[Federal Register Volume 88, Number 121 (Monday, June 26, 2023)]
[Notices]
[Pages 41441-41442]
[FR Doc No: 2023-13451]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-97765; File No. SR-OCC-2022-012]

Self-Regulatory Organizations; Options Clearing Corporation;
Notice of Designation of Longer Period for Commission Action on
Proceedings To Determine Whether To Approve or Disapprove a Proposed
Rule Change Concerning the Options Clearing Corporation's Collateral
Haircuts and Standards for Clearing Banks and Letters of Credit

June 20, 2023.
    On December 5, 2022, the Options Clearing Corporation (``OCC'')
filed with the Securities and Exchange Commission (``Commission'') the
proposed rule change SR-OCC-2022-012 (``Proposed Rule Change'')
pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Exchange Act'') \1\ and Rule 19b-4 thereunder \2\ to change rules,
policies, and procedures regarding collateral haircuts, minimum
standards for clearing banks and letter-

of-credit issuers, and concentration limits for letters of credit.\3\
The Proposed Rule Change was published for public comment in the
Federal Register on December 23, 2022.\4\ The Commission has received
comments regarding the Proposed Rule Change.\5\
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Notice of Filing infra note 4, at 87 FR at 79015.
    \4\ Securities Exchange Act Release No. 96533 (Dec. 19, 2022),
87 FR 79015 (Dec. 23, 2022) (File No. SR-OCC-2022-012) (``Notice of
Filing'').
    \5\ Comments are available at https://www.sec.gov/comments/sr-occ-2022-012/srocc2022012.htm.
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    On February 3, 2023, pursuant to Section 19(b)(2) of the Exchange
Act,\6\ the Commission designated a longer period within which to
approve, disapprove, or institute proceedings to determine whether to
approve or disapprove the Proposed Rule Change.\7\ On March 21, 2023,
the Commission instituted proceedings, pursuant to Section 19(b)(2)(B)
of the Act,\8\ to determine whether to approve or disapprove the
Proposed Rule Change.\9\
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    \6\ 15 U.S.C. 78s(b)(2).
    \7\ Securities Exchange Act Release No. 96797 (Feb. 3, 2023), 88
FR 8505 (Feb. 9, 2023) (SR-OCC-2022-012).
    \8\ 15 U.S.C. 78s(b)(2)(B).
    \9\ Securities Exchange Act Release No. 97178 (Mar. 21, 2023),
88 FR 18205 (Mar. 27, 2023) (File No. SR-OCC-2022-012).
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    Section 19(b)(2)(B)(ii) of the Act provides that, after initiating
proceedings, the Commission shall issue an order approving or
disapproving the proposed rule change not later than 180 days after the
date of publication of notice of filing of the proposed rule
change.\10\ The Commission may, however, extend the period for issuing
an order approving or disapproving the proposed rule change by not more
than 60 days if the Commission determines that a longer period is
appropriate and publishes the reasons for such determination.\11\
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    \10\ 15 U.S.C. 78s(b)(2)(B)(ii).
    \11\ Id.
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    The 180th day after publication of the Notice in the Federal
Register is June 21, 2023. The Commission finds it appropriate to
designate a longer period within which to issue an order approving or
disapproving the Proposed Rule Change so that it has sufficient time to
consider the Proposed Rule Change and the comments received.
Accordingly, the Commission, pursuant to Section 19(b)(2)(B)(ii) of the
Act,\12\ designates August 20, 2023 as the date by which the Commission
shall either approve or disapprove the Proposed Rule Change SR-OCC-
2022-012.
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    \12\ Id.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\13\
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    \13\ 17 CFR 200.30-3(a)(57).
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J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2023-13451 Filed 6-23-23; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: December 21, 2006 (Volume 71, Number 245)]
[Notices]
[Page 76710-76714]
[DOCID:fr21de06-109]

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SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 27599; 812-13029]

ProFunds, et al.; Notice of Application

December 14, 2006.
AGENCY: Securities and Exchange Commission (``Commission'').

ACTION: Notice of an application for an order under section 12(d)(1)(J)
of the Investment Company Act of 1940 (the ``Act'') for exemption from
sections 12(d)(1)(A) and (B) of the Act and under sections 6(c) and
17(b) of the Act for an exemption from section 17(a) of the Act.

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    Summary of the Application: The order would permit certain
management investment companies and unit investment trusts registered
under the Act to acquire shares of certain open-end management
investment companies and unit investment trusts registered under the
Act, including those that operate as exchange-traded funds, that are
outside the same group of investment companies as the acquiring
investment companies.
    Applicants: ProFunds, Access One Trust, ProShares Trust (``ETF
Trust,'' and together with ProFunds and Access One Trust, the
``Trusts''), ProShare Advisors LLC (``ProShare Advisors''), and ProFund
Advisors LLC (``ProFund Advisors,'' and together with ProShare
Advisors, the ``Advisers'').
    Filing Dates: The application was filed on October 7, 2003, and
amended on June 3, 2004, July 15, 2005, and October 6, 2006. Applicants
have agreed to file an amendment during the notice period, the
substance of which is reflected in this notice.
    Hearing or Notification of Hearing: An order granting the
application will be issued unless the Commission orders a hearing.
Interested persons may request a hearing by writing to the Commission's
Secretary and serving applicants with a copy of the request, personally
or by mail. Hearing requests should be received by the Commission by
5:30 p.m. on January 8, 2007, and should be accompanied by proof of
service on applicants, in the form of an affidavit or, for lawyers, a
certificate of service. Hearing requests should state the nature of the
writer's interest, the reason for the request, and the issues
contested. Persons who wish to be notified of a hearing may request
notification by writing to the Commission's Secretary.

ADDRESSES: Secretary, U.S. Securities and Exchange Commission, 100 F
Street, NE., Washington, DC 20549-1090; Applicants, 7501 Wisconsin
Avenue, Suite 1000, Bethesda, MD 20814.

FOR FURTHER INFORMATION CONTACT: John Yoder, Senior Counsel, at (202)
551-6878, or Michael W. Mundt, Senior Special Counsel, at (202) 551-
6821 (Division of Investment Management, Office of Investment Company
Regulation).

SUPPLEMENTARY INFORMATION: The following is a summary of the
application. The complete application may be obtained for a fee at the
Public Reference Desk, U.S. Securities and Exchange Commission, 100 F
Street, NE., Washington, DC 20549-0102 (telephone<PHONE_NUMBER>).

Applicants' Representations

    1. The Trusts are open-end management investment companies
registered under the Act and are each comprised of separate series
(``Funds'') that pursue distinct investment objectives and strategies.
Shares of certain Funds of ProFunds and Access One Trust are sold
publicly to retail investors, and shares of other such Funds are sold
to insurance company separate accounts funding variable life and
variable annuity contracts. The Funds of the ETF Trust (``ETF Funds'')
rely on an order from the Commission that allows the ETF Funds to
operate as exchange-traded funds and to redeem their shares in large
aggregations (``Creation Units'').\1\ Certain Funds pursue their
investment objectives

through a master-feeder arrangement in reliance on section 12(d)(1)(E)
of the Act.\2\ ProFund Advisors is registered as an investment adviser
under the Investment Advisers Act of 1940 (``Advisers Act'') and serves
as investment adviser to each Fund of ProFunds and Access One Trust.
ProShare Advisors is registered as an investment adviser under the
Advisers Act and serves as investment adviser to each ETF Fund.
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    \1\ ProShares Trust, et al., Investment Company Act Release Nos.
27323 (May 18, 2006) (notice) and 27394 (June 13, 2006) (order)
(``ETF Order'').
    \2\ A Fund of Funds (as defined below) may not invest in a Fund
that serves as a feeder Fund unless the feeder Fund is part of the
same group of investment companies as its corresponding master fund.
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    2. Applicants request relief to permit registered management
investment companies and unit investment trusts registered under the
Act that are not part of the same ``group of investment companies,''
within the meaning of section 12(d)(1)(G)(ii) of the Act, as the Trusts
(such management investment companies are ``Investing Management
Companies,'' such unit investment trusts are ``Investing Trusts,'' and
Investing Management Companies and Investing Trusts are collectively
``Funds of Funds''), to acquire shares of the Funds in excess of the
limits in section 12(d)(1)(A) of the Act, and to permit a Fund, any
principal underwriter for a Fund, and any broker or dealer registered
under the Securities Exchange Act of 1934 (``Broker'') to sell shares
of a Fund to a Fund of Funds in excess of the limits of section
12(d)(1)(B) of the Act. Applicants request that the relief apply to:
(1) Each open-end management investment company or unit investment
trust registered under the Act that currently or subsequently is part
of the same ``group of investment companies,'' within the meaning of
section 12(d)(1)(G)(ii) of the Act, as the Trusts and is advised or
sponsored by the Advisers or any entity controlling, controlled by, or
under common control with the Advisers (such open-end management
investment companies are ``Open-end Funds,'' such unit investment
trusts are ``UIT Funds,'' and both Open-end Funds and UIT Funds are
``Funds''); (2) each Fund of Funds that enters into a Participation
Agreement (as defined below) with a Fund to purchase shares of the
Funds; and (3) any principal underwriter to a Fund or Broker selling
shares of a Fund.\3\
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    \3\ All entities that currently intend to rely on the requested
order are named as applicants. Any other entity that relies on the
order in the future will comply with the terms and conditions of the
application. A Fund of Funds may rely on the requested order only to
invest in the Funds and not in any other registered investment
company.
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    3. Each Investing Management Company will be advised by an
investment adviser within the meaning of section 2(a)(20)(A) of the Act
and registered as an investment adviser under the Advisers Act or
exempt from registration (``Fund of Funds Adviser''). A Fund of Funds
Adviser may contract with an investment adviser which meets the
definition of section 2(a)(20)(B) of the Act (a ``Subadviser''). Each
Investing Trust will have a sponsor (``Sponsor'').
    4. Applicants state that the Funds will offer the Funds of Funds
simple and efficient investment vehicles to achieve their asset
allocation or diversification objectives. Applicants state that the
Funds also provide high quality, professional investment program
alternatives to Funds of Funds that do not have sufficient assets to
operate comparable funds.

Applicants' Legal Analysis

A. Section 12(d)(1)

    1. Section 12(d)(1)(A) of the Act, in relevant part, prohibits a
registered investment company from acquiring shares of an investment
company if the securities represent more than 3% of the total
outstanding voting stock of the acquired company, more than 5% of the
total assets of the acquiring company, or, together with the securities
of any other investment companies, more than 10% of the total assets of
the acquiring company. Section 12(d)(1)(B) of the Act prohibits a
registered open-end investment company, its principal underwriter, and
any broker or dealer from selling its shares to another investment
company if the sale will cause the acquiring company to own more than
3% of the acquired company's voting stock, or if the sale will cause
more than 10% of the acquired company's voting stock to be owned by
investment companies generally.
    2. Section 12(d)(1)(J) of the Act provides that the Commission may
exempt any person, security, or transaction, or any class or classes of
persons, securities or transactions, from any provision of section
12(d)(1) if the exemption is consistent with the public interest and
the protection of investors. Applicants seek an exemption under section
12(d)(1)(J) of the Act to permit Funds of Funds to acquire shares of
the Funds in excess of the limits in section 12(d)(1)(A) of the Act,
and a Fund, any principal underwriter for a Fund and any Broker to sell
shares of a Fund to a Fund of Funds in excess of the limits of section
12(d)(1)(B) of the Act.
    3. Applicants state that the proposed arrangement and conditions
will adequately address the policy concerns underlying sections
12(d)(1)(A) and (B) of the Act, which include concerns about undue
influence by a fund of funds over underlying funds, excessive layering
of fees, and overly complex fund structures. Accordingly, applicants
believe that the requested exemption is consistent with the public
interest and the protection of investors.
    4. Applicants believe that neither the Fund of Funds nor a Fund of
Funds Affiliate would be able to exert undue influence over the
Funds.\4\ To limit the control that a Fund of Funds may have over a
Fund, applicants propose a condition prohibiting the Fund of Funds
Adviser or Sponsor, any person controlling, controlled by, or under
common control with the Fund of Funds Adviser or Sponsor, and any
investment company or issuer that would be an investment company but
for sections 3(c)(1) or 3(c)(7) of the Act that is advised or sponsored
by the Fund of Funds Adviser or Sponsor, or any person controlling,
controlled by, or under common control with the Fund of Funds Adviser
or Sponsor (``Fund of Funds Advisory Group'') from controlling
(individually or in the aggregate) a Fund within the meaning of section
2(a)(9) of the Act. The same prohibition would apply to the Subadviser,
any person controlling, controlled by or under common control with the
Subadviser, and any investment company or issuer that would be an
investment company but for section 3(c)(1) or 3(c)(7) of the Act (or
portion of such investment company or issuer) advised or sponsored by
the Subadviser or any person controlling, controlled by or under common
control with the Subadviser (``Subadviser Group''). Applicants propose
other conditions to limit the potential for undue influence over the
Funds, including that no Fund of Funds or Fund of Funds Affiliate
(except to the extent it is acting in its capacity as an investment
adviser to an Open-end Fund or sponsor to a UIT Fund) will cause a Fund
to purchase a security in an offering of securities during the
existence of any underwriting or selling syndicate of which a principal
underwriter is an Underwriting Affiliate (``Affiliated Underwriting'').
An ``Underwriting Affiliate'' is a principal

underwriter in any underwriting or selling syndicate that is an
officer, director, member of an advisory board, Fund of Funds Advisor,
Subadviser, Sponsor, or employee of the Fund of Funds, or a person of
which any such officer, director, member of an advisory board, Fund of
Funds Adviser, Subadviser, Sponsor or employee is an affiliated person.
An Underwriting Affiliate does not include a person whose relationship
to a Fund is covered by section 10(f) of the Act.
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    \4\ A ``Fund of Funds Affiliate'' is a Fund of Funds Adviser,
Subadviser, Sponsor, promoter, or principal underwriter of a Fund of
Funds, and any person controlling, controlled by, or under common
control with any of those entities. A ``Fund Affiliate'' is an
investment adviser, sponsor, promoter, or principal underwriter of a
Fund, and any person controlling, controlled by, or under common
control with any of those entities.
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    5. Applicants do not believe that the proposed arrangement will
involve excessive layering of fees. The board of directors or trustees
of each Investing Management Company, including a majority of the
directors or trustees who are not ``interested persons'' (within the
meaning of section 2(a)(19) of the Act) (``Disinterested Trustees''),
will find that the advisory fees charged to the Investing Management
Company are based on services provided that will be in addition to,
rather than duplicative of, the services provided under the advisory
contract(s) of any Open-end Fund in which the Investing Management
Company may invest. In addition, a Fund of Funds Advisor, trustee or
Sponsor of a Fund of Funds will waive fees otherwise payable to it by
the Fund of Funds, as applicable, in an amount at least equal to any
compensation (including fees received pursuant to any plan adopted by
an Open-end Fund under rule 12b-1 under the Act) received from a Fund
by the Fund of Funds Advisor, trustee or Sponsor or an affiliated
person of the Fund of Funds Adviser, trustee or Sponsor, other than
advisory fees paid to the Fund of Funds Adviser, trustee or Sponsor, or
its affiliated person by an Open-end Fund, in connection with the
investment by the Fund of Funds in the Fund. Applicants also state that
with respect to registered separate accounts that invest in a Fund of
Funds, no sales load will be charged at the Fund of Funds level or at
the Fund level. Other sales charges and service fees, as defined in
Rule 2830 of the Conduct Rules of the National Association of
Securities Dealers, Inc. (``NASD''), if any, will only be charged at
the Fund of Funds level or at the Fund level, not both. With respect to
other investments in a Fund of Funds, any sales charges and/or service
fees charged with respect to shares of the Fund of Funds will not
exceed the limits applicable to a fund of funds as set forth in Rule
2830 of the NASD Conduct Rules.
    6. Applicants submit that the proposed arrangement will not create
an overly complex fund structure. Applicants note that no Fund may
acquire securities of any investment company or company relying on
section 3(c)(1) or 3(c)(7) of the Act in excess of the limits contained
in section 12(d)(1)(A) of the Act, except to the extent permitted by
section 12(d)(1)(E) of the Act, an exemptive order that allows the Fund
to purchase shares of an affiliated money market fund for short-term
cash management purposes or rule 12d1-1 under the Act. Applicants also
represent that to ensure that the Funds of Funds comply with the terms
and conditions of the requested relief from section 12(d)(1) of the
Act, a Fund of Funds must enter into a participation agreement between
a Trust, on behalf of the relevant Funds, and the Funds of Funds
(``Participation Agreement'') before investing in a Fund beyond the
limits imposed by section 12(d)(1)(A). The Participation Agreement will
require the Fund of Funds to adhere to the terms and conditions of the
requested order. The Participation Agreement will include an
acknowledgment from the Fund of Funds that it may rely on the requested
order only to invest in the Funds and not in series of any other
registered investment company. The Participation Agreement will further
require each Fund of Funds that exceeds the 5% or 10% limitations in
sections 12(d)(1)(A)(ii) and (iii) of the Act to disclose in its
prospectus that it may invest in the Funds, and to disclose, in ``plain
English,'' in its prospectus the unique characteristics of the Fund of
Funds investing in the Funds, including but not limited to the expense
structure and any additional expenses of investing in the Funds. Each
Fund of Funds also will comply with the disclosure requirements set
forth in Investment Company Act Release No. 27399 (June 20, 2006).
    7. Applicants also note that a Fund may choose to reject a direct
purchase by a Fund of Funds. To the extent that a Fund of Funds
purchases shares of an ETF Fund in the secondary market, the ETF Fund
would still retain its ability to reject purchases of its shares
through its decision to enter into the Participation Agreement prior to
any investment by a Fund of Funds in excess of the limits of section
12(d)(1)(A).

B. Section 17(a)

    1. Section 17(a) of the Act generally prohibits sales or purchases
of securities between a registered investment company and any
affiliated person of the company. Section 2(a)(3) of the Act defines an
``affiliated person'' of another person to include any person 5% or
more of whose outstanding voting securities are directly or indirectly
owned, controlled, or held with power to vote by the other person.
    2. Applicants seek relief from section 17(a) to permit a Fund that
is an affiliated person of a Fund of Funds because the Fund of Funds
holds 5% or more of the Fund's shares to sell its shares to and redeem
its shares from a Fund of Funds.\5\ Applicants believe that any
proposed transactions directly between Funds and Funds of Funds will be
consistent with the policies of each Fund and Fund of Funds. The
Participation Agreement will require any Fund of Funds that purchases
shares from a Fund to represent that the purchase of shares from the
Fund by a Fund of Funds will be accomplished in compliance with the
investment restrictions of the Fund of Funds and will be consistent
with the investment policies set forth in the Fund of Funds'
registration statement.\6\
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    \5\ Applicants acknowledge that receipt of any compensation by
(a) an affiliated person of a Fund of Funds, or an affiliated person
of such person, for the purchase by the Fund of Funds of shares of a
Fund or (b) an affiliated person of a Fund, or an affiliated person
of such person, for the sale by the Fund of its shares to a Fund of
Funds is subject to section 17(e) of the Act. The Participation
Agreement also will include this acknowledgment.
    \6\ To the extent that purchases and sales of shares of an ETF
Fund occur in the secondary market and not through principal
transactions directly between a Fund of Funds and an ETF Fund,
relief from section 17(a) would not be necessary. However, the
requested relief would apply to direct sales of shares in Creation
Units by an ETF Fund to a Fund of Funds and redemptions of those
shares. The requested relief is also intended to cover the in-kind
transactions that would accompany such sales and redemptions, as
described in the application for the ETF Order.
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    3. Section 17(b) of the Act authorizes the Commission to grant an
order permitting a transaction otherwise prohibited by section 17(a) if
it finds that (i) The terms of the proposed transaction are fair and
reasonable and do not involve overreaching on the part of any person
concerned; (ii) the proposed transaction is consistent with the
policies of each registered investment company involved; and (iii) the
proposed transaction is consistent with the general purposes of the
Act. Section 6(c) of the Act permits the Commission to exempt any
person or transactions from any provision of the Act if such exemption
is necessary or appropriate in the public interest and consistent with
the protection of investors and the purposes fairly intended by the
policy and provisions of the Act.
    4. Applicants submit that the proposed arrangement satisfies the
standards for relief under sections 17(b) and 6(c) of the Act.
Applicants state that the terms of the arrangement are fair and

reasonable and do not involve overreaching. Applicants note that any
consideration paid for the purchase or redemption of shares directly
from a Fund will be based on the net asset value of the Fund.
Applicants state that the proposed arrangement will be consistent with
the policies of each Fund of Funds and Fund and with the general
purposes of the Act.

Applicants' Conditions

    Applicants agree that any order granting the requested relief will
be subject to the following conditions:
    1. The members of a Fund of Funds Advisory Group will not control
(individually or in the aggregate) a Fund within the meaning of section
2(a)(9) of the Act. The members of a Subadviser Group will not control
(individually or in the aggregate) a Fund within the meaning of section
2(a)(9) of the Act. If, as a result of a decrease in the outstanding
voting securities of a Fund, the Fund of Funds Advisory Group or the
Subadviser Group, each in the aggregate, becomes a holder of more than
25% of the outstanding voting securities of a Fund, it (except for any
member of the Fund of Funds Advisory Group or Subadviser Group that is
a separate account) will vote its shares of the Fund in the same
proportion as the vote of all other holders of the Fund's shares. This
condition does not apply to the Subadviser Group with respect to a Fund
for which the Subadviser or a person controlling, controlled by, or
under common control with the Subadviser acts as the investment adviser
within the meaning of section 2(a)(20)(A) of the Act (in the case of an
Open-end Fund) or as the sponsor (in the case of a UIT Fund). A
registered separate account will seek voting instructions from its
contract holders and will vote its shares in accordance with the
instructions received and will vote those shares for which no
instructions were received in the same proportion as the shares for
which instructions were received. An unregistered separate account will
either (i) Vote its shares of the Fund in the same proportion as the
vote of all other holders of the Fund's shares; or (ii) seek voting
instructions from its contract holders and vote its shares in
accordance with the instructions received and vote those shares for
which no instructions were received in the same proportion as the
shares for which instructions were received.
    2. No Fund of Funds or Fund of Funds Affiliate will cause any
existing or potential investment by the Fund of Funds in shares of a
Fund to influence the terms of any services or transactions between the
Fund of Funds or a Fund of Funds Affiliate and the Fund or a Fund
Affiliate.
    3. The board of directors or trustees of an Investing Management
Company, including a majority of the Disinterested Trustees, will adopt
procedures reasonably designed to assure that the Fund of Funds Adviser
and any Subadviser are conducting the investment program of the
Investing Management Company without taking into account any
consideration received by the Investing Management Company or a Fund of
Funds Affiliate from a Fund or a Fund Affiliate in connection with any
services or transactions.
    4. Once an investment by a Fund of Funds in the securities of an
Open-end Fund exceeds the limit in section 12(d)(1)(A)(i) of the Act,
the board of trustees of the Open-end Fund (``Board''), including a
majority of the Disinterested Trustees, will determine that any
consideration paid by the Open-end Fund to a Fund of Funds or a Fund of
Funds Affiliate in connection with any services or transactions: (a) Is
fair and reasonable in relation to the nature and quality of the
services and benefits received by the Open-end Fund; (b) is within the
range of consideration that the Open-end Fund would be required to pay
to another unaffiliated entity in connection with the same services or
transactions; and (c) does not involve overreaching on the part of any
person concerned. This condition does not apply with respect to any
services or transactions between an Open-end Fund and its investment
adviser(s), or any person controlling, controlled by, or under common
control with such investment adviser(s).
    5. No Fund of Funds or Fund of Funds Affiliate (except to the
extent it is acting in its capacity as an investment adviser to an
Open-end Fund or sponsor to a UIT Fund) will cause a Fund to purchase a
security in any Affiliated Underwriting.
    6. The Board of an Open-end Fund, including a majority of the
Disinterested Trustees, will adopt procedures reasonably designed to
monitor any purchases of securities by the Open-end Fund in an
Affiliated Underwriting once an investment by a Fund of Funds in the
securities of the Fund exceeds the limit in section 12(d)(1)(A)(i) of
the Act, including any purchases made directly from an Underwriting
Affiliate. The Board of the Open-end Fund will review these purchases
periodically, but no less frequently than annually, to determine
whether the purchases were influenced by the investment by the Fund of
Funds in the Open-end Fund. The Board of the Open-end Fund will
consider, among other things, (i) Whether the purchases were consistent
with the investment objectives and policies of the Open-end Fund; (ii)
how the performance of securities purchased in an Affiliated
Underwriting compares to the performance of comparable securities
purchased during a comparable period of time in underwritings other
than Affiliated Underwritings or to a benchmark such as a comparable
market index; and (iii) whether the amount of securities purchased by
the Open-end Fund in Affiliated Underwritings and the amount purchased
directly from an Underwriting Affiliate have changed significantly from
prior years. The Board of the Open-end Fund will take any appropriate
actions based on its review, including, if appropriate, the institution
of procedures designed to assure that purchases of securities in
Affiliated Underwritings are in the best interests of shareholders.
    7. The Open-end Fund will maintain and preserve permanently in an
easily accessible place a written copy of the procedures described in
the preceding condition, and any modifications to such procedures, and
will maintain and preserve for a period of not less than six years from
the end of the fiscal year in which any purchase in an Affiliated
Underwriting occurred, the first two years in an easily accessible
place, a written record of each purchase of securities in Affiliated
Underwritings once an investment by a Fund of Funds in the securities
of the Open-end Fund exceeds the limit in section 12(d)(1)(A)(i) of the
Act, setting forth from whom the securities were acquired, the identity
of the underwriting syndicate's members, the terms of the purchase, and
the information or materials upon which the determinations of the Board
of the Open-end Fund were made.
    8. Before investing in a Fund in excess of the limits in section
12(d)(1)(A) of the Act, the Fund of Funds and the Fund will execute a
Participation Agreement stating, without limitation, that their boards
of directors or trustees and their investment advisers, or sponsors and
trustees, as applicable, understand the terms and conditions of the
order and agree to fulfill their responsibilities under the order. At
the time of its investment in shares of an Open-end Fund in excess of
the limit in section 12(d)(1)(A)(i), a Fund of Funds will notify the
Open-end Fund of the investment. At such time, the Fund of Funds will
also transmit to the Open-end Fund a list of the names of each Fund of
Funds Affiliate and Underwriting Affiliate. The Fund of

Funds will notify the Open-end Fund of any changes to the list of the
names as soon as reasonably practicable after a change occurs. The Fund
and the Fund of Funds will maintain and preserve a copy of the order,
the agreement and, in the case of an Open-end Fund, the list with any
updated information for the duration of the investment and for a period
of not less than six years thereafter, the first two years in an easily
accessible place.
    9. Before approving any advisory contract under section 15 of the
Act, the board of directors or trustees of each Investing Management
Company, including a majority of the Disinterested Trustees, will find
that the advisory fees charged under such advisory contract are based
on services provided that will be in addition to, rather than
duplicative of, the services provided under the advisory contract(s) of
any Open-end Fund in which the Investing Management Company may invest.
These findings and their basis will be recorded fully in the minute
books of the appropriate Investing Management Company.
    10. A Fund of Funds Adviser, or trustee or Sponsor of a Fund of
Funds, as applicable, will waive fees otherwise payable to it by the
Fund of Funds in an amount at least equal to any compensation
(including fees received pursuant to any plan adopted by an Open-end
Fund under rule 12b-1 under the Act) received from a Fund by the Fund
of Funds Adviser, trustee, or Sponsor, or an affiliated person of the
Fund of Funds' Adviser, trustee or Sponsor, other than any advisory
fees paid to the Fund of Funds' Adviser, trustee or Sponsor or its
affiliated person, by an Open-end Fund, in connection with the
investment by the Fund of Funds in the Fund. Any Subadviser will waive
fees otherwise payable to the Subadviser, directly or indirectly, by
the Investing Management Company in an amount at least equal to any
compensation received from a Fund by the Subadviser, or an affiliated
person of the Subadviser, other than any advisory fees paid to the
Subadviser or its affiliated person by an Open-end Fund, in connection
with the investment by the Investing Management Company in the Fund
made at the direction of the Subadviser. In the event that the
Subadviser waives fees, the benefit of the waiver will be passed
through to the Investing Management Company.
    11. With respect to registered separate accounts that invest in a
Fund of Funds, no sales load will be charged at the Fund of Funds level
or at the Fund level. Other sales charges and service fees, as defined
in Rule 2830 of the Conduct Rules of the NASD, if any, will only be
charged at the Fund of Funds level or at the Fund level, not both. With
respect to other investments in a Fund of Funds, any sales charges and/
or service fees charged with respect to shares of the Fund of Funds
will not exceed the limits applicable to a fund of funds as set forth
in Rule 2830 of the NASD Conduct Rules.
    12. No Fund will acquire securities of any investment company or
company relying on section 3(c)(1) or 3(c)(7) of the Act in excess of
the limits contained in section 12(d)(1)(A) of the Act, except to the
extent permitted by section 12(d)(1)(E) of the Act, an exemptive order
that allows a Fund to purchase shares of an affiliated money market
fund for short-term cash management purposes or rule 12d1-1 under the
Act.

    For the Commission, by the Division of Investment Management,
pursuant to delegated authority.
Nancy M. Morris,
Secretary.
 [FR Doc. E6-21780 Filed 12-20-06; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register: May 1, 2007 (Volume 72, Number 83)]
[Notices]
[Page 23810]
[DOCID:fr01my07-51]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. EL07-57-000]

PJM Interconnection, LLC; Notice of Institution of Proceeding and
Refund Effective Date

April 24, 2007.
    On April 19, 2007, the Commission issued an order that instituted a
proceeding in the above-referenced docket, pursuant to section 206 of
the Federal Power Act (FPA), 16 U.S.C. 824e, regarding PJM's allocation
of costs for ``economic'' projects.
    The refund effective date in the above-docketed proceedings,
established pursuant to section 206(b) of the FPA, will be the date of
publication of this notice in the Federal Register.

Kimberly D. Bose,
Secretary.
[FR Doc. E7-8218 Filed 4-30-07; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 79, Number 184 (Tuesday, September 23, 2014)]
[Notices]
[Pages 56798-56799]
[FR Doc No: 2014-22557]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-UST-2010-0625; FRL-9915-84-OEI]

Information Collection Request Submitted to OMB for Review and
Approval; Comment Request; Underground Storage Tanks: Technical and
Financial Requirements, and State Program Approval Procedures (Renewal)

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: The Environmental Protection Agency has submitted an
information collection request (ICR), ``Underground Storage Tanks:
Technical and Financial Requirements, and State Program Approval
Procedures (Renewal)'' (EPA ICR No. 1360.13, OMB Control No. 2050-0068)
to the Office of Management and Budget (OMB) for review and approval in
accordance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.).
This is a proposed extension of the ICR, which is currently approved
through September 30, 2014. Public comments were previously requested
via the Federal Register (79 FR 22487) on April 22, 2014 during a 60-
day comment period. This notice allows for an additional 30 days for
public comments. A fuller description of the ICR is given below,
including its estimated burden and cost to the public. An Agency may
not conduct or sponsor and a person is not required to respond to a
collection of information unless it displays a currently valid OMB
control number.

DATES: Additional comments may be submitted on or before October 23,
2014.

ADDRESSES: Submit your comments, referencing Docket ID Number Docket ID
No. EPA-HQ-UST-2010-0625 online using www.regulations.gov (our
preferred method), by email to<EMAIL_ADDRESS>or by mail
to: (1) EPA Docket Center, Environmental Protection Agency, Mail Code
28221T, 1200 Pennsylvania Ave. NW., Washington, DC 20460 and (2) OMB
via email to<EMAIL_ADDRESS>Address comments to
OMB Desk Officer for EPA.
    EPA's policy is that all comments received will be included in the
public docket without change including any personal information
provided, unless the comment includes profanity, threats, information
claimed to be Confidential Business Information (CBI) or other
information whose disclosure is restricted by statute.

FOR FURTHER INFORMATION CONTACT: Elizabeth McDermott, Office of
Underground Storage Tanks, Mail Code 5401P, Environmental Protection
Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460; telephone
number:<PHONE_NUMBER>; fax number:<PHONE_NUMBER>; email address:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Supporting documents, which explain in
detail the information that the EPA will be collecting, are available
in the public docket for this ICR. The docket can be viewed online at
www.regulations.gov or in person at the EPA Docket Center, WJC West,
Room 3334, 1301 Constitution Ave. NW., Washington, DC. The telephone
number for the Docket Center is<PHONE_NUMBER>. For additional
information about EPA's

public docket, visit http://www.epa.gov/dockets.
    Abstract: Subtitle I of the Resource Conservation and Recovery Act
(RCRA), as amended, requires that EPA develop standards for Underground
Storage Tank (UST) systems as may be necessary to protect human health
and the environment, and procedures for approving state programs in
lieu of the federal program. EPA promulgated technical and financial
requirements for owners and operators of USTs at 40 CFR part 280, and
state program approval procedures at 40 CFR part 281. This ICR is a
comprehensive presentation of all information collection requirements
contained at 40 CFR parts 280 and 281.
    The data collected for new and existing UST system operations and
financial requirements are used by owners and operators and/or EPA or
the implementing agency to monitor results of testing, inspections, and
operation of UST systems, as well as to demonstrate compliance with
regulations.
    Form Numbers: None.
    Respondents/affected entities: Owners and operators of USTs.
    Respondent's obligation to respond: Mandatory per 40 CFR Parts 280
and 281.
    Estimated number of respondents: 211,686.
    Frequency of response: Once and on occasion.
    Total estimated burden: 5,068,897 hours (per year). Burden is
defined at 5 CFR 1320.03(b).
    Total estimated cost: $375,584,849 (per year), includes
$223,435,559 annualized capital or operation & maintenance costs.
    Changes in the Estimates: There is a decrease of 1,684,661 hours in
the total estimated respondent burden compared with the ICR currently
approved by OMB. This decrease is due to an update in the respondent
universe and burden estimates based on updated data from the Office of
Underground Storage Tanks (OUST) and the regulated community. EPA also
slightly reduced the burden associated with notification requirements.

Courtney Kerwin,
Acting Director, Collection Strategies Division.
[FR Doc. 2014-22557 Filed 9-22-14; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 82, Number 63 (Tuesday, April 4, 2017)]
[Notices]
[Pages 16390-16391]
[FR Doc No: 2017-06604]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP17-80-000]

Columbia Gas Transmission, LLC; Notice of Application

    Take notice that on March 15, 2017, Columbia Gas Transmission, LLC
(Columbia), 700 Louisiana Street, Suite 700, Houston, Texas 77002-2700,
filed an application under section 7(c) of the Natural Gas Act (NGA),
and Part 157 of the Commission's regulations, requesting authorization
to implement its Eastern Panhandle Expansion Project. The project as
proposed will consist of the construction of a new 8-inch diameter
pipeline and appurtenances extending approximately 3.37 miles from
Columbia's 20-inch diameter Line 1804 and 24-inch diameter Line 10240
in Fulton County, Pennsylvania in order to provide 47,500 Dekatherms
per day (Dth/d) of firm transportation service. The new 8-inch diameter
line will end at the project shipper's Point of Delivery (POD) site in
Morgan County, West Virginia, all as more fully set forth in the
application which is on file with the Commission and open for public
inspection.
    The filing may also be viewed on the web at http://www.ferc.gov
using the ``eLibrary'' link. Enter the docket number excluding the last
three digits in the docket number field to access the document. For
assistance, please contact FERC at<EMAIL_ADDRESS>or toll
free at<PHONE_NUMBER>, or TTY,<PHONE_NUMBER>.
    Any questions regarding the proposed project should be directed to
Richard Bralow, Legal Counsel, Columbia Gas Transmission, LLC, 700
Louisiana Street, Suite 700, Houston, Texas 77002-2700, or by calling
(832) 320-5177 (telephone) or email at<EMAIL_ADDRESS>    Pursuant to Section 157.9 of the Commission's rules, 18 CFR 157.9,
within 90 days of this Notice the Commission staff will either:
complete its environmental assessment (EA) and place it into the
Commission's public record (eLibrary) for this proceeding; or issue a
Notice of Schedule for

Environmental Review. If a Notice of Schedule for Environmental Review
is issued, it will indicate, among other milestones, the anticipated
date for the Commission staff's issuance of the final environmental
impact statement (FEIS) or EA for this proposal. The filing of the EA
in the Commission's public record for this proceeding or the issuance
of a Notice of Schedule for Environmental Review will serve to notify
federal and state agencies of the timing for the completion of all
necessary reviews, and the subsequent need to complete all federal
authorizations within 90 days of the date of issuance of the Commission
staff's FEIS or EA.
    There are two ways to become involved in the Commission's review of
this project. First, any person wishing to obtain legal status by
becoming a party to the proceedings for this project should, on or
before the comment date stated below, file with the Federal Energy
Regulatory Commission, 888 First Street NE., Washington, DC 20426, a
motion to intervene in accordance with the requirements of the
Commission's Rules of Practice and Procedure (18 CFR 385.214 or
385.211) and the Regulations under the NGA (18 CFR 157.10). A person
obtaining party status will be placed on the service list maintained by
the Secretary of the Commission and will receive copies of all
documents filed by the applicant and by all other parties. A party must
submit 7 copies of filings made with the Commission and must mail a
copy to the applicant and to every other party in the proceeding. Only
parties to the proceeding can ask for court review of Commission orders
in the proceeding.
    However, a person does not have to intervene in order to have
comments considered. The second way to participate is by filing with
the Secretary of the Commission, as soon as possible, an original and
two copies of comments in support of or in opposition to this project.
The Commission will consider these comments in determining the
appropriate action to be taken, but the filing of a comment alone will
not serve to make the filer a party to the proceeding. The Commission's
rules require that persons filing comments in opposition to the project
provide copies of their protests only to the party or parties directly
involved in the protest.
    Persons who wish to comment only on the environmental review of
this project should submit an original and two copies of their comments
to the Secretary of the Commission. Environmental commenters will be
placed on the Commission's environmental mailing list, will receive
copies of the environmental documents, and will be notified of meetings
associated with the Commission's environmental review process.
Environmental commenters will not be required to serve copies of filed
documents on all other parties. However, the non-party commenters will
not receive copies of all documents filed by other parties or issued by
the Commission (except for the mailing of environmental documents
issued by the Commission) and will not have the right to seek court
review of the Commission's final order.
    The Commission strongly encourages electronic filings of comments,
protests and interventions in lieu of paper using the ``eFiling'' link
at http://www.ferc.gov. Persons unable to file electronically should
submit an original and 5 copies of the protest or intervention to the
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426.
    Comment Date: 5:00 p.m. Eastern Time on April 19, 2017.

    Dated: March 29, 2017.
Kimberly D. Bose,
Secretary.
[FR Doc. 2017-06604 Filed 4-3-17; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register: October 9, 2008 (Volume 73, Number 197)]
[Notices]
[Page 59618-59620]
[DOCID:fr09oc08-71]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

October 2, 2008.
    Take notice that the Commission received the following exempt
wholesale generator filings:

    Docket Numbers: EG09-1-000.
    Applicants: Tanglewood Storage & Transportation LLC.
    Description: Notice of Self Certification of Exempt Wholesale
Generator Status.
    Filed Date: 10/01/2008.
    Accession Number: 20081001-5080.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 22, 2008.

    Take notice that the Commission received the following electric
rate filings:

    Docket Numbers: ER05-644-008.
    Applicants: PSEG Energy Resources & Trade LLC, PSEG Fossil LLC.
    Description: Informational Filing of PSEG Energy Resources & Trade
LLC, et al.
    Filed Date: 10/01/2008.
    Accession Number: 20081001-5063.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 22, 2008.

    Docket Numbers: ER05-1195-003.
    Applicants: Silverhill LTD.
    Description: Silverhill Ltd submits their request for determination
of Category 1 status.
    Filed Date: 09/29/2008.
    Accession Number: 20081002-0131.
    Comment Date: 5 p.m. Eastern Time on Monday, October 20, 2008.

    Docket Numbers: ER08-749-000.
    Applicants: Xcel Energy, Southwestern Public Service Company.
    Description: Notice to the Commission from Southwestern Public
Service Company of the Commercial In-Service Date of the Lea Power
Plant and Request for Commission Authorization for Rates to go into
Effect, Subject to Refund, As September 16, 2008.
    Filed Date: 09/24/2008.
    Accession Number: 20080924-5032.
    Comment Date: 5 p.m. Eastern Time on Friday, October 10, 2008.

    Docket Numbers: ER08-1214-001.
    Applicants: Wisconsin Electric Power Company.
    Description: Wisconsin Electric Power Co submits an executed
Settlement Agreement and associated documents.
    Filed Date: 09/12/2008.
    Accession Number: 20080912-4012.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 7, 2008.

    Docket Numbers: ER08-1215-001.

    Applicants: Wisconsin Electric Power Company.
    Description: Wisconsin Electric Power Co submits an executed
Settlement Agreement and associated documents.
    Filed Date: 09/12/2008.
    Accession Number: 20080912-4013.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 7, 2008.

    Docket Numbers: ER08-1216-001; ER08-1217-001; ER08-1218-001.
    Applicants: Wisconsin Electric Power Company.
    Description: Wisconsin Electric Power Co submits an executed
Settlement Agreement and associated documents.
    Filed Date: 09/12/2008.
    Accession Number: 20080912-4011.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 7, 2008.

    Docket Numbers: ER08-1240-003.
    Applicants: MH Partners LP.
    Description: MH Partners LP submits an application for market-based
rate authority.
    Filed Date: 09/29/2008.
    Accession Number: 20081002-0132.
    Comment Date: 5 p.m. Eastern Time on Monday, October 20, 2008.

    Docket Numbers: ER08-1428-001.
    Applicants: Public Service Company of New Mexico.
    Description: Public Service Co of New Mexico submits an errata to
submitted contracts under ER08-1428.
    Filed Date: 10/01/2008.
    Accession Number: 20081002-0140.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 9, 2008.

    Docket Numbers: ER08-1523-000.
    Applicants: Coburn Energy, LLC.
    Description: Coburn Energy LLC submits Petition for Acceptance of
Initial Tariff, Waivers and Blanket Authority.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0133.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Docket Numbers: ER08-1583-000.
    Applicants: Tuolumne Wind Project, LLC.
    Description: Tuolumne Wind Project, LLC submits petition for order
accepting market-based rate tariff for filing and granting waivers and
blanket approvals etc under ER08-1583.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0101.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Docket Numbers: ER08-1589-000.
    Applicants: PacifiCorp.
    Description: PacifiCorp submits Network Integration Transmission
Service Agreement between PacifiCorp and Bonneville Power
Administration for Yakama Power to be designated as Second Revised
Service Agreement 328 etc under ER08-1589.
    Filed Date: 09/29/2008.
    Accession Number: 20081002-0130.
    Comment Date: 5 p.m. Eastern Time on Monday, October 20, 2008.

    Docket Numbers ER08-1590-000.
    Applicants: Niagara Mohawk Power Corporation.
    Description: Niagara Mohawk Power Corp submits a power purchase
agreement with Onondaga County Resources Recovery Agency.
    Filed Date: 09/29/2008.
    Accession Number: 20081002-0104.
    Comment Date: 5 p.m. Eastern Time on Monday, October 20, 2008.

    Docket Numbers ER08-1591-000.
    Applicants: California Independent System Operator C.
    Description: Petition of the California Independent System Operator
Corporation for Waiver of Certain Business Practice Standards Adopted
In Order No. 676-C.
    Filed Date: 09/26/2008.
    Accession Number: 20080926-5126.
    Comment Date: 5 p.m. Eastern Time on Friday, October 17, 2008.

    Docket Numbers ER08-1592-000.
    Applicants: Niagara Mohawk Power Corporation.
    Description: Niagara Mohawk Power Corp submits an interconnection
agreement with Black River Limited Partnership et al. under ER08-1592.
    Filed Date: 09/29/2008.
    Accession Number: 20081002-0105.
    Comment Date: 5 p.m. Eastern Time on Monday, October 20, 2008.

    Docket Numbers ER08-1593-000.
    Applicants: New England Power Company.
    Description: New England Power Company submits a service agreement
for Firm Local Generation Delivery Service dated 10/5/00 between NEP
and Mascome Hydro Corporation under ER08-1593.
    Filed Date: 09/29/2008.
    Accession Number: 20081002-0106.
    Comment Date: 5 p.m. Eastern Time on Monday, October 20, 2008.

    Docket Numbers ER08-1594-000.
    Applicants: Avista Corporation.
    Description: Avista Corporation submits Fourth Revised Sheet 8 et
al. to First Revised FERC Rate Schedule 184 under ER08-1594.
    Filed Date: 09/29/2008.
    Accession Number: 20081002-0129.
    Comment Date: 5 p.m. Eastern Time on Monday, October 20, 2008.

    Docket Numbers ER08-1595-000.
    Applicants: Southern California Edison Company.
    Description: Southern California Edison Company submits a letter
agreement with the City of Victorville under ER08-1595.
    Filed Date: 09/29/2008.
    Accession Number: 20081002-0128.
    Comment Date: 5 p.m. Eastern Time on Monday, October 20, 2008.

    Docket Numbers ER08-1596-000.
    Applicants: Xcel Energy Services Inc.
    Description: Northern States Power Companies submits Notices of
Cancellation for Agreement of Legacy Point-toPoint Transmission Service
Agreements etc under ER08-1596.
    Filed Date: 09/29/2008.
    Accession Number: 20081002-0127.
    Comment Date: 5 p.m. Eastern Time on Monday, October 20, 2008.

    Docket Numbers ER08-1597-000.
    Applicants: El Paso Electric Company.
    Description: El Paso Electric Company submits proposed changes to
its Open Access Transmissions Tariff under ER08-1597.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0124.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Docket Numbers ER08-1598-000.
    Applicants: New England Power Pool.
    Description: The New England Power Pool Participants Committee
submits counterpart signature pages of the New England Power Pool
Agreement dated as of 9/1/71 under ER08-1598.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0123.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Docket Numbers ER08-1599-000.
    Applicants: Puget Sound Energy, Inc.
    Description: Puget Sound Energy Inc submits Residential Purchase
and Sale Agreement with United States of America Department of Energy
under ER08-1599.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0122.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Docket Numbers ER08-1600-000.
    Applicants: Basin Electric Power Cooperative, Inc.
    Description: Basin Electric Power Cooperative submits revised
tariff sheets that modify the rates in the joint open-access
transmission tariff of Black Hills Power, Inc under ER08-1600.
    Filed Date: 09/29/2008.
    Accession Number: 20081002-0107.
    Comment Date: 5 p.m. Eastern Time on Monday, October 20, 2008.

    Docket Numbers ER08-1601-000.
    Applicants: Southwest Power Pool Inc.
    Description: Southwest Power Pool, Inc submits proposed amendments
to its

Bylaws, Open Access Transmission Tariff and Membership Agreement under
ER08-1601.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0121.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Docket Numbers ER08-1602-000.
    Applicants: Avista Corporation.
    Description: Avista Corp submits the Short-Term Bridge Residential
Purchase and Sale Agreement.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0120.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Docket Numbers ER08-1604-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc submits an executed Service
Agreement for Network Integration Transmission Service with Oklahoma
Gas and Electric Co.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0108.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Docket Numbers ER08-1605-000.
    Applicants: El Paso Electric Company.
    Description: El Paso Electric Company submits First Revised Sheet
193 et al to their Open Access Transmission, Fourth Revised Volume 1.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0109.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Docket Numbers ER08-1606-000.
    Applicants: ISO New England Inc.
    Description: ISO New England Inc submits the Request for Limited
Waiver of NAESB WEQ Standards.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0111.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Docket Numbers ER08-1607-000.
    Applicants: PacifiCorp.
    Description: PacifiCorp submits the Residential Purchase and Sale
Agreement between the Bonneville Power Administration and PacifiCorp.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0110.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Docket Numbers ER08-1608-000.
    Applicants: Portland General Electric Company.
    Description: Portland General Electric Co submits the Short-Term
Bridge Residential Purchase and Sale Agreement.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0119.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Docket Numbers ER08-1609-000.
    Applicants: WSPP.
    Description: WSPP, Inc submits a letter requesting the Commission
to amend their Agreement to include 3 Phases Renewables, LLC et al as
members of the WSPP.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0118.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Docket Numbers ER08-1610-000.
    Applicants: Arizona Public Service Company.
    Description: Arizona Public Service Co submits revisions to FERC
Electric Rate Schedule 182 under ER08-1610.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0102.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 21, 2008.

    Any person desiring to intervene or to protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214) on or before 5 p.m. Eastern Time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously intervened in the
same docket. Protests will be considered by the Commission in
determining the appropriate action to be taken, but will not serve to
make protestants parties to the proceeding. Anyone filing a motion to
intervene or protest must serve a copy of that document on the
Applicant. In reference to filings initiating a new proceeding,
interventions or protests submitted on or before the comment deadline
need not be served on persons other than the Applicant.
    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 St., NE., Washington, DC 20426.
    The filings in the above proceedings 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 dockets(s). For assistance
with any FERC Online service, please email<EMAIL_ADDRESS>
or call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

Nathaniel J. Davis, Sr.,
Deputy Secretary.
 [FR Doc. E8-23933 Filed 10-8-08; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 86, Number 77 (Friday, April 23, 2021)]
[Notices]
[Pages 21727-21729]
[FR Doc No: 2021-08486]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-10022-45-OMS]

Privacy Act of 1974; System of Records

AGENCY: Office of Mission Support (OMS), Environmental Protection
Agency (EPA).

ACTION: Notice of a modified system of records.

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SUMMARY: The U.S. Environmental Protection Agency's (EPA), Office of
Mission Support is giving notice that it proposes to publish a modified
system of records pursuant to the provisions of the Privacy Act of
1974. FOIAonline, EPA's Freedom of Information Act (FOIA) Request and
Appeal File system of records is being modified to include all
information and data elements that are being collected by the EPA and
participating agencies as it relates to FOIA requests, appeals
consultations and referrals. The purpose of this modification is to
provide notice that; the FOIA Request and Appeal File system has been
upgraded and deployed to a cloud hosted Amazon Web Services
environment; the FOIA Request and Appeal File system of records is
being modified to add additional routine uses and to change its name to
FOIAonline. to change its name to FOIAonline.

DATES: Persons wishing to comment on this system of records notice must
do so by May 24, 2021. New routine uses for this new system of records
will be effective May 24, 2021.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OMS-2020-0231, by one of the following methods:
    Regulations.gov: www.regulations.gov Follow the online instructions
for submitting comments.
    Email<EMAIL_ADDRESS>    Fax:<PHONE_NUMBER>.
    Mail: OMS Docket, Environmental Protection Agency, Mail Code:
2822T, 1200 Pennsylvania Ave. NW, Washington, DC 20460.
    Hand Delivery: OMS Docket, EPA/DC, WJC West Building, Room 3334,
1301 Constitution Ave. NW, Washington, DC 20460. Such deliveries are
only accepted during the Docket's normal hours of operation, and
special arrangements should be made for deliveries of boxed
information.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OMS-
2020-0231. The EPA policy is that all comments received will be
included in the public docket without change and may be made available
online at www.regulations.gov, including any personal information
provided, unless the comment includes information claimed to be
Controlled Unclassified Information (CUI) or other information for
which disclosure is restricted by statute. Do not submit information
that you consider to be CUI or otherwise protected through
www.regulations.gov. The www.regulations.gov website is an ``anonymous
access'' system for EPA, which means the EPA will not know your
identity or contact information unless you provide it in the body of
your comment. Each agency determines submission requirements within
their own internal processes and standards. EPA has no requirement for
personal information. If you send an email comment directly to the EPA
without going through www.regulations.gov your email address will be
automatically captured and included as part of the comment that is
placed in the public docket and made available on the internet. If you
submit an electronic comment, the EPA recommends that you include your
name and other contact information in the body of your comment. If the
EPA cannot read your comment due to technical difficulties and cannot
contact you for clarification, the EPA may not be able to consider your
comment. Electronic files should avoid the use of special characters,
any form of encryption, and be free of any defects or viruses. For
additional information about the EPA public docket, visit the EPA
Docket Center homepage at http://www.epa.gov/epahome/dockets.htm.
    Docket: All documents in the docket are listed in the
www.regulations.gov index. Although listed in the index, some
information is not publicly available, e.g., CUI or other information
for which disclosure is restricted by statute. Certain other material,
such as copyrighted material, will be publicly available only in hard
copy. Publicly available docket materials are available either
electronically on www.regulations.gov or in hard copy at the OMS
Docket, EPA/DC, WJC West Building, Room 3334, 1301 Constitution Ave.
NW, Washington. DC 20460. The Public Reading Room is open from 8:30
a.m. to 4:30 p.m., Monday through Friday excluding legal holidays. The
telephone number for the Public Reading Room is<PHONE_NUMBER>, and the
telephone number for the OMS Docket is<PHONE_NUMBER>.

Temporary Hours During COVID-19

    Out of an abundance of caution for members of the public and our
staff, the EPA Docket Center and Reading Room are closed to the public,
with limited exceptions, to reduce the risk of transmitting COVID-19.
Our Docket Center staff will continue to provide remote customer
service via email, phone, and webform. We encourage the public to
submit comments via www.regulations.gov or email, as there may be a
delay in processing mail and faxes. Hand deliveries and couriers may be
received by scheduled appointment only. For further information on EPA
Docket Center services and the current status, please visit us online
at www.epa.gov/dockets. The telephone number for the Public Reading
Room is<PHONE_NUMBER>, and the telephone number for the OMS Docket is
(202) 566-1752.

FOR FURTHER INFORMATION CONTACT: Tim Crawford, eDiscovery Division,
Office of Mission Support, Office,<PHONE_NUMBER>, U.S. EPA, Office of
Environmental Information, MC 2282T, 1200 Pennsylvania Ave. NW,
Washington, DC 20460.

SUPPLEMENTARY INFORMATION: The FOIAonline (EPA-9) system contains a
copy of each FOIA request, appeal, consultation, and referral received
by the EPA and a copy of related correspondence, including name,
affiliation address, telephone numbers, and other information about a
requester. FOIAonline is managed and used by the EPA and other agencies
to process, track and respond to FOIA requests, appeals, consultations,
and referrals. The FOIAonline system provides the EPA and partner
agencies with a secure and protected website to electronically receive,
process, track, and store requests and appeals from the public for
federal records; post responsive records to a website; collect data for
annual reporting requirements to the Department of Justice and manage
internal FOIA administration activities. In addition, the FOIAonline
system allows the public to submit and track

FOIA requests and appeals; access requests and responsive records
online and obtain the status of requests filed with the EPA and partner
agencies. Social security numbers and other types of personally
identifiable information may be provided in requests submitted by the
public or may appear in responsive documents. With the exception of a
requester's name, any other personally identifiable information (e.g.,
home addresses, email address, and other contact information) provided
by a requester during the process of completing the online request form
or creating an online account will not be posted to the public-facing
version of the website, nor will it be searchable by the public.
Personally identifiable information determined to be publicly
releasable and contained in documents released to the public under FOIA
(e.g., the names and official contact information of government
employees) will be publicly available and searchable by the public if
posted by a participating agency. Individuals accessing the system are
government employees and members of the public.
SYSTEM NAME AND NUMBER:
    FOIAonline EPA-09.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Amazon Web Service US East (Northern Virginia) and Amazon Web
Service US East (Ohio).

SYSTEM MANAGER(S):
    Tim Crawford<EMAIL_ADDRESS>U.S. EPA, Office of
Environmental Information, MC 2822T, 1200 Pennsylvania Ave. NW,
Washington, DC 20460.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Freedom of Information Act, 5 U.S.C 552.

PURPOSE OF THE SYSTEM:
    To provide the public a single location to submit and track FOIA
requests appeals, consultations and referrals filed with the EPA and
participating agencies, to manage EPA FOIA administration activities
and to collect data for annual reporting requirements to the Department
of Justice.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    All persons filing FOIA requests, appeals, consultations or
referrals and those whose personally identifiable information may
appear in records collected for FOIA request responses.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Freedom of Information Act (FOIA) requests, appeals, consultations
and referrals received by the EPA and other participating agencies, and
correspondence related to the request, which may include individuals'
names, mailing addresses, email addresses, phone numbers, social
security numbers, dates of birth, alias(es) used by the requester,
alien numbers assigned to travelers crossing national borders,
requesters' parents' names, FOIA tracking numbers, dates requests are
submitted and received, related appeals and agency responses. Records
also include EPA FOIA administrative documents and responsive records.

RECORD SOURCE CATEGORIES:
    Records maintained by federal agencies subject to the Freedom of
Information Act.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
    The following routine uses apply to this system because the use of
the record is necessary for the efficient conduct of government
operations. General routine uses A, E, F, G, H, K, and L apply to this
system. Records may also be disclosed to:
    1. Another federal agency (a) with an interest in the record in
connection with a referral of a Freedom of Information Act (FOIA)
request to that agency for its views or decision on disclosure, or (b)
in order to obtain advice and recommendations concerning matters on
which the agency has specialized experience or particular competence
that may be useful to an agency in making required determinations under
the FOIA.
    2. To the National Archives and Records Administration, Office of
Government Information Services (OGIS), to the extent necessary to
fulfill its responsibilities in 5 U.S.C. 552(h), to review
administrative agency policies, procedures and compliance with the
Freedom of Information Act (FOIA), and to facilitate OGIS' offering of
mediation services to resolve disputes between persons making FOIA
requests and administrative agencies.
    In addition, the two routine uses below (L and M) are required by
OMB M-17-12. The routine uses are related to and compatible with the
original purpose for which the information was collected.
    L. Disclosure to Persons or Entities in Response to an Actual or
Suspected Breach of Personally Identifiable Information. To appropriate
agencies, entities, and persons when (1) the Agency suspects or has
confirmed that there has been a breach of the system of records, (2)
the Agency has determined that as a result of the suspected or
confirmed breach there is a risk of harm to individuals, the Agency
(including its information systems, programs, and operations), the
Federal Government, or national security; and (3) the disclosure made
to such agencies, entities, and persons is reasonably necessary to
assist in connection with the Agency's efforts to respond to the actual
or suspected breach or to prevent, minimize, or remedy such harm.
    M. Disclosure to assist another agency in its efforts to respond to
a breach. To another Federal agency or Federal entity, when the Agency
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a actual or suspected breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a actual
or suspected breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are stored in file folders in lockable file cabinets.
Records are also stored in a secure, password protected electronic
system that utilizes security hardware and software to include multiple
firewalls, active intruder protection and role-based access controls.
Additional safeguards vary by participating agencies.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Requests are retrieved from the system by numerous data elements
and key word searches, including name, agency, dates, subject, FOIA
tracking number and other information retrievable with full-text
searching capability.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Each federal agency handles its records in accordance with its
records schedule as approved by the National Archives and Records
Administration (NARA). FOIA records are covered under NARA General
Record Schedule 14--Information Services Records that includes a
retention period of six years unless a participating agency's records
are managed under other record schedules approved by NARA.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Security controls used to protect personally identifiable
information in FOIAonline are commensurate with those required for an
information system rated moderate for confidentiality, integrity, and
availability, as prescribed in the National Institute of Standards and
Technology (NIST) Special Publication, 800-53, ``Security and Privacy
Controls for Federal Information Systems and Organizations.''
    1. Administrative Safeguards: EPA and partner agency users follow
annual security training requirements of their organization. Annually,
EPA and partner agencies acknowledge and accept ``Rules of Behavior''
that describe user responsibilities and expected behavior regarding
information system usage. Each agency administrator is responsible for
ensuring account requests are approved before accounts are created.
Each agency administrator is responsible for establishing, activating,
modifying, disabling, and removing accounts for their agency and
ensuring their established account management protocols are followed.
Each agency administrator is responsible for monitoring agency
accounts. Each agency administrator is responsible for disabling
accounts when accounts are no longer required; when users are
terminated or transferred; and when individual information system usage
or need-to-know changes. Each agency administrator is responsible for
granting access to the system based on: (i) A valid access
authorization; (ii) intended system usage; and (iii) other attributes
as required by the respective agency.
    2. Technical Safeguards: All NIST 800-53 moderate baseline
technical safeguards are built into the FOIAonline application and
supporting infrastructure including automated account management locks
and reset protocols due to inactivity or cyclical renewals. Accounts
must be refreshed after 30 business days of inactivity and are disabled
after one year of inactivity. Disabled accounts require reactivation by
the FOIAonline Help Desk after approval by the agency's Point of
Contact. System administration and technical support accounts include
the ability to reinstate accounts that have been disabled. System
administration and technical support users are required to follow the
system's rules of behavior and confidentiality requirements defined in
contract conditions renewed annually.
    3. Physical Safeguards: The Physical Environment control is fully
inherited from the Amazon Web Service (AWS) physical data center. AWS
provides physical data center access only to approved employees. All
employees who need data center access must first apply for access and
provide a valid business justification. These requests are granted
based on the principle of least privilege, where requests must specify
to which layer of the data center the individual needs access and are
time-bound. Requests are reviewed and approved by authorized personnel,
and access is revoked after the requested time expires. Once granted
admittance, individuals are restricted to areas specified in their
permissions.

RECORD ACCESS PROCEDURES:
    Individuals seeking access to their own personal information in
this system of records may be required to provide adequate
identification (e.g., driver's license, military identification card,
employee badge or identification card) as dictated by the request
receiving agency. Individuals who create accounts in the system have
the ability to edit the contact information they provided when
submitting a request. Additional identity verification procedures may
be required as warranted. Requests must meet the requirements of EPA
regulations at 40 CFR part 16.

CONTESTING RECORD PROCEDURES:
    Requests for correction or amendment must identify the record to be
changed and the corrective action sought. Complete EPA Privacy Act
procedures are described in EPA's Privacy Act regulations at 40 CFR
part 16.

NOTIFICATION PROCEDURE:
    Any individual who wants to know whether this system of records
contains a record about him or her, should make a written request to
the Attn: Agency Privacy Officer, MC 2831T, 1200 Pennsylvania Ave. NW,
Washington, DC 20460, or electronically to<EMAIL_ADDRESS>
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    [FRL-9955-30-OEI]; FR./Vol. 81, Nov. 22/Thursday November 17, 2016.
P 81096.

Vaughn Noga,
Senior Agency Official for Privacy.
[FR Doc. 2021-08486 Filed 4-22-21; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 86, Number 40 (Wednesday, March 3, 2021)]
[Notices]
[Pages 12442-12443]
[FR Doc No: 2021-04382]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #2

    Take notice that the Commission received the following electric
rate filings:

    Docket Numbers: ER21-755-001.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc. submits tariff filing per
35.17(b): 1875R4 Kansas Electric Power Cooperative, Inc. NITSA and NOA
to be effective 12/1/2020.
    Filed Date: 02/25/2021.
    Accession Number: 20210225-5121.
    Comment Date: 5 p.m. ET 3/18/21.

    Docket Numbers: ER21-1204-000.
    Applicants: Midcontinent Independent System Operator, Inc., ITC
Midwest LLC.
    Description: Sec.  205(d) Rate Filing: 2021-02-25_SA 3639 ITC
Midwest-Elk Creek Solar E&P (J1164) to be effective 2/22/2021.
    Filed Date: 2/25/21.
    Accession Number: 20210225-5107.
    Comments Due: 5 p.m. ET 3/18/21.

    Docket Numbers: ER21-1205-000.
    Applicants: Basin Electric Power Cooperative.
    Description: Basin Electric Power Cooperative submits tariff filing
per 35.13(a)(2)(iii: Basin Electric Filing of Balancing Authority
Services Agreement with WAPA-RMR to be effective 1/7/2021.
    Filed Date: 02/25/2021.
    Accession Number: 20210225-5115.
    Comment Date: 5 p.m. ET 3/18/21.

    Docket Numbers: ER21-1207-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: PJM Interconnection, L.L.C. submits tariff filing per
35.13(a)(2)(iii: Rev. to PJM OATT and CTOA RE: update AEP affiliate
company names (OATT) to be effective 4/27/2021.
    Filed Date: 02/25/2021.
    Accession Number: 20210225-5127.
    Comment Date: 5 p.m. ET 3/18/21.

    Docket Numbers: ER21-1208-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: PJM Interconnection, L.L.C. submits tariff filing per
35.13(a)(2)(iii: Rev. to PJM OATT and CTOA RE: update AEP affiliate
company names (CTOA) to be effective 4/27/2021.
    Filed Date: 02/25/2021.
    Accession Number: 20210225-5128.
    Comment Date: 5 p.m. ET 3/18/21.

    Docket Numbers: ER21-1209-000.
    Applicants: Mid-Atlantic Interstate Transmission, LLC, PJM
Interconnection, L.L.C.
    Description: Mid-Atlantic Interstate Transmission, LLC submits
tariff filing per 35.13(a)(2)(iii: MAIT submits Seven ECSAs, Nos. 5387,
5774, 5917, 5918, 5919, 5920 and 5921 to be effective 4/27/2021.
    Filed Date: 02/25/2021.
    Accession Number: 20210225-5143.
    Comment Date: 5 p.m. ET 3/18/21.

    Docket Numbers: ER21-1210-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: PJM Interconnection, L.L.C. submits tariff filing per
35.15: Notice of Cancellation of WMPA, SA No. 5153; Queue No. AD1-157
re: Withdrawal to be effective 3/27/2021.
    Filed Date: 02/25/2021.

    Accession Number: 20210225-5157.
    Comment Date: 5 p.m. ET 3/18/21.

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

    Dated: February 25, 2021.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2021-04382 Filed 3-2-21; 8:45 am]
BILLING CODE 6717-01-P