designed
components for determining the position of surface vessels or
underwater vehicles, designed to operate at a range exceeding 1,000
m with a positioning accuracy of less than 10 m rms (root mean
square) when measured at a range of 1,000 m;
    Note: 6A001.a.1.d includes:
    a. Equipment using coherent ``signal processing'' between two or
more beacons and the hydrophone unit carried by the surface vessel
or underwater vehicle;
    b. Equipment capable of automatically correcting speed-of-sound
propagation errors for calculation of a point.
    a.2. Passive (receiving, whether or not related in normal
application to separate active equipment) systems, equipment and
specially designed components therefor, as follows:
    a.2.a. Hydrophones having any of the following:
    Note: The control status of hydrophones specially designed for
other equipment is determined by the control status of the other
equipment.

    a.2.a.1. Incorporating continuous flexible sensing elements;
    a.2.a.2. Incorporating flexible assemblies of discrete sensing
elements with either a diameter or length less than 20 mm and with a
separation between elements of less than 20 mm;
    a.2.a.3. Having any of the following sensing elements:
    a.2.a.3.a. Optical fibers;
    a.2.a.3.b. `Piezoelectric polymer films' other than
polyvinylidene-fluoride (PVDF) and its co-polymers {P(VDF-TrFE) and
P(VDF-TFE){time} ; or
    a.2.a.3.c. `Flexible piezoelectric composites';
    a.2.a.4. A `hydrophone sensitivity' better than -180dB at any
depth with no acceleration compensation;
    a.2.a.5. Designed to operate at depths exceeding 35 m with
acceleration compensation; or
    a.2.a.6. Designed for operation at depths exceeding 1,000 m;
    Technical Notes: 1. `Piezoelectric polymer film' sensing
elements consist of polarized polymer film that is stretched over
and attached to a supporting frame or spool (mandrel).
     2. `Flexible piezoelectric composite' sensing elements consist
of piezoelectric ceramic particles or fibers combined with an
electrically insulating, acoustically transparent rubber, polymer or
epoxy compound, where the compound is an integral part of the
sensing elements.
    3. `Hydrophone sensitivity' is defined as twenty times the
logarithm to the base 10 of the ratio of rms output voltage to a 1 V
rms reference, when the hydrophone sensor, without a pre-amplifier,
is placed in a plane wave acoustic field with an rms pressure of 1
[mu]Pa. For example, a hydrophone of -160 dB (reference 1 V per
[mu]Pa) would yield an output voltage of 10-\8\ V in such
a field, while one of -180 dB sensitivity would yield only
10-\9\ V output. Thus, -160 dB is better than -180 dB.
    a.2.b. Towed acoustic hydrophone arrays having any of the
following:
    a.2.b.1. Hydrophone group spacing of less than 12.5 m or `able
to be modified' to have hydrophone group spacing of less than 12.5
m;
    a.2.b.2. Designed or `able to be modified' to operate at depths
exceeding 35m;
    Technical Note: `Able to be modified' in 6A001.a.2.b means
having provisions to allow a change of the wiring or
interconnections to alter hydrophone group spacing or operating
depth limits. These provisions are: spare wiring exceeding 10% of
the number of wires, hydrophone group spacing adjustment blocks or
internal depth limiting devices that are adjustable or that control
more than one hydrophone group.
    a.2.b.3. Heading sensors controlled by 6A001.a.2.d;
    a.2.b.4. Longitudinally reinforced array hoses;
    a.2.b.5. An assembled array of less than 40 mm in diameter;
    a.2.b.6. [Reserved]; or
    a.2.b.7. Hydrophone characteristics controlled by 6A001.a.2.a;
    a.2.c. Processing equipment, specially designed for towed
acoustic hydrophone arrays, having ``user accessible
programmability'' and time or frequency domain processing and
correlation, including spectral analysis, digital filtering and
beamforming using Fast Fourier or other transforms or processes;
    a.2.d. Heading sensors having all of the following:
    a.2.d.1. An accuracy of better than 0.5[deg]; and
    a.2.d.2. Designed to operate at depths exceeding 35 m or having
an adjustable or removable depth sensing device in order to operate
at depths exceeding 35 m;
    a.2.e. Bottom or bay cable systems, having any of the following:
    a.2.e.1. Incorporating hydrophones controlled by 6A001.a.2.a; or
    a.2.e.2. Incorporating multiplexed hydrophone group signal
modules having all of the following characteristics:
    a.2.e.2.a. Designed to operate at depths exceeding 35 m or
having an adjustable or removable depth sensing device in order to
operate at depths exceeding 35 m; and
    a.2.e.2.b. Capable of being operationally interchanged with
towed acoustic hydrophone array modules;
    a.2.f. Processing equipment, specially designed for bottom or
bay cable systems, having ``user accessible programmability'' and
time or frequency domain processing and correlation, including
spectral analysis, digital filtering and beamforming using Fast
Fourier or other transforms or processes;
    b. Correlation-velocity and Doppler-velocity sonar log equipment
designed to measure the horizontal speed of the equipment carrier
relative to the sea bed, as follows:
    b.1. Correlation-velocity sonar log equipment having any of the
following characteristics:
    b.1.a. Designed to operate at distances between the carrier and
the sea bed exceeding 500 m; or
    b.1.b. Having speed accuracy better than 1% of speed;
    b.2. Doppler-velocity sonar log equipment having speed accuracy
better than 1% of speed.

    Note 1:
    6A001.b. does not apply to depth sounders limited to any of the
following:
    a. Measuring the depth of water;
    b. Measuring the distance of submerged or buried objects; or
    c. Fish finding.

    Note 2:
    6A001.b. does not apply to equipment specially designed for
installation on surface vessels.

0
31. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 6 Sensors, Export Control Classification Number (ECCN) 6A005
is amended by:
0
a. Revising the citation ``6A005.b.2, b.3, or b.4'' to read
``6A005.a.4, b.2, b.3, b.4'' in paragraph g of the License Requirements
Note;
0
b. Revising the phrase ``Dye and Liquid Lasers controlled by 6A005.c.1
and c.2,'' to read ``Dye and Liquid Lasers controlled by 6A005.c.1, c.2
and c.3,'' in the GBS and CIV paragraphs of the License Exception
section; and

0
32. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 6 Sensors, Export Control Classification Number (ECCN) 6A995,
the Note following paragraph e.2.b is amended by revising the citation
``6A995.e.1.b'' to read ``6A995.e.2.b''.

0
33. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 7 Navigation and Avionics, Export Control Classification
Number (ECCN) 7A002 is amended by removing the term ``drift rate'' and
adding in its place ``bias'' in 7A002.a and 7A002.c.1 in the Items
paragraph of the List of Items Controlled section.

0
34. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 7 Navigation and Avionics, Export Control Classification
Number (ECCN) 7A003 is amended by revising the Items paragraph of the
List of Items Controlled section, to read as follows:

7A003 Inertial Systems and specially designed components therefor.

* * * * *

List of Items Controlled

* * * * *
    Items:
    a. Inertial Navigation Systems (INS) (gimballed or strapdown)
and inertial equipment designed for ``aircraft'', land vehicles,
vessels (surface or underwater) or ``spacecraft'' for navigation,
attitude, guidance or control, having any of the following
characteristics, and specially designed components therefor:
    a.1. Navigation error (free inertial) subsequent to normal
alignment of 0.8 nautical mile per hour (nm/hr) ``Circular Error
Probable'' (``CEP'') or less (better); or
    a.2. Specified to function at linear acceleration levels
exceeding 10 g;
    b. Hybrid Inertial Navigation Systems embedded with Global
Navigation Satellite System(s) (GNSS) or with ``Data-Based
Referenced Navigation'' (``DBRN'') System(s) for navigation,
attitude, guidance or control, subsequent to normal alignment,
having an INS navigation position accuracy, after loss of GNSS or
``DBRN'' for a period of up to 4 minutes, of less (better) than 10
meters ``Circular Error Probable'' (``CEP'');
    c. Inertial Measurement equipment for heading or True North
determination having any of the following, and specially designed
components therefor:
    c.1. Designed to have heading or True North determination
accuracy equal to, or less (better) than 0.07 deg sec (Lat)
equivalent to 6 arc minutes RMS at 45 degrees latitude; or
    c.2. Designed to have a non-operating shock level of 900 g or
greater at a duration of 1-msec or greater;
    d. Inertial measurement equipment including Inertial Measurement
Units (IMU) and Inertial Reference Systems (IRS), incorporating
accelerometers or gyros controlled by 7A001 or 7A002, and specially
designed components therefor.

    Note 1:
    The parameters of 7A003.a and 7A003.b are applicable with any of
the following environmental conditions:
    a. Input random vibration with an overall magnitude of 7.7 g rms
in the 0.5 hour and a total test duration of 1.5 hour per axis in
each of the 3 perpendicular axes, when the random vibration meets
all of the following:
    1. A constant Power Spectral Density (PSD) value of 0.04 g\2\/Hz
over a frequency interval of 15 to 1,000 Hz; and
    2. The PSD attenuates with frequency from 0.04 g\2\/Hz to 0.01
g\2\/Hz over a frequency interval from 1,000 to 2,000 Hz;
    b. An angular rate capability about one or more axes of equal to
or more than +2.62 rad/s (150 deg/s); or
    c. According to national standards equivalent to a. or b. of
this note.

    Note 2:
    7A003 does not control inertial navigation systems that are
certified for use on ``civil aircraft'' by civil authorities of a
Wassenaar Arrangement Participating State, see Supplement No. 1 to
Part 743 for a list of these countries.

    Note 3:
    7A003.c.1 does not control theodolite systems incorporating
inertial equipment specially designed for civil surveying purposes.

    Technical Note:
    7A003.b refers to systems in which an INS and other independent
navigation aids are built into a single unit (embedded) in order to
achieve improved performance.

0
35. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 7 Navigation and Avionics, Export Control Classification
Number (ECCN) 7A008 is amended by revising the Heading and Related
Controls paragraph in the List of Items Controlled section, to read as
follows:

7A008 Underwater sonar navigation systems, using Doppler velocity or
correlation velocity logs integrated with a heading source and having a
positioning accuracy of equal to or less (better) than 3% of distance
traveled ``Circular Error Probable'' (``CEP''), and specially designed
components therefore.

* * * * *

List of Items Controlled

* * * * *
    Related Controls: 7A008 does not control systems specially
designed for installation on surface vessels or systems requiring
acoustic beacons or buoys to provide positioning data. See 6A001.a
for acoustic systems, and 6A001.b for correlation-velocity and
Doppler-velocity sonar log equipment. See 8A002 for other marine
systems.
* * * * *

0
36. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 9 Aerospace and Propulsion, Export Control Classification
Number 9A012 is amended by revising the Heading and the Items paragraph
in the List of Items Controlled section, to read as follows:

9A012 Non-military ``unmanned aerial vehicles,'' (``UAVs''), associated
systems, equipment and components, as follows. (see List of Items
Controlled).

* * * * *

List of Items Controlled

* * * * *
    Items:
    a. ``UAVs'' having any of the following:
     a.1. An autonomous flight control and navigation capability
(e.g., an autopilot with an Inertial Navigation System); or
    a.2. Capability of controlled flight out of the direct visual
range involving a human operator (e.g., televisual remote control);
    b. Associated systems, equipment and components, as follows:
    b.1. Equipment specially designed for remotely controlling the
``UAVs'' controlled by 9A012.a.;
    b.2. Guidance or control systems, other than those controlled in
Category 7, specially designed for integration into ``UAVs''
controlled by 9A012.a.;
    b.3. Equipment and components specially designed to convert a
manned ``aircraft'' to a ``UAV'' controlled by 9A012.a;
    b.4. Air breathing reciprocating or rotary internal combustion
type engines, specially designed or modified to propel ``UAVs'' at
altitudes above 50,000 feet (15,240 meters).

    Note: 9A012 does not control model aircraft.

0
37. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 9 Aerospace and Propulsion, Export Control Classification
Number 9E003 is amended by revising the Heading and the Items paragraph
in the List of Items Controlled section, to read as follows:

9E003 Other ``technology'' as follows (see List of Items Controlled).

* * * * *

List of Items Controlled

* * * * *
    Items:
    a. ``Technology'' ``required'' for the ``development'',
``production'' of any of the following gas turbine engine components
or systems:
    a.1. Gas turbine blades, vanes or tip shrouds, made from
directionally solidified (DS) or single crystal (SC) alloys and
having (in the 001 Miller Index Direction) a stress-rupture life
exceeding 400 hours at 1,273 K (1,000 [deg]C) at a stress of 200
MPa, based on the average property values;
    a.2. Multiple domed combustors operating at average burner
outlet temperatures exceeding 1,813 K (1,540 [deg]C) or combustors
incorporating thermally decoupled combustion liners, non-metallic
liners or non-metallic shells;
    a.3. Components manufactured from any of the following:
    a.3.a. Organic ``composite'' materials designed to operate above
588 K (315 [deg]C);
    a.3.b. Metal ``matrix'' ``composite'', ceramic ``matrix'',
intermetallic or intermetallic reinforced materials, controlled by
1C007; or
    a.3.c. ``Composite'' material controlled by 1C010 and
manufactured with resins controlled by 1C008;
    a.4. Uncooled turbine blades, vanes, tip-shrouds or other
components, designed to operate at gas path total (stagnation)
temperatures of 1,323 K (1,050 [deg]C) or more at sea-level static
take-off (ISA) in a `steady state mode' of engine operation;
    a.5. Cooled turbine blades, vanes or tip-shrouds, other than
those described in 9E003.a.1, exposed to gas path total (stagnation)
temperatures of 1,643 K (1,370 [deg]C) or more at sea-level static
take-off (ISA) in a `steady state mode' of engine operation;

    Technical Note: The term `steady state mode' defines engine
operation conditions, where the engine parameters, such as thrust/
power, rpm and others, have no appreciable fluctuations, when the
ambient air temperature and pressure at the engine inlet are
constant.

    a.6. Airfoil-to-disk blade combinations using solid state
joining;
    a.7. Gas turbine engine components using ``diffusion bonding''
``technology'' controlled by 2E003.b;
    a.8. Damage tolerant gas turbine engine rotating components
using powder metallurgy materials controlled by 1C002.b;
    a.9. Full authority digital electronic engine control (FADEC)
for gas turbine and combined cycle engines and their related
diagnostic components, sensors and specially designed components;
    a.10. Adjustable flow path geometry and associated control
systems for:
    a.10.a. Gas generator turbines;
    a.10.b. Fan or power turbines;
    a.10.c. Propelling nozzles; or

    Note 1:
    Adjustable flow path geometry and associated control systems in
9E003.a.10 do not include inlet guide vanes, variable pitch fans,
variable stators or bleed valves for compressors.

    Note 2:
    9E003.a.10 does not control ``development'' or ``production''
``technology'' for adjustable flow path geometry for reverse thrust.

    a.11. Hollow fan blades;
    b. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following:
    b.1. Wind tunnel aero-models equipped with non-intrusive sensors
capable of transmitting data from the sensors to the data
acquisition system; or
    b.2. ``Composite'' propeller blades or propfans, capable of
absorbing more than 2,000 kW at flight speeds exceeding Mach 0.55;
    c. ``Technology'' ``required'' for the ``development'' or
``production'' of gas turbine engine components using ``laser'',
water jet, Electro-Chemical Machining (ECM) or Electrical Discharge
Machines (EDM) hole drilling processes to produce holes having any
of the following:
    c.1. All of the following:
    c.1.a. Depths more than four times their diameter;
    c.1.b. Diameters less than 0.76 mm; and
    c.1.c. `Incidence angles' equal to or less than 25[deg]; or
    c.2. All of the following:

    c.2.a. Depths more than five times their diameter;
    c.2.b. Diameters less than 0.4 mm; and
    c.2.c. `Incidence angles' of more than 25[deg];

    Technical Note:
    For the purposes of 9E003.c, incidence angle is measured from a
plane tangential to the airfoil surface at the point where the hole
axis enters the airfoil surface.

    d. ``Technology'' ``required'' for the ``development'' or
``production'' of helicopter power transfer systems or tilt rotor or
tilt wing ``aircraft'' power transfer systems;
    e. ``Technology'' for the ``development'' or ``production'' of
reciprocating diesel engine ground vehicle propulsion systems having
all of the following:
    e.1. `Box volume' of 1.2 m\3\ or less;
    e.2. An overall power output of more than 750 kW based on 80/
1269/EEC, ISO 2534 or national equivalents; and
    e.3. Power density of more than 700 kW/m\3\ of `box volume';

    Technical Note:
    `Box volume' is the product of three perpendicular dimensions
measured in the following way:

    Length: The length of the crankshaft from front flange to
flywheel face;
    Width: The widest of any of the following:
    a. The outside dimension from valve cover to valve cover;
    b. The dimensions of the outside edges of the cylinder heads; or
    c. The diameter of the flywheel housing;
    Height: The largest of any of the following:
    a. The dimension of the crankshaft center-line to the top plane
of the valve cover (or cylinder head) plus twice the stroke; or
    b. The diameter of the flywheel housing.
    f. ``Technology'' ``required'' for the ``production'' of
specially designed components, for high output diesel engines, as
follows:
    f.1. ``Technology'' ``required'' for the ``production'' of
engine systems having all of the following components employing
ceramics materials controlled by 1C007:
    f.1.a Cylinder liners;
    f.1.b. Pistons;
    f.1.c. Cylinder heads; and
    f.1.d. One or more other components (including exhaust ports,
turbochargers, valve guides, valve assemblies or insulated fuel
injectors);
    f.2. ``Technology'' ``required'' for the ``production'' of
turbocharger systems with single-stage compressors and having all of
the following:
    f.2.a. Operating at pressure ratios of 4:1 or higher;
    f.2.b. Mass flow in the range from 30 to 130 kg per minute; and
    f.2.c. Variable flow area capability within the compressor or
turbine sections;
    f.3. ``Technology'' ``required'' for the ``production'' of fuel
injection systems with a specially designed multifuel (e.g., diesel
or jet fuel) capability covering a viscosity range from diesel fuel
(2.5 cSt at 310.8 K (37.8 [deg]C)) down to gasoline fuel (0.5 cSt at
310.8 K (37.8 [deg]C)) and having all of the following:
    f.3.a. Injection amount in excess of 230 mm\3\ per injection per
cylinder; and
    f.3.b. Electronic control features specially designed for
switching governor characteristics automatically depending on fuel
property to provide the same torque characteristics by using the
appropriate sensors;
    g. ``Technology'' ``required'' for the development'' or
``production'' of `high output diesel engines' for solid, gas phase
or liquid film (or combinations thereof) cylinder wall lubrication
and permitting operation to temperatures exceeding 723 K (450
[deg]C), measured on the cylinder wall at the top limit of travel of
the top ring of the piston;

    Technical Note:
    `High output diesel engines' are diesel engines with a specified
brake mean effective pressure of 1.8 MPa or more at a speed of 2,300
r.p.m., provided the rated speed is 2,300 r.p.m. or more.

    h. ``Technology'' not otherwise controlled in 9E003.a.1 through
a.10 and currently used in the ``development'', ``production'', or
overhaul of hot section parts and components of civil derivatives of
military engines controlled on the U.S. Munitions List.

    Dated: September 26, 2008.
Christopher R. Wall,
Assistant Secretary for Export Administration.
[FR Doc. E8-23278 Filed 10-10-08; 8:45 am]

BILLING CODE 3510-33-P


[Federal Register Volume 76, Number 67 (Thursday, April 7, 2011)]
[Notices]
[Page 19351]
[FR Doc No: 2011-8259]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER11-3212-000]

XO Energy NY, LP; Supplemental Notice that Initial Market-Based
Rate Filing Includes Request for Blanket Section 204 Authorization

    This is a supplemental notice in the above-referenced proceeding of
XO Energy NY, LP's application for market-based rate authority, with an
accompanying rate tariff, noting that such application includes a
request for blanket authorization, under 18 CFR part 34, of future
issuances of securities and assumptions of liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street, NE.,
Washington, DC 20426, in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214). Anyone filing a motion to intervene or protest must serve a
copy of that document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is April 19, 2011.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street, NE., Washington, DC 20426.
    The filings in the above-referenced proceeding are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive e-mail notification
when a document is added to a subscribed docket(s). For assistance with
any FERC Online service, please e-mail<EMAIL_ADDRESS>or
call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

    Dated: March 30, 2011.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2011-8259 Filed 4-6-11; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 86, Number 123 (Wednesday, June 30, 2021)]
[Notices]
[Pages 34819-34821]
[FR Doc No: 2021-13914]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-92254; File No. SR-NYSEAMER-2021-31]

Self-Regulatory Organizations; NYSE American LLC; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Amend
Rule 7.31E To Add a Retail Order Modifier and the NYSE American
Equities Price List and Fee Schedule To Cross Reference the Retail
Order Modifier

June 24, 2021.
    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 June 21, 2021, NYSE American LLC (``NYSE American'' or
``Exchange'') 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 amend its rules to add new subparagraph
(i)(4) to Rule 7.31E and amend the NYSE American Equities Price List
and Fee Schedule. The proposed rule change is available on the
Exchange's website 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 proposes to amend its rules to add new subparagraph
(i)(4) to Rule 7.31E (Orders and Modifiers) to add a description of a
Retail Order modifier and to amend the Price List to add a cross-
reference to Rule 7.31E(i)(4).
Proposed Rule Change
    The Exchange proposes to amend Rule 7.31E to add new subparagraph
(i)(4) to provide for ETP Holders \4\ to designate an order with a
retail modifier (``Retail Order''). An order designated as a ``Retail
Order'' pursuant to proposed Rule 7.31E(i)(4) would be eligible for the
Retail Order Rates specified on the Exchange's Price List.
---------------------------------------------------------------------------

    \4\ See Rules 1.1E(m) (definition of ETP) & (n) (definition of
ETP Holder).
---------------------------------------------------------------------------

Proposed Modifier for ``Retail Orders''
    To define ``Retail Orders,'' the Exchange proposes to amend Rule
7.31E (Orders and Modifiers) to add a new subsection (i)(4), titled
``Retail Modifier'' to establish requirements for Retail Orders on the
Exchange. These requirements are based on the requirements to enter
orders with ``retail'' modifiers for purposes of rates

available for such orders on the Exchange's affiliates, New York Stock
Exchange, LLC (``NYSE'') and NYSE Arca, Inc. (``NYSE Arca'').\5\
---------------------------------------------------------------------------

    \5\ See NYSE Rule 13 regarding Retail Modifiers and the NYSE
Arca procedures for designating orders with a retail modifier for
purposes of fee rates. See Securities Exchange Act Release No. 67540
(July 30, 2012), 77 FR 46539 (August 3, 2012) (SR-NYSEArca-2012-77).
These requirements are distinct from, but related to, the
requirements for a ``Retail Order'' on the Retail Liquidity Programs
available on NYSE and NYSE Arca. See NYSE Rule 7.44 and NYSE Arca
Rule 7.44-E. The Exchange does not offer a ``Retail Liquidity
Program.''
---------------------------------------------------------------------------

    Proposed Rule 7.31E(i)(4)(A) would define ``Retail Order'' as an
agency order or a riskless principal order that meets the criteria of
FINRA Rule 5320.03 that originates from a natural person and is
submitted to the Exchange by an ETP Holder, provided that no change is
made to the terms of the order with respect to price or side of market
and the order does not originate from a trading algorithm or any other
computerized methodology.
    Proposed Rule 7.31E(i)(4)(B) would specify that in order for an ETP
Holder to access the proposed Retail Order pricing, the ETP Holder
would be required to designate an order as a Retail Order in the form
and/or manner prescribed by the Exchange.
    Proposed Rule 7.31E(i)(4)(C) would specify that in order to submit
a Retail Order, an ETP Holder must submit an attestation, in a form
prescribed by the Exchange, that substantially all orders designated as
``Retail Orders'' would meet the requirements set out in the definition
above.
    Proposed Rule 7.31E(i)(4)(D) would specify that an ETP Holder must
have written policies and procedures reasonably designed to assure that
it would only designate orders as ``Retail Orders'' if all requirements
of a Retail Order are met. Such written policies and procedures must
require the ETP Holder to (i) exercise due diligence before entering a
Retail Order to assure that entry as a Retail Order is in compliance
with the requirements specified by the Exchange, and (ii) monitor
whether orders entered as Retail Orders meet the applicable
requirements. If an ETP Holder represents Retail Orders from another
broker-dealer customer, the ETP Holder's supervisory procedures must be
reasonably designed to assure that the orders it receives from such
broker-dealer customer that it designates as Retail Orders meet the
definition of a Retail Order. The ETP Holder must (i) obtain an annual
written representation, in a form acceptable to the Exchange, from each
broker-dealer customer that sends it orders to be designated as Retail
Orders that entry of such orders as Retail Orders would be in
compliance with the requirements specified by the Exchange, and (ii)
monitor whether its broker-dealer customer's Retail Order flow
continues to meet the applicable requirements. Proposed Rule
7.31E(i)(4)(E) would specify that an ETP Holder that fails to abide by
the requirements specified in paragraphs (i)(4)(A)-(D) of Rule 7.31E
would not be eligible for the Retail Order rates for orders it
designates as ``Retail Orders.''
Proposed Cross-Reference in the Price List to Rule 7.31E(i)(4)
    The Price List currently contains a subheading ``b. Retail Order
Rates *,'' with text at the asterisk as follows: ``See section III
under `General' at the end of this Price List for information on
designating orders as `Retail Orders.' '' The Exchange proposes to
amend that text to also include a reference to Rule 7.31E(i)(4).
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\6\ in general, and furthers the
objectives of Sections 6(b)(5) of the Act,\7\ in particular, because it
is designed to prevent fraudulent and manipulative acts and practices,
to promote just and equitable principles of trade, to foster
cooperation and coordination with persons engaged in regulating,
clearing, settling, processing information with respect to, and
facilitating transactions in securities, 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
and because it is not designed to permit unfair discrimination between
customers, issuers, brokers, or dealers.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78f(b).
    \7\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that the proposed amendment to Rule 7.31E(i)
to add a Retail Modifier would remove impediments to and perfect the
mechanism of a free and open market and a national market system
because the proposed requirements are based on existing requirements
for orders designated as ``retail'' on NYSE and NYSE Arca for purposes
of fees and credits on those exchanges, and therefore are not novel. In
addition, the proposed designation, attestation, and written policies
and procedures are also based on existing procedures for similarly-
defined orders on NYSE and NYSE Arca, and therefore are not novel.\8\
The Exchange believes that the proposed requirements to submit
attestations and to maintain written policies and procedures are not
unfairly discriminatory, because they apply equally to all ETP Holders
that wish to receive the Retail Order Rates. The Exchange further
believes that the proposed addition of a cross-reference to proposed
Rule 7.31E(i)(4) in the Price List would remove impediments to and
perfect the mechanism of a free and open market and a national market
system because it would enhance the clarity and transparency of the
Price List and reduce any potential customer confusion.
---------------------------------------------------------------------------

    \8\ As noted above (see supra note 11[sic]), the proposed
changes are based not on the Retail Liquidity Programs available on
NYSE and NYSE Arca, but on the availability of retail fees on those
exchanges for orders properly designated as ``retail'' orders. See
NYSE Rule 13; Securities Exchange Act Release No. 72253 (May 27,
2014), 79 FR 31353 (June 2, 2014) (SR-NYSE-2014-26) (approving the
addition of ``retail'' order modifier at NYSE Rule 13(f)); and
Securities Exchange Act Release No. 67540 (July 30, 2012), 77 FR
46539 (August 3, 2012) (SR-NYSEArca-2012-77) (approving the addition
of ``retail'' order modifier on NYSE Arca).
---------------------------------------------------------------------------

    The proposed retail modifier for purposes of providing different
rates for ``Retail Orders'' is also based in part on the availability
of such modifiers on the Nasdaq Stock Market LLC (``Nasdaq'') and Cboe
EDGX Exchange, Inc. (``EDGX''), which both offer pricing for orders
designated as ``retail'' under their respective rules, even in the
absence of a retail price improvement program. For example, Nasdaq
defines the term ``Designated Retail Order'' on its Price List as:

    [A]n agency or riskless principal order that meets the criteria
of FINRA Rule 5320.03 and that originates from a natural person and
is submitted to Nasdaq by a member that designates it pursuant to
this section, provided that no change is made to the terms of the
order with respect to price or side of market and the order does not
originate from a trading algorithm or any other computerized
methodology. An order from a ``natural person'' can include orders
on behalf of accounts that are held in a corporate legal form--such
as an Individual Retirement Account, Corporation, or a Limited
Liability Company--that has been established for the benefit of an
individual or group of related family members, provided that the
order is submitted by an individual. Members must submit a signed
written attestation, in a form prescribed by Nasdaq, that they have
implemented policies and procedures that are reasonably designed to
ensure that substantially all orders designated by the member as
``Designated Retail Orders'' comply with these requirements. Orders
may be designated on an order by-order basis, or by designating all
orders on a particular order entry port as Designated Retail
Orders.\9\
---------------------------------------------------------------------------

    \9\ Nasdaq Equity 7, section 118; see also Cboe EDGX Rule 11.21
(defining ``Retail Order'' and establishing attestation requirement
to access preferential pricing for such orders).

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

    Nasdaq does not have a corresponding definition of ``Designated
Retail Order'' in its trading rules.

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

    In accordance with Section 6(b)(8) of the Act,\10\ the Exchange
believes that the proposed rule change would not impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Act. Instead, the Exchange believes that the proposed
rule change would promote competition because it is based on the
availability of similar ``retail'' modifiers on NYSE, NYSE Arca,
Nasdaq, and EDGX. More specifically, multiple other cash equity
exchanges offer pricing for orders designated as ``retail'' orders,
even in the absence of a retail price improvement program on those
exchanges.\11\ The Exchange believes that the proposed change could
promote competition between the Exchange and other execution venues,
including those that currently offer similar order types and comparable
transaction pricing, by encouraging additional orders to be sent to the
Exchange for execution.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78f(b)(8).
    \11\ See supra note 17 [sic].
---------------------------------------------------------------------------

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 Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \12\ and Rule 19b-4(f)(6) thereunder.\13\
Because the proposed rule change: (i) Does not significantly affect the
protection of investors or the public interest; (ii) does not impose
any significant burden on competition; and (iii) does not become
operative prior to 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, the proposed rule
change has become effective pursuant to Section 19(b)(3)(A) of the Act
and Rule 19b-4(f)(6)(iii) thereunder.\14\
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \13\ 17 CFR 240.19b-4(f)(6).
    \14\ 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) \15\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b-4(f)(6)(iii),\16\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that the proposal
may become operative immediately upon filing. The Commission notes that
the proposal is based on the rules of other national securities
exchanges and finds that the proposal presents no legal or novel
regulatory questions.\17\ For these reasons, the Commission believes
that waiving the 30-day operative delay is consistent with the
protection of investors and the public interest. Accordingly, the
Commission waives the 30-day operative delay and designates the
proposed rule change operative upon filing.\18\
---------------------------------------------------------------------------

    \15\ 17 CFR 240.19b-4(f)(6).
    \16\ 17 CFR 240.19b-4(f)(6)(iii).
    \17\ See supra note 5.
    \18\ 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 such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \19\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
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    \19\ 15 U.S.C. 78s(b)(2)(B).
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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-NYSEAMER-2021-31 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-NYSEAMER-2021-31. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSEAMER-2021-31 and should be submitted
on or before July 21, 2021.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\20\
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    \20\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-13914 Filed 6-29-21; 8:45 am]
BILLING CODE 8011-01-P