Page 1 of 4 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY WASHINGTON, D. C. 20460 May 5, 2004 OFFICE OF WATER Mr. Glenn McLaughlin Passaic Valley Sewerage Commissioners Attn: Industrial Department 600 Wilson Avenue Newark, New Jersey 07105 Ph: ( 973) 817 5724 Dear Mr. McLaughlin:

The Clean Water Act ( CWA) requires that EPA periodically review existing effluent guidelines, pretreatment standards, and standards of performance for new sources and to revise them " if appropriate" or, in the case of new source performance standards, " as technology and alternatives change." As the project manager for the technology based effluent guidelines planning process ( see www. epa. gov/ guide/ plan. html), I am assembling the final Effluent Guidelines Program Plan for 2004/ 2005. The final Plan will describe EPA's effluent guidelines program, current development efforts, and the analyses that will help EPA to decide whether to revise or establish effluent guidelines and/ or pretreatment standards for particular industries.

As part of this planning process, we are reviewing the Organic Chemicals, Plastics, Synthetics, and Fibers ( OCPSF) effluent limitation guideline, codified in 40 CFR Part 414. We are using information reported to the Toxic Release Inventory ( TRI) to evaluate current discharges from OCPSF facilities. The 2000 TRI shows that a subset of OCPSF facilities ( those with a primary SIC Code 2865) discharged more than 850,000 pounds of aniline to POTWs. We are trying to obtain additional information on OCPSF discharges of aniline and other pollutants to POTWs to understand the impact, if any, of these discharges on POTWs.

In the 2000 TRI, three facilities reported discharging OCPSF generated wastewaters to your facility. In particular, these facilities reported the following load of aniline to your POTW: Page 2 of 4 Pounds of Aniline Discharged to the Passaic Valley Sewerage Commission As Reported in the 2000 TRI Facility Name Facility Location Pounds of Aniline Reported Crompton Colors Newark, NJ 30,743 H& S Chemical Company Wallington, NJ 2,845 Morton International, Inc. Paterson, NJ 15 We would like to obtain any readily available information on discharges from these facilities to your facility, as well as any associated impacts. This information and your knowledge will help us better formulate policy options for the final Effluent Guidelines Program Plan. In particular, we request the following data and information ( if available):

A. General information about discharges from these facilities to your POTW.

1. The pretreatment permits for these facilities and any supporting documentation equivalent to a fact sheet that describes the development of the current permit limits; 2. Recent compliance monitoring data for these facilities ( for all pollutants monitored and flow) for the past twelve months; and 3. Any particular issues or concerns presented by discharges from these facilities, even if these concerns are not related to aniline.

B. Information about the aniline impact on your treatment plant:

1. A list of any other manufacturers of dyes or aniline known to discharge aniline to your POTW, and 2. Any interference problems experienced by your treatment plant from aniline.

C. Description of your treatment plant:

1. The annual average flow treated by your POTW in 2000, 2. The wastewater treatment scheme at your POTW, and 3. Any recent aniline discharge monitoring data ( last twelve months) from your POTW.

We would like to obtain this information within the next month as we are in the process of finalizing our current plan. Please send this information to me using one of the addresses listed below:

USPS Mailing Address: FedEx Delivery Address: Page 3 of 4 Carey A. Johnston, P. E. Carey A. Johnston, P. E. U. S. EPA, Office of Water U. S. EPA, Office of Water Mail Code: 4303T EPA West 6231G 1200 Pennsylvania Avenue NW 1301 Constitution Avenue NW Washington, DC 20460 Washington, DC 20004 Page 4 of 4 Please contact me at ( 202) 566 1014 or johnston. carey@ epa. gov if you have any questions about this request or the effluent guidelines planning process in general. Your POTW is under no obligation to answer these questions. However, any information you supply will help us understand discharges from OCPSF to POTWs, which will lead to better formulated policy options for the final Effluent Guidelines Program Plan. Thank you.

Sincerely,

Carey A. Johnston, P. E. U. S. EPA, Office of Water


[Federal Register Volume 81, Number 94 (Monday, May 16, 2016)]
[Notices]
[Pages 30311-30312]
[FR Doc No: 2016-11450]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2011-D-0514]

Postmarket Surveillance Under Section 522 of the Federal Food,
Drug, and Cosmetic Act; Guidance for Industry and Food and Drug
Administration Staff; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of availability.

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

SUMMARY: The Food and Drug Administration (FDA or Agency) is announcing
the availability of the guidance entitled ``Postmarket Surveillance
Under Section 522 of the Federal Food, Drug, and Cosmetic Act.'' This
guidance is intended to assist manufacturers of devices subject to
section 522 postmarket surveillance orders by providing an overview of
the Federal Food, Drug, and Cosmetic Act (the FD&C Act), information on
how to fulfill section 522 obligations, and recommendations on the
format, content, and review of postmarket surveillance plan
submissions.

DATES: Submit either electronic or written comments on this guidance at
any time. General comments on Agency guidance documents are welcome at
any time.

ADDRESSES: You may submit comments as follows:

Electronic Submissions

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

manner detailed (see ``Written/Paper Submissions'' and
``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper
submissions): Division of Dockets Management (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Division of
Dockets Management, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2011-D-0514 for ``Postmarket Surveillance Under Section 522 of the
Federal Food, Drug, and Cosmetic Act.'' Received comments will be
placed in the docket and, except for those submitted as ``Confidential
Submissions,'' publicly viewable at http://www.regulations.gov or at
the Division of Dockets Management between 9 a.m. and 4 p.m., Monday
through Friday.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on http://www.regulations.gov.
Submit both copies to the Division of Dockets Management. If you do not
wish your name and contact information to be made publicly available,
you can provide this information on the cover sheet and not in the body
of your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: http://www.fda.gov/regulatoryinformation/dockets/default.htm.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to http://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Division of Dockets Management, 5630 Fishers
Lane, Rm. 1061, Rockville, MD 20852.
    Submit written requests for single copies of the guidance to the
Office of the Center Director, Guidance and Policy Development, Center
for Devices and Radiological Health, Food and Drug Administration,
10903 New Hampshire Ave., Bldg. 66, Rm. 5431, Silver Spring, MD 20993-
0002. Send one self-addressed adhesive label to assist that office in
processing your request. The guidance may also be obtained by mail by
calling CBER at 1-800-835-4709 or<PHONE_NUMBER>. See the SUPPLEMENTARY
INFORMATION section for information on electronic access to the
guidance.

FOR FURTHER INFORMATION CONTACT: Nicole Jones, Associate Director
Program Operations, Center for Devices and Radiological Health, Food
and Drug Administration, 10903 New Hampshire Ave., Bldg. 66, Rm. 4108,
Silver Spring, MD 20993-0002,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    Section 522 of the FD&C Act (21 U.S.C. 360l) provides FDA with the
authority to require manufacturers to conduct postmarket surveillance
of certain class II or class III devices. This guidance is intended to
assist manufacturers of devices subject to section 522 postmarket
surveillance orders by providing an overview of section 522 of the FD&C
Act, information on how to fulfill section 522 obligations, and
recommendations on the format, content, and review of postmarket
surveillance plan submissions.
    FDA issued the draft of this guidance, originally entitled ``Draft
Guidance for Industry and Food and Drug Administration Staff;
Procedures for Handling Section 522 Postmarket Surveillance Studies,''
on August 16, 2011 (76 FR 50740). The comment period ended on November
14, 2011.
    This document supersedes the guidance entitled, ``Guidance for
Industry and FDA Staff; Postmarket Surveillance under Section 522 of
the Federal Food, Drug, and Cosmetic Act,'' dated April 27, 2006.

II. Significance of Guidance

    This guidance is being issued consistent with FDA's good guidance
practices regulation (21 CFR 10.115). The guidance represents the
current thinking of FDA on postmarket surveillance under section 522 of
the FD&C Act. It does not establish any rights for any person and is
not binding on FDA or the public. You can use an alternative approach
if it satisfies the requirements of the applicable statutes and
regulations.

III. Electronic Access

    Persons interested in obtaining a copy of the guidance may do so by
downloading an electronic copy from the Internet. A search capability
for all Center for Devices and Radiological Health guidance documents
is available at http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/default.htm. Guidance
documents are also available at http://www.regulations.gov. Persons
unable to download an electronic copy of ``Postmarket Surveillance
Under Section 522 of the Federal Food, Drug, and Cosmetic Act'' may
send an email request to<EMAIL_ADDRESS>to receive an
electronic copy of the document. Please use the document number 1754 to
identify the guidance you are requesting.

IV. Paperwork Reduction Act of 1995

    This guidance refers to previously approved collections of
information found in FDA regulations. These collections of information
are subject to review by the Office of Management and Budget (OMB)
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). The
collections of information in 21 CFR part 822 have been approved under
0910-0449.

    Dated: May 10, 2016.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2016-11450 Filed 5-13-16; 8:45 am]
 BILLING CODE 4164-01-P


[Federal Register Volume 80, Number 91 (Tuesday, May 12, 2015)]
[Notices]
[Pages 27165-27166]
[FR Doc No: 2015-11413]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. AD15-7-000]

Reliability Technical Conference; Supplemental Notice With Agenda

    As announced in the Notice of Technical Conference issued on April
9, 2014, the Commission will hold a technical conference on Thursday,
June 4, 2015 from 10:00 a.m. to 4:00 p.m. to discuss policy issues
related to the reliability of the Bulk-Power System. The agenda for
this conference is attached. Commission members will participate in
this conference.
    Registration is not required, but is encouraged. Attendees may
register at: https://www.ferc.gov/whats-new/registration/06-04-15-form.asp.
    After the close of the conference, the Commission will accept
written comments regarding the matters discussed at the technical
conference. Any person or entity wishing to submit written comments
regarding the matters discussed at the conference should submit such
comments in Docket No. AD15-7-000 on or before July 9, 2014.
    Information on this event will be posted on the Calendar of Events
on the Commission's Web site, www.ferc.gov, prior to the event. The
conference will be transcribed. Transcripts will be available for a fee
from Ace Reporting Company<PHONE_NUMBER>). A free webcast of this event
is also available through www.ferc.gov. Anyone with Internet access who
desires to listen to this event can do so by navigating to
www.ferc.gov's Calendar of Events and locating this event in the
Calendar. The event will contain a link to the webcast. The Capitol
Connection provides technical support for webcasts and offers the
option of listening to the meeting via phone-bridge for a fee. If you
have any questions, visit

www.CapitolConnection.org or call<PHONE_NUMBER>.
    Commission conferences are accessible under section 508 of the
Rehabilitation Act of 1973. For accessibility accommodations, please
send an email to<EMAIL_ADDRESS>or call toll free 1-866-208-
3372 (voice) or<PHONE_NUMBER> (TTY), or send a FAX to<PHONE_NUMBER> with
the required accommodations.
    For more information about this conference, please contact: Sarah
McKinley, Office of External Affairs, Federal Energy Regulatory
Commission, 888 First Street NE., Washington, DC 20426,<PHONE_NUMBER>,
<EMAIL_ADDRESS>
    Dated: April 28, 2015.
Kimberly D. Bose,
Secretary.
[FR Doc. 2015-11413 Filed 5-11-15; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 83, Number 129 (Thursday, July 5, 2018)]
[Rules and Regulations]
[Pages 31330-31331]
[FR Doc No: 2018-14372]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-R06-OAR-2017-0052; FRL-9979-96--Region 6]

Approval and Promulgation of Implementation Plans; Oklahoma;
Interstate Transport Requirements for the 2012 PM2.5 NAAQS

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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

SUMMARY: Pursuant to the Federal Clean Air Act (CAA or the Act), the
Environmental Protection Agency (EPA) is approving portions of
Oklahoma's State Implementation Plan (SIP) submittal, that addresses a
CAA requirement that SIPs account for potential interstate transport of
air pollution that significantly contributes to nonattainment or
interferes with maintenance of the 2012 fine particulate matter
(PM2.5) National Ambient Air Quality Standards (NAAQS) in
other states. EPA finds that emissions from Oklahoma sources do not
contribute significantly to nonattainment in, or interfere with
maintenance by, any other state with regard to the 2012
PM2.5 NAAQS.

DATES: This rule is effective on August 6, 2018.

ADDRESSES: The EPA has established a docket for this action under
Docket ID No. EPA-R06-OAR-2017-0052. All documents in the docket are
listed on the http://www.regulations.gov website. Although listed in
the index, some information is not publicly available, e.g.,
Confidential Business Information or other information whose disclosure
is restricted by statute. Certain other material, such as copyrighted
material, is not placed on the internet and will be publicly available
only in hard copy form. Publicly available docket materials are
available either electronically through http://www.regulations.gov or
in hard copy at the EPA Region 6, 1445 Ross Avenue, Suite 700, Dallas,
Texas 75202-2733.

FOR FURTHER INFORMATION CONTACT: Sherry Fuerst,<PHONE_NUMBER>,
[email protected].

SUPPLEMENTARY INFORMATION: Throughout this document ``we,'' ``us,'' and
``our'' means the EPA.

I. Background

    The background for this action is discussed in detail in our May
18, 2018 proposal (83 FR 23244). In that document we proposed to
approve portions of Oklahoma's SIP submittal, that addresses a CAA
requirement that SIPs account for potential interstate transport of air
pollution that significantly contributes to nonattainment or interferes
with maintenance of the 2012 PM2.5 NAAQS in other states. We
proposed to determine that emissions from Oklahoma sources do not
contribute significantly to nonattainment in, or interfere with
maintenance by, any other state with regard to the 2012
PM2.5 NAAQS.
    We received three anonymous public comments on the proposed
rulemaking action. The comments are posted to the docket (EPA-R06-OAR-
2017-0052). In the first comment, received on May 19, 2018, the
commenter makes a comment regarding the President and his recent
allegations against the FBI. Such comment is irrelevant and is outside
the scope of this specific rule making action. In the second comment,
received May 20, 2018, the commenter raised concerns regarding the
validity of the UN Intergovernmental Panel on Climate Change and
governments' reliance on the panel's recommendations. Such comment is
irrelevant and is outside the scope of this specific rule making
action. In the third and final comment, received on June 3, 2018, the
commenter raised concerns and doubts about the effectiveness of
environmental regulations. Such comment is irrelevant and is outside
the scope of this specific rule making action.

II. Final Action

    We are approving the portions of the December 19, 2016 Oklahoma SIP
revision pertaining to emissions that significantly contribute to
nonattainment or interfere with maintenance of the 2012
PM2.5 NAAQS in other states. We find that emissions from
Oklahoma sources do not contribute significantly to nonattainment in,
or interfere with maintenance by, any other state with regard to the
2012 PM2.5 NAAQS.

III. Statutory and Executive Order Reviews

    Under the CAA, the Administrator is required to approve a SIP
submission that complies with the provisions of the Act and applicable
Federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a). Thus, in
reviewing SIP submissions, the EPA's role is to approve state choices,
provided that they meet the criteria of the CAA. Accordingly, this
action merely approves state law as meeting Federal requirements and
does not

impose additional requirements beyond those imposed by state law. For
that reason, this action:
     Is not a ``significant regulatory action'' subject to
review by the Office of Management and Budget under Executive Orders
12866 (58 FR 51735, October 4, 1993) and 13563 (76 FR 3821, January 21,
2011);
     Is not an Executive Order 13771 (82 FR 9339, February 2,
2017) regulatory action because SIP approvals are exempted under
Executive Order 12866;
     Does not impose an information collection burden under the
provisions of the Paperwork Reduction Act (44 U.S.C. 3501 et seq.);
     Is certified as not having a significant economic impact
on a substantial number of small entities under the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.);
     Does not contain any unfunded mandate or significantly or
uniquely affect small governments, as described in the Unfunded
Mandates Reform Act of 1995 (Pub. L. 104-4);
     Does not have Federalism implications as specified in
Executive Order 13132 (64 FR 43255, August 10, 1999);
     Is not an economically significant regulatory action based
on health or safety risks subject to Executive Order 13045 (62 FR
19885, April 23, 1997);
     Is not a significant regulatory action subject to
Executive Order 13211 (66 FR 28355, May 22, 2001);
     Is not subject to requirements of section 12(d) of the
National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272
note) because application of those requirements would be inconsistent
with the CAA; and
     Does not provide EPA with the discretionary authority to
address, as appropriate, disproportionate human health or environmental
effects, using practicable and legally permissible methods, under
Executive Order 12898 (59 FR 7629, February 16, 1994).
    In addition, the SIP is not approved to apply on any Indian
reservation land or in any other area where EPA or an Indian tribe has
demonstrated that a tribe has jurisdiction. In those areas of Indian
country, the rule does not have tribal implications and will not impose
substantial direct costs on tribal governments or preempt tribal law as
specified by Executive Order 13175 (65 FR 67249, November 9, 2000).
    The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the
Small Business Regulatory Enforcement Fairness Act of 1996, generally
provides that before a rule may take effect, the agency promulgating
the rule must submit a rule report, which includes a copy of the rule,
to each House of the Congress and to the Comptroller General of the
United States. EPA will submit a report containing this action and
other required information to the U.S. Senate, the U.S. House of
Representatives, and the Comptroller General of the United States prior
to publication of the rule in the Federal Register. A major rule cannot
take effect until 60 days after it is published in the Federal
Register. This action is not a ``major rule'' as defined by 5 U.S.C.
804(2).
    Under section 307(b)(1) of the Clean Air Act, petitions for
judicial review of this action must be filed in the United States Court
of Appeals for the appropriate circuit by September 3, 2018. Filing a
petition for reconsideration by the Administrator of this final rule
does not affect the finality of this action for the purposes of
judicial review nor does it extend the time within which a petition for
judicial review may be filed, and shall not postpone the effectiveness
of such rule or action. This action may not be challenged later in
proceedings to enforce its requirements. (See section 307(b)(2).)

List of Subjects in 40 CFR Part 52

    Environmental protection, Air pollution control, Incorporation by
reference, Particulate matter.

    Dated: June 28, 2018.
Anne Idsal,
Regional Administrator, Region 6.

    40 CFR part 52 is amended as follows:

PART 52--APPROVAL AND PROMULGATION OF IMPLEMENTATION PLANS

0
1. The authority citation for part 52 continues to read as follows:

    Authority:  42 U.S.C. 7401 et seq.

Subpart LL--Oklahoma

0
2. In Sec.  52.1920(e) the table titled ``EPA-Approved Oklahoma
Nonregulatory Provisions and Quasi-Regulatory Measures in the Oklahoma
SIP'' is amended by adding an entry at the end for ``Interstate
transport for the 2012 PM2.5 NAAQS (contribute to
nonattainment or interfere with maintenance)'' to read as follows:

Sec.  52.1920   Identification of plan.

* * * * *
    (e) * * *

             EPA-Approved Nonregulatory Provisions and Quasi-Regulatory Measures in the Oklahoma SIP
----------------------------------------------------------------------------------------------------------------
                                       Applicable           State
     Name of SIP  provision          geographic or        submittal    EPA  approval date       Explanation
                                   nonattainment area       date
----------------------------------------------------------------------------------------------------------------

                                                  * * * * * * *
Interstate transport for the      Statewide..........      12/19/2016  7/5/2018, [Insert   .....................
 2012 PM2.5 NAAQS (contribute to                                        Federal Register
 nonattainment or interfere with                                        citation].
 maintenance).
----------------------------------------------------------------------------------------------------------------

* * * * *
[FR Doc. 2018-14372 Filed 7-3-18; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register: January 23, 2009 (Volume 74, Number 14)]
[Rules and Regulations]
[Page 4126-4129]
[DOCID:fr23ja09-6]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2008-0558; Directorate Identifier 2007-NM-365-AD;
Amendment 39-15783; AD 2009-01-04]
RIN 2120-AA64

Airworthiness Directives; Airbus Model A318, A319, A320, and A321
Airplanes

AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).

ACTION: Final rule.

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

SUMMARY: We are adopting a new airworthiness directive (AD) for the
products listed above. This AD results from mandatory continuing
airworthiness information (MCAI) originated by an aviation authority of
another country to identify and correct an unsafe condition on an
aviation product. The MCAI describes the unsafe condition as:

    Some operators have reported occurrences of loss of the AC BUS 1
with subsequent loss of the AC ESS BUS and DC ESS BUS, resulting in
the loss of 5 upper Display Units and the loss of integral lighting.
In this situation, flight crew[s] have reported concerns in reading
the standby instruments when the DOME lights were selected to OFF.
    This situation, if not corrected, could increase the workload of
the flight crew * * *.
* * * * *
    The unsafe condition is reduced ability of the flightcrew to
maintain the safe flight and landing of the airplane in adverse
operating conditions. We are issuing this AD to require actions to
correct the unsafe condition on those products.

DATES: This AD becomes effective February 27, 2009.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of February 27,
2009.

ADDRESSES: You may examine the AD docket on the Internet at http://
www.regulations.gov or in person at the U.S. Department of
Transportation, Docket Operations, M-30, West Building Ground Floor,
Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC.

FOR FURTHER INFORMATION CONTACT: Tim Dulin, Aerospace Engineer,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
1601 Lind Avenue, SW., Renton, Washington 98057-3356; telephone (425)
227-2141; fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 to include an AD that would apply to the specified products.
That NPRM was published in the Federal Register on May 20, 2008 (73 FR
29089). That NPRM proposed to correct an unsafe condition for the
specified products. The MCAI states:

    Some operators have reported occurrences of loss of the AC BUS 1
with subsequent loss of the AC ESS BUS and DC ESS BUS, resulting in
the loss of 5 upper Display Units and the loss of integral lighting.
In this situation, flight crews[s] have reported concerns in reading
the standby instruments when the DOME lights were selected to OFF.
    This situation, if not corrected, could increase the workload of
the flight crew * * *.
    This Airworthiness Directive (AD) mandates the modification of
the electrical supply logic by adding a back-up supply on the
battery hot bus for the under glare shield flood lighting.

The unsafe condition is reduced ability of the flightcrew to maintain
the safe flight and landing of the airplane in adverse operating
conditions. You may obtain further information by examining the MCAI in
the AD docket.

Comments

    We gave the public the opportunity to participate in developing
this AD. We considered the comments received.

Request To Include Revised Service Information

    Airbus, United Airlines, and the Air Transport Association on
behalf of its member U.S. Airways, ask that Airbus Mandatory Service
Bulletin A320-33-1057, Revision 01, dated January 31, 2008, be referred
to in the AD for doing the proposed modification. Airbus Service
Bulletin A320-33-1057, dated May 11, 2007, was referred to in the NPRM
as the appropriate source of service information for doing the
modification.
    We agree and we have changed paragraphs (f) and (h) of this AD to
include Airbus Mandatory Service Bulletin A320-33-1057, Revision 01,
dated January 31, 2008, as the appropriate source of service

information for doing the modification. No additional work is necessary
for airplanes modified in accordance with Airbus Service Bulletin A320-
33-1057, dated May 11, 2007. We have also included credit for
accomplishing Airbus Service Bulletin A320-33-1057, dated May 11, 2007,
to do the modification before the effective date of the AD.

Request To Reduce Compliance Time

    The Airline Pilots Association, International (ALPA) asks that the
42-month compliance time proposed in the NPRM be reduced to 18 months.
ALPA states that, given the potentially serious consequences of a
flightcrew being unable to view their standby instruments, a shorter
compliance time should be imposed.
    We do not agree that the compliance time should be reduced. In
developing the compliance time for this AD action, we considered not
only the safety implications of the identified unsafe condition, but
the average utilization rate of the affected fleet, the practical
aspects of modifying the fleet during the compliance time, and the
availability of required parts. In addition, we have coordinated with
the European Aviation Safety Agency (EASA), which is the Technical
Agent for the Member States of the European Community. We have
determined that the 42-month compliance time to do the modification
addresses the identified unsafe condition and ensures an adequate level
of safety for the affected fleet. We have made no change to the AD in
this regard.

Request To Allow Another Source of Service Information

    Northwest Airlines (NWA) asks that we allow accomplishing the
actions specified in either Airbus Service Bulletin A320-24-1120,
Revision 01, dated December 19, 2007; or Airbus Service Bulletin A320-
33-1057, dated May 11, 2007; as a method of complying with the NPRM.
The NPRM proposes to require accomplishing the modification in
accordance with Airbus Service Bulletin A320-33-1057, dated May 11,
2007, and makes no reference to Airbus Service Bulletin A320-24-1120,
Revision 01, dated December 19, 2007. NWA states that Airbus Service
Bulletin A320-33-1057, dated May 11, 2007, does not correct the root
cause of the problem, and does not alleviate other operational
consequences of the faults. NWA notes that Airbus Service Bulletin
A320-33-1057, dated May 11, 2007, adds the provision for lighting of
the standby instruments if there is a loss of AC BUS1, and AC and DC
ESS BUS. NWA adds that the majority of commercial air traffic occurs
during daylight when the illumination of standby instruments by the
glare shield lighting is not required. NWA states that no lost systems
are recovered and the flightcrew must work through COM procedures,
possibly during critical flight phases. NWA notes that the only
additional margin of safety provided is at night, under some flight
phases. NWA states that it prefers to accomplish the modification
specified in Airbus Service Bulletin A320-24-1120, dated December 19,
2007, because it negates the need for the improved lighting specified
in Airbus Service Bulletin A320-33-1057, dated May 11, 2007. NWA adds
that Airbus Service Bulletin A320-24-1120, Revision 01, dated December
19, 2007, addresses the unsafe condition by installing an automatic
switching system for the AC and DC ESS BUS fault to recover all lost
systems in approximately five seconds. NWA adds that the automatic
recovery resolves the display outage, loss of VHF radios, and nose
wheel steering with no flightcrew intervention.
    We do not agree to allow accomplishing the actions specified in
Airbus Service Bulletin A320-24-1120, Revision 01, dated December 19,
2007, as an option to accomplishing the actions in Airbus Service
Bulletin A320-33-1057, dated May 11, 2007; or Airbus Mandatory Service
Bulletin A320-33-1057, Revision 01, dated January 31, 2008. We have
determined that accomplishment of actions in Airbus Service Bulletin
A320-33-1057, dated May 11, 2007; or Airbus Mandatory Service Bulletin
A320-33-1057, Revision 01, dated January 31, 2008, not only ensures
adequate lighting to the standby instruments in all phases of flight,
but also provides backup power to the conventional standby attitude
indicator itself from the hot battery bus. We agree that accomplishing
the modification specified in Airbus Service Bulletin A320-33-1057,
dated May 11, 2007; or Airbus Mandatory Service Bulletin A320-33-1057,
Revision 01, dated January 31, 2008; does not address the root cause of
the problem or alleviate all other operational problems related to the
AC BUS 1 failures. We have not determined the root cause for loss of
first officer displays following failure of AC BUS 1, but we know the
root cause of this failure condition is not addressed by accomplishing
Airbus Service Bulletin A320-24-1120, Revision 01, dated December 19,
2007. Although we agree that accomplishing Airbus Service Bulletin
A320-24-1120, Revision 01, dated December 19, 2007, would alleviate
some of the other operational problems related to the AC BUS 1
failures, the auto switching may not restore power to AC BUS1 and AC
and DC ESS BUS. The modification specified in Airbus Service Bulletin
A320-33-1057, dated May 11, 2007; or Airbus Mandatory Service Bulletin
A320-33-1057, Revision 01, dated January 31, 2008; will ensure that the
standby instruments are visible in night operations and will continue
to function for at least 30 minutes after failure of AC BUS 1 with no
pilot action. In light of these factors, we may consider further
rulemaking related to Airbus Service Bulletin A320-24-1120, Revision
01, dated December 19, 2007, in the future. We have made no change to
the AD in this regard.

Conclusion

    We reviewed the available data, including the comments received,
and determined that air safety and the public interest require adopting
the AD with the changes described previously. We determined that these
changes will not increase the economic burden on any operator or
increase the scope of the AD.

Differences Between This AD and the MCAI or Service Information

    We have reviewed the MCAI and related service information and, in
general, agree with their substance. But we might have found it
necessary to use different words from those in the MCAI to ensure the
AD is clear for U.S. operators and is enforceable. In making these
changes, we do not intend to differ substantively from the information
provided in the MCAI and related service information.
    We might also have required different actions in this AD from those
in the MCAI in order to follow our FAA policies. Any such differences
are highlighted in a note within the AD.

Costs of Compliance

    We estimate that this AD will affect 550 products of U.S. registry.
We also estimate that it will take about 30 work-hours per product to
comply with the basic requirements of this AD. The average labor rate
is $80 per work-hour. Required parts will cost about $0 per product.
Where the service information lists required parts costs that are
covered under warranty, we have assumed that there will be no charge
for these costs. As we do not control warranty coverage for affected
parties, some parties may incur costs higher than estimated here. Based
on these figures, we estimate the cost of the AD

on U.S. operators to be $1,320,000, or $2,400 per product.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. ``Subtitle VII: Aviation
Programs,'' describes in more detail the scope of the Agency's
authority.
    We are issuing this rulemaking under the authority described in
``Subtitle VII, Part A, Subpart III, section 44701: General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.

Regulatory Findings

    We determined that this AD will not have federalism implications
under Executive Order 13132. This AD will not have a substantial direct
effect on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.
    For the reasons discussed above, I certify this AD:
    1. Is not a ``significant regulatory action'' under Executive Order
12866;
    2. Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979); and
    3. Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.
    We prepared a regulatory evaluation of the estimated costs to
comply with this AD and placed it in the AD docket.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://
www.regulations.gov; or in person at the Docket Operations office
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains the NPRM, the regulatory evaluation,
any comments received, and other information. The street address for
the Docket Operations office (telephone<PHONE_NUMBER>) is in the
ADDRESSES section. Comments will be available in the AD docket shortly
after receipt.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

Adoption of the Amendment

0
Accordingly, under the authority delegated to me by the Administrator,
the FAA amends 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

    Authority: 49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13  [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new AD:

2009-01-04 Airbus: Amendment 39-15783. Docket No. FAA-2008-0558;
Directorate Identifier 2007-NM-365-AD.

Effective Date

    (a) This airworthiness directive (AD) becomes effective February
27, 2009.

Affected ADs

    (b) None.

Applicability

    (c) This AD applies to Airbus Model A318, A319, A320, and A321
airplanes, certificated in any category; all certified models; all
serial numbers; on which classical standby instruments have been
installed per Airbus Modification 20011 or 21999 in production, or
per Airbus Service Bulletin A320-34-1280 in service; excluding
airplanes identified in paragraphs (c)(1) or (c)(2) of this AD.
    (1) Airplanes on which ISIS equipment was installed per Airbus
Modification 27620 in production or per Airbus Service Bulletin
A320-34-1261 or Airbus Service Bulletin A320-34-1372 in service.
    (2) Airplanes on which Airbus Modification 37329 or 37330 was
installed in production or per Airbus Service Bulletin A320-33-1057
in service.

Subject

    (d) Air Transport Association (ATA) of America Code 33: Lights.

Reason

    (e) The mandatory continuing airworthiness information (MCAI)
states:

    ``Some operators have reported occurrences of loss of the AC BUS
1 with subsequent loss of the AC ESS BUS and DC ESS BUS, resulting
in the loss of 5 upper Display Units and the loss of integral
lighting. In this situation, flight crews[s] have reported concerns
in reading the standby instruments when the DOME lights were
selected to OFF.
    ``This situation, if not corrected, could increase the workload
of the flight crew * * *.
    ``This Airworthiness Directive (AD) mandates the modification of
the electrical supply logic by adding a back-up supply on the
battery hot bus for the under glare shield flood lighting.''

The unsafe condition is reduced ability of the flightcrew to
maintain the safe flight and landing of the airplane in adverse
operating conditions.

Actions and Compliance

    (f) Unless already done, within 42 months after the effective
date of this AD: Modify the electrical supply logic of the under
glare shield flood lighting in accordance with the instructions
given in Airbus Mandatory Service Bulletin A320-33-1057, Revision
01, dated January 31, 2008. Modifications done before the effective
date of this AD in accordance with Airbus Service Bulletin A320-33-
1057, dated May 11, 2007, are acceptable for compliance with the
modification in this paragraph.

FAA AD Differences

    Note: This AD differs from the MCAI and/or service information
as follows: No differences.

Other FAA AD Provisions

    (g) The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager,
International Branch, ANM-116, FAA, has the authority to approve
AMOCs for this AD, if requested using the procedures found in 14 CFR
39.19. Send information to ATTN: Tim Dulin, Aerospace Engineer,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
1601 Lind Avenue, SW., Renton, Washington 98057-3356; telephone
(425) 227-2141; fax<PHONE_NUMBER>. Before using any approved AMOC
on any airplane to which the AMOC applies, notify your appropriate
principal inspector (PI) in the FAA Flight Standards District Office
(FSDO), or lacking a PI, your local FSDO.
    (2) Airworthy Product: For any requirement in this AD to obtain
corrective actions from a manufacturer or other source, use these
actions if they are FAA-approved. Corrective actions are considered
FAA-approved if they are approved by the State of Design Authority
(or their delegated agent). You are required to assure the product
is airworthy before it is returned to service.
    (3) Reporting Requirements: For any reporting requirement in
this AD, under the provisions of the Paperwork Reduction Act, the
Office of Management and Budget (OMB) has approved the information
collection requirements and has assigned OMB Control Number 2120-
0056.

Related Information

    (h) Refer to MCAI European Aviation Safety Agency Airworthiness
Directive 2007-0286, dated November 14, 2007; and Airbus Mandatory
Service Bulletin A320-33-1057, Revision 01, dated January 31, 2008;
for related information.

Material Incorporated by Reference

    (i) You must use Airbus Mandatory Service Bulletin A320-33-1057,
Revision 01, dated January 31, 2008, to do the actions required by
this AD, unless the AD specifies otherwise.

    (1) The Director of the Federal Register approved the
incorporation by reference of this service information under 5
U.S.C. 552(a) and 1 CFR part 51.
    (2) For service information identified in this AD, contact
Airbus, Airworthiness Office--EAS, 1 Rond Point Maurice Bellonte,
31707 Blagnac Cedex, France; fax +33 5 61 93 44 51; e-mail:
<EMAIL_ADDRESS>Internet http://www.airbus.com.
    (3) You may review copies of the service information that is
incorporated by reference at the FAA, Transport Airplane
Directorate, 1601 Lind Avenue, SW., Renton, Washington. For
information on the availability of this material at the FAA, call
425-227-1221 or<PHONE_NUMBER>.
    (4) You may also review copies of the service information at the
National Archives and Records Administration (NARA). For information
on the availability of this material at NARA, call<PHONE_NUMBER>, or
go to: http://www.archives.gov/federal_register/code_of_federal_
regulations/ibr_locations.html.

    Issued in Renton, Washington, on December 28, 2008.
Linda Navarro,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. E9-26 Filed 1-22-09; 8:45 am]

BILLING CODE 4910-13-P


[Federal Register Volume 84, Number 241 (Monday, December 16, 2019)]
[Notices]
[Pages 68442-68443]
[FR Doc No: 2019-27011]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. IC19-46-000]

Commission Information Collection Activities (FERC-604); Comment
Request; Extension

AGENCY: Federal Energy Regulatory Commission, DOE.

ACTION: Notice of information collection and request for comments.

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

SUMMARY: In compliance with the requirements of the Paperwork Reduction
Act of 1995 (PRA), the Federal Energy Regulatory Commission (Commission
or FERC) is soliciting public comments on the currently approved
information collection, FERC-604 (Cash Management Agreements) and
submitting the information collection to the Office of Management and
Budget (OMB) for review. Any interested person may file comments
directly with OMB and should address a copy of those comments to the
Commission as explained below.

DATES: Comments on the collection of information are due January 15,
2020.

ADDRESSES: Comments filed with OMB, identified by the OMB Control No.
1902-0267, should be sent via email to the Office of Information and
Regulatory Affairs<EMAIL_ADDRESS>Attention: Federal Energy
Regulatory Commission Desk Office.
    A copy of the comments should also be sent to the Commission, in
Docket No. IC19-46-000, by either of the following methods:
     eFiling at Commission's Website: http://www.ferc.gov/docs-filing/efiling.asp.
     Mail/Hand Delivery/Courier: Federal Energy Regulatory
Commission, Secretary of the Commission, 888 First Street NE,
Washington, DC 20426.
    Instructions: All submissions must be formatted and filed in
accordance with submission guidelines at: http://www.ferc.gov/help/submission-guide.asp. For user assistance, contact FERC Online Support
by email at<EMAIL_ADDRESS>or by phone at:<PHONE_NUMBER>
(toll-free), or<PHONE_NUMBER> for TTY.
    Docket: Users interested in receiving automatic notification of
activity in this docket or in viewing/downloading comments and
issuances in this docket may do so at http://www.ferc.gov/docs-filing/docs-filing.asp.

FOR FURTHER INFORMATION CONTACT: Ellen Brown may be reached by email at
<EMAIL_ADDRESS>telephone at<PHONE_NUMBER>, and fax at (202)
273-0873.

SUPPLEMENTARY INFORMATION:
    Title: FERC-604 (Cash Management Agreements).
    OMB Control No.: 1902-0267.
    Type of Request: Three-year extension of the FERC-604 with no
changes to the current reporting requirements.
    Abstract: On September 6, 2019 (84 FR 46949), the Commission
published a Notice in the Federal Register in Docket No. IC19-46-000
requesting public comments. The Commission received no comments and is
noting that in the related submittal to OMB. Cash management or ``money
pool'' programs typically concentrate affiliates' cash assets in joint
accounts for the purpose of providing financial flexibility and
lowering the cost of borrowing. In a 2001 investigation, FERC staff
found that balances in cash management programs affecting FERC-
regulated entities totaled approximately $16 billion. Additionally,
other investigations revealed large transfers of funds amounting to
more than $1 billion between regulated pipeline affiliates and non-
regulated parents whose financial conditions were precarious. The
Commission found that these and other fund transfers and the enormous
(mostly unregulated) pools of money in cash management programs could
detrimentally affect regulated rates.
    To protect customers and promote transparency, the Commission
issued Order No. 634-A (2003) requiring entities to formalize in
writing and file with the Commission their cash management agreements.
At that time, the Commission obtained OMB clearance for the new
reporting requirement under the FERC-555 information collection (OMB
Control No. 1902-0098). The Commission includes these reporting
requirements for cash management agreements under the FERC-604
information collection (OMB Control No. 1902-0267). The Commission
implemented these reporting requirements in 18 CFR 141.500, 260.400,
and 357.5.
    Type of Respondents: Public utilities, natural gas companies, and
oil pipeline companies.
    Estimate of Annual Burden.\1\ The Commission estimates the annual
public reporting burden and cost \2\ for the information collection as:
---------------------------------------------------------------------------

    \1\ Burden is defined as the total time, effort, or financial
resources expended by persons to generate, maintain, retain, or
disclose or provide information to or for a federal agency. See 5
CFR 1320 for additional information on the definition of information
collection burden.
    \2\ The Commission staff estimates that industry is similarly
situated in terms of hourly cost (for wages plus benefits). Based on
the Commission's FY (Fiscal Year) 2019 average cost of $167,091 (for
wages plus benefits), $80.00/hour is used.

                                                          FERC--604--Cash Management Agreements
--------------------------------------------------------------------------------------------------------------------------------------------------------
                    Number of
   Number of      responses per    Total number  of     Average burden hours & average cost      Total annual burden hours & total         Cost per
  respondents       respondent         responses                 per response ($)                         annual cost ($)               respondent ($)
(1)                         (2)     (1) * (2) = (3)   (4)...................................  (3) * (4) = (5).......................    (5) / (1) = (6)
--------------------------------------------------------------------------------------------------------------------------------------------------------
            35                1                  35   1.5 hours; $120.00....................  52.5 hours; $4,200.00.................            $120.00
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Comments: Comments are invited on: (1) Whether the collection of
information are necessary for the proper performance of the functions
of the Commission, including whether the information will have
practical utility; (2) the accuracy of the agency's estimates of the
burden and cost of the collection of information, including the
validity of the methodology and assumptions used; (3) ways to enhance
the quality, utility and clarity of the information collection; and (4)
ways to minimize the burden of the collection of information on those
who are to respond, including the use of automated collection
techniques or other forms of information technology.

    Dated: December 10, 2019.
Kimberly D. Bose,
Secretary.
[FR Doc. 2019-27011 Filed 12-13-19; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: September 24, 2008 (Volume 73, Number 186)]
[Notices]
[Page 55180-55185]
[DOCID:fr24se08-150]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-58563; File No. 4-569]

Program for Allocation of Regulatory Responsibilities Pursuant to
Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of
Regulatory Responsibilities Between the Financial Industry Regulatory
Authority, Inc. and BATS Exchange, Inc.

September 17, 2008.
    Pursuant to section 17(d) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 17d-2 thereunder,\2\ notice is hereby given that
on August 27, 2008, BATS Exchange, Inc. (``BATS'') and the Financial
Industry Regulatory Authority, Inc. (``FINRA'') (together with BATS,
the ``Parties'') filed with the Securities and Exchange Commission
(``Commission'' or ``SEC'') a plan for the allocation of regulatory
responsibilities, dated August 25, 2008 (``17d-2 Plan'' or the
``Plan''). The Commission is publishing this notice to

solicit comments on the 17d-2 Plan from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78q(d).
    \2\ 17 CFR 240.17d-2.
---------------------------------------------------------------------------

I. Introduction

    Section 19(g)(1) of the Act,\3\ among other things, requires every
self-regulatory organization (``SRO'') registered as either a national
securities exchange or national securities association to examine for,
and enforce compliance by, its members and persons associated with its
members with the Act, the rules and regulations thereunder, and the
SRO's own rules, unless the SRO is relieved of this responsibility
pursuant to section 17(d) or section 19(g)(2) of the Act.\4\ Without
this relief, the statutory obligation of each individual SRO could
result in a pattern of multiple examinations of broker-dealers that
maintain memberships in more than one SRO (``common members''). Such
regulatory duplication would add unnecessary expenses for common
members and their SROs.
---------------------------------------------------------------------------

    \3\ 15 U.S.C. 78s(g)(1).
    \4\ 15 U.S.C. 78q(d) and 15 U.S.C. 78s(g)(2), respectively.
---------------------------------------------------------------------------

    Section 17(d)(1) of the Act \5\ was intended, in part, to eliminate
unnecessary multiple examinations and regulatory duplication.\6\ With
respect to a common member, section 17(d)(1) authorizes the Commission,
by rule or order, to relieve an SRO of the responsibility to receive
regulatory reports, to examine for and enforce compliance with
applicable statutes, rules, and regulations, or to perform other
specified regulatory functions.
---------------------------------------------------------------------------

    \5\ 15 U.S.C. 78q(d)(1).
    \6\ See Securities Act Amendments of 1975, Report of the Senate
Committee on Banking, Housing, and Urban Affairs to Accompany S.
249, S. Rep. No. 94-75, 94th Cong., 1st Session 32 (1975).
---------------------------------------------------------------------------

    To implement section 17(d)(1), the Commission adopted two rules:
Rule 17d-1 and Rule 17d-2 under the Act.\7\ Rule 17d-1 authorizes the
Commission to name a single SRO as the designated examining authority
(``DEA'') to examine common members for compliance with the financial
responsibility requirements imposed by the Act, or by Commission or SRO
rules.\8\ When an SRO has been named as a common member's DEA, all
other SROs to which the common member belongs are relieved of the
responsibility to examine the firm for compliance with the applicable
financial responsibility rules. On its face, Rule 17d-1 deals only with
an SRO's obligations to enforce member compliance with financial
responsibility requirements. Rule 17d-1 does not relieve an SRO from
its obligation to examine a common member for compliance with its own
rules and provisions of the federal securities laws governing matters
other than financial responsibility, including sales practices and
trading activities and practices.
---------------------------------------------------------------------------

    \7\ 17 CFR 240.17d-1 and 17 CFR 240.17d-2, respectively.
    \8\ See Securities Exchange Act Release No. 12352 (April 20,
1976), 41 FR 18808 (May 7, 1976).
---------------------------------------------------------------------------

    To address regulatory duplication in these and other areas, the
Commission adopted Rule 17d-2 under the Act.\9\ Rule 17d-2 permits SROs
to propose joint plans for the allocation of regulatory
responsibilities with respect to their common members. Under paragraph
(c) of Rule 17d-2, the Commission may declare such a plan effective if,
after providing for appropriate notice and comment, it determines that
the plan is necessary or appropriate in the public interest and for the
protection of investors; to foster cooperation and coordination among
the SROs; to remove impediments to, and foster the development of, a
national market system and a national clearance and settlement system;
and is in conformity with the factors set forth in Section 17(d) of the
Act. Commission approval of a plan filed pursuant to Rule 17d-2
relieves an SRO of those regulatory responsibilities allocated by the
plan to another SRO.
---------------------------------------------------------------------------

    \9\ See Securities Exchange Act Release No. 12935 (October 28,
1976), 41 FR 49091 (November 8, 1976).
---------------------------------------------------------------------------

II. Proposed Plan

    The proposed 17d-2 Plan is intended to reduce regulatory
duplication for firms that are common members of both BATS and
FINRA.\10\ Pursuant to the proposed 17d-2 Plan, FINRA would assume
certain examination and enforcement responsibilities for common members
with respect to certain applicable laws, rules, and regulations.
---------------------------------------------------------------------------

    \10\ The proposed 17d-2 Plan refers to these common members as
``Dual Members.'' See Paragraph 1(c) of the proposed 17d-2 Plan.
---------------------------------------------------------------------------

    The text of the Plan delineates the proposed regulatory
responsibilities with respect to the Parties. Included in the proposed
Plan is an exhibit (the ``BATS Exchange Rules Certification for 17d-2
Agreement with FINRA,'' referred to herein as the ``Certification'')
that lists every BATS rule, and select federal securities laws, rules,
and regulations, for which FINRA would bear responsibility under the
Plan for overseeing and enforcing with respect to BATS members that are
also members of FINRA and the associated persons therewith (``Dual
Members'').
    Specifically, under the 17d-2 Plan, FINRA would assume examination
and enforcement responsibility relating to compliance by Dual Members
with the rules of BATS that are substantially similar to the applicable
rules of FINRA,\11\ as well as any provisions of the federal securities
laws and the rules and regulations thereunder delineated in the
Certification (``Common Rules''). Common Rules would not include the
application of any BATS rule or FINRA rule, or any rule or regulation
under the Act, to the extent that it pertains to violations of insider
trading activities, because such matters are covered by a separate
multiparty agreement under Rule 17d-2.\12\ In the event that a Dual
Member is the subject of an investigation relating to a transaction on
BATS, the plan acknowledges that BATS may, in its discretion, exercise
concurrent jurisdiction and responsibility for such matter.\13\
---------------------------------------------------------------------------

    \11\ See paragraph 1(b) of the proposed 17d-2 Plan (defining
Common Rules). See also paragraph 1(f) of the proposed 17d-2 Plan
(defining Regulatory Responsibilities). Paragraph 2 of the Plan
provides that annually, or more frequently as required by changes in
either BATS's rules or FINRA rules, the parties shall review and
update, if necessary, the list of Common Rules. Further, paragraph 3
of the Plan provides that BATS shall furnish FINRA with a list of
Dual Members, and shall update the list no less frequently than once
each calendar quarter.
    \12\ See Securities Exchange Act Release No. 58350 (August 13,
2008), 73 FR 48247 (August 18, 2008) (File No. 4-566) (notice of
filing of proposed plan). See also Securities Exchange Act Release
No. 58536 (September 12, 2008) (File No. 4-566) (order approving and
declaring effective the plan). The Certification identifies several
Common Rules that may also be addressed in the context of regulating
insider trading activities pursuant to the proposed separate
multiparty agreement.
    \13\ See paragraph 6 of the proposed 17d-2 Plan.
---------------------------------------------------------------------------

    Under the Plan, BATS would retain full responsibility for
surveillance and enforcement with respect to trading activities or
practices involving BATS's own marketplace, including, without
limitation, registration pursuant to its applicable rules of associated
persons (i.e., registration rules that are not Common Rules); its
duties as a DEA pursuant to Rule 17d-1 under the Act; and any BATS
rules that are not Common Rules, except for BATS rules for any broker-
dealer subsidiary of BATS Holding, Inc.\14\ Apparent violations of any
BATS rules by any broker-dealer subsidiary of BATS Holdings, Inc. will
be processed by, and enforcement proceedings in respect thereto will be
conducted by, FINRA.\15\
---------------------------------------------------------------------------

    \14\ See paragraph 2 of the proposed 17d-2 Plan.
    \15\ See paragraph 6 of the proposed 17d-2 Plan.
---------------------------------------------------------------------------

    The text of the proposed 17d-2 Plan is as follows:

Agreement Between Financial Industry Regulatory Authority, Inc. and
BATS Exchange, Inc. Pursuant to Rule 17d-2 Under the Securities
Exchange Act of 1934

    This Agreement, by and between the Financial Industry Regulatory
Authority, Inc. (``FINRA'') and BATS Exchange, Inc. (``BATS''), is made
this 25th day of August, 2008 (the ``Agreement''), pursuant to section
17(d) of the Securities Exchange Act of 1934 (the ``Exchange Act'') and
Rule 17d-2 thereunder, which permits agreements between self-regulatory
organizations to allocate regulatory responsibility to eliminate
regulatory duplication. FINRA and BATS may be referred to individually
as a ``party'' and together as the ``parties.''
    Whereas, FINRA and BATS desire to reduce duplication in the
examination of their Dual Members (as defined herein) and in the filing
and processing of certain registration and membership records; and
    Whereas, FINRA and BATS desire to execute an agreement covering
such subjects pursuant to the provisions of Rule 17d-2 under the
Exchange Act and to file such agreement with the Securities and
Exchange Commission (the ``SEC'' or ``Commission'') for its approval.
    Now, therefore, in consideration of the mutual covenants contained
hereinafter, FINRA and BATS hereby agree as follows:
    1. Definitions. Unless otherwise defined in this Agreement or the
context otherwise requires, the terms used in this Agreement shall have
the same meaning as they have under the Exchange Act and the rules and
regulations thereunder. As used in this Agreement, the following terms
shall have the following meanings:
    (a) ``BATS Rules'' or ``FINRA Rules'' shall mean: (i) The rules of
BATS, or (ii) the rules of FINRA, respectively, as the rules of an
exchange or association are defined in Exchange Act Section 3(a)(27).
    (b) ``Common Rules'' shall mean BATS Rules that are substantially
similar to the applicable FINRA Rules and certain provisions of the
Exchange Act and SEC rules set forth on Exhibit 1 in that examination
for compliance with such provisions and rules would not require FINRA
to develop one or more new examination standards, modules, procedures,
or criteria in order to analyze the application of the provision or
rule, or a Dual Member's activity, conduct, or output in relation to
such provision or rule; provided, however, Common Rules shall not
include the application of the SEC, BATS or FINRA rules as they pertain
to violations of insider trading activities, which is covered by a
separate 17d-2 Agreement by and among the American Stock Exchange, LLC,
Boston Stock Exchange, Inc., CBOE Stock Exchange, LLC, Chicago Stock
Exchange, Inc., Financial Industry Regulatory Authority, Inc.,
International Securities Exchange, LLC, The NASDAQ Stock Market LLC,
National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE Arca
Inc., NYSE Regulation, Inc., and Philadelphia Stock Exchange, Inc.
submitted to the SEC on August 12, 2008.
    (c) ``Dual Members'' shall mean those BATS members that are also
members of FINRA and the associated persons therewith.
    (d) ``Effective Date'' shall have the meaning set forth in
paragraph 13.
    (e) ``Enforcement Responsibilities'' shall mean the conduct of
appropriate proceedings, in accordance with FINRA's Code of Procedure
(the NASD Rule 9000 Series) and other applicable FINRA procedural
rules, to determine whether violations of Common Rules have occurred,
and if such violations are deemed to have occurred, the imposition of
appropriate sanctions as specified under FINRA's Code of Procedure and
sanctions guidelines.
    (f) ``Regulatory Responsibilities'' shall mean the examination
responsibilities and Enforcement Responsibilities relating to
compliance by the Dual Members with the Common Rules and the provisions
of the Exchange Act and the rules and regulations thereunder, and other
applicable laws, rules and regulations, each as set forth on Exhibit 1
attached hereto.
    2. Regulatory and Enforcement Responsibilities. FINRA shall assume
Regulatory Responsibilities and Enforcement Responsibilities for Dual
Members. Attached as Exhibit 1 to this Agreement and made part hereof,
BATS furnished FINRA with a current list of Common Rules and certified
to FINRA that such rules that are BATS Rules are substantially similar
to the corresponding FINRA Rules (the ``Certification''). FINRA hereby
agrees that the rules listed in the Certification are Common Rules as
defined in this Agreement. Each year following the Effective Date of
this Agreement, or more frequently if required by changes in either the
rules of BATS or FINRA, BATS shall submit an updated list of Common
Rules to FINRA for review which shall add BATS Rules not included in
the current list of Common Rules that qualify as Common Rules as
defined in this Agreement; delete BATS Rules included in the current
list of Common Rules that no longer qualify as Common Rules as defined
in this Agreement; and confirm that the remaining rules on the current
list of Common Rules continue to be BATS Rules that qualify as Common
Rules as defined in this Agreement. Within 30 days of receipt of such
updated list, FINRA shall confirm in writing whether the rules listed
in any updated list are Common Rules as defined in this Agreement.
Notwithstanding anything herein to the contrary, it is explicitly
understood that the term ``Regulatory Responsibilities'' does not
include, and BATS shall retain full responsibility for (unless
otherwise addressed by separate agreement or rule) (collectively, the
``Retained Responsibilities'') the following:
    (a) Surveillance, examination, investigation and enforcement with
respect to trading activities or practices involving BATS's own
marketplace;
    (b) Registration pursuant to its applicable rules of associated
persons (i.e., registration rules that are not Common Rules);
    (c) Discharge of its duties and obligations as a Designated
Examining Authority pursuant to Rule 17d-1 under the Exchange Act; and
    (d) Any BATS Rules that are not Common Rules, except for BATS Rules
for any broker-dealer subsidiary of BATS Holdings, Inc., as provided in
paragraph 6.
    3. Dual Members. Prior to the Effective Date, BATS shall furnish
FINRA with a current list of Dual Members, which shall be updated no
less frequently than once each quarter.
    4. No Charge. There shall be no charge to BATS by FINRA for
performing the Regulatory Responsibilities and Enforcement
Responsibilities under this Agreement except as hereinafter provided.
FINRA shall provide BATS with ninety (90) days advance written notice
in the event FINRA decides to impose any charges to BATS for performing
the Regulatory Responsibilities under this Agreement. If FINRA
determines to impose a charge, BATS shall have the right at the time of
the imposition of such charge to terminate this Agreement; provided,
however, that FINRA's Regulatory Responsibilities under this Agreement
shall continue until the Commission approves the termination of this
Agreement.
    5. Reassignment of Regulatory Responsibilities. Notwithstanding any
provision hereof, this Agreement shall be subject to any statute, or
any rule or order of the Commission, or industry agreement,
restructuring the regulatory

framework of the securities industry or reassigning Regulatory
Responsibilities between self-regulatory organizations. To the extent
such action is inconsistent with this Agreement, such action shall
supersede the provisions hereof to the extent necessary for them to be
properly effectuated and the provisions hereof in that respect shall be
null and void.
    6. Notification of Violations. In the event that FINRA becomes
aware of apparent violations of any BATS Rules, which are not listed as
Common Rules, discovered pursuant to the performance of the Regulatory
Responsibilities assumed hereunder, FINRA shall notify BATS of those
apparent violations for such response as BATS deems appropriate. In the
event that BATS becomes aware of apparent violations of any Common
Rules, discovered pursuant to the performance of the Retained
Responsibilities, BATS shall notify FINRA of those apparent violations
and such matters shall be handled by FINRA as provided in this
Agreement. With respect to apparent violations of any BATS Rules by any
broker-dealer subsidiary of BATS' parent company, BATS Holdings, Inc.,
FINRA shall not make referrals to BATS pursuant to this paragraph 6.
Such apparent violations shall be processed by, and enforcement
proceedings in respect thereto will be conducted by, FINRA as provided
in this Agreement. Each party agrees to make available promptly all
files, records and witnesses necessary to assist the other in its
investigation or proceedings. Apparent violations of Common Rules,
FINRA Rules, federal securities laws, and rules and regulations
thereunder, shall be processed by, and enforcement proceedings in
respect thereto shall be conducted by FINRA as provided hereinbefore;
provided, however, that in the event a Dual Member is the subject of an
investigation relating to a transaction on BATS, BATS may in its
discretion assume concurrent jurisdiction and responsibility.
    7. Continued Assistance.
    (a) FINRA shall make available to BATS all information obtained by
FINRA in the performance by it of the Regulatory Responsibilities
hereunder with respect to the Dual Members subject to this Agreement.
In particular, and not in limitation of the foregoing, FINRA shall
furnish BATS any information it obtains about Dual Members which
reflects adversely on their financial condition. BATS shall make
available to FINRA any information coming to its attention that
reflects adversely on the financial condition of Dual Members or
indicates possible violations of applicable laws, rules or regulations
by such firms.
    (b) The parties agree that documents or information shared shall be
held in confidence, and used only for the purposes of carrying out
their respective regulatory obligations. Neither party shall assert
regulatory or other privileges as against the other with respect to
documents or information that is required to be shared pursuant to this
Agreement.
    (c) The sharing of documents or information between the parties
pursuant to this Agreement shall not be deemed a waiver as against
third parties of regulatory or other privileges relating to the
discovery of documents or information.
    8. Statutory Disqualifications. When FINRA becomes aware of a
statutory disqualification as defined in the Exchange Act with respect
to a Dual Member, FINRA shall determine pursuant to Sections 15A(g)
and/or Section 6(c) of the Exchange Act the acceptability or continued
applicability of the person to whom such disqualification applies and
keep BATS advised of its actions in this regard for such subsequent
proceedings as BATS may initiate.
    9. Customer Complaints. BATS shall forward to FINRA copies of all
customer complaints involving Dual Members received by BATS relating to
FINRA's Regulatory Responsibilities under this Agreement. It shall be
FINRA's responsibility to review and take appropriate action in respect
to such complaints.
    10. Advertising. FINRA shall assume responsibility to review the
advertising of Dual Members subject to the Agreement, provided that
such material is filed with FINRA in accordance with FINRA's filing
procedures and is accompanied with any applicable filing fees set forth
in FINRA Rules.
    11. No Restrictions on Regulatory Action. Nothing contained in this
Agreement shall restrict or in any way encumber the right of either
party to conduct its own independent or concurrent investigation,
examination or enforcement proceeding of or against Dual Members, as
either party, in its sole discretion, shall deem appropriate or
necessary.
    12. Termination. This Agreement may be terminated by BATS or FINRA
at any time upon the approval of the Commission after one (1) year's
written notice to the other party, except as provided in paragraph 4.
    13. Effective Date. This Agreement shall be effective upon approval
of the Commission.
    14. Arbitration. In the event of a dispute between the parties as
to the operation of this Agreement, BATS and FINRA hereby agree that
any such dispute shall be settled by arbitration in Washington, DC in
accordance with the rules of the American Arbitration Association then
in effect, or such other procedures as the parties may mutually agree
upon. Judgment on the award rendered by the arbitrator(s) may be
entered in any court having jurisdiction. Each party acknowledges that
the timely and complete performance of its obligations pursuant to this
Agreement is critical to the business and operations of the other
party. In the event of a dispute between the parties, the parties shall
continue to perform their respective obligations under this Agreement
in good faith during the resolution of such dispute unless and until
this Agreement is terminated in accordance with its provisions. Nothing
in this Section 14 shall interfere with a party's right to terminate
this Agreement as set forth herein.
    15. Notification of Members. BATS and FINRA shall notify Dual
Members of this Agreement after the Effective Date by means of a
uniform joint notice.
    16. Amendment. This Agreement may be amended in writing duly
approved by each party. All such amendments must be filed with and
approved by the Commission before they become effective.
    17. Limitation of Liability. Neither FINRA nor BATS nor any of
their respective directors, governors, officers or employees shall be
liable to the other party to this Agreement for any liability, loss or
damage resulting from or claimed to have resulted from any delays,
inaccuracies, errors or omissions with respect to the provision of
Regulatory Responsibilities as provided hereby or for the failure to
provide any such responsibility, except with respect to such liability,
loss or damages as shall have been suffered by one or the other of
FINRA or BATS and caused by the willful misconduct of the other party
or their respective directors, governors, officers or employees. No
warranties, express or implied, are made by FINRA or BATS with respect
to any of the responsibilities to be performed by each of them
hereunder.
    18. Relief from Responsibility. Pursuant to sections 17(d)(1)(A)
and 19(g) of the Exchange Act and Rule 17d-2 thereunder, FINRA and BATS
join in requesting the Commission, upon its approval of this Agreement
or any part thereof, to relieve BATS of any and all responsibilities
with respect to matters allocated to FINRA pursuant to this Agreement;
provided, however, that this

Agreement shall not be effective until the Effective Date.
    19. Severability. Any term or provision of this Agreement that is
invalid or unenforceable in any jurisdiction shall, as to such
jurisdiction, be ineffective to the extent of such invalidity or
unenforceability without rendering invalid or unenforceable the
remaining terms and provisions of this Agreement or affecting the
validity or enforceability of any of the terms or provisions of this
Agreement in any other jurisdiction.
    20. Counterparts. This Agreement may be executed in one or more
counterparts, each of which shall be deemed an original, and such
counterparts together shall constitute one and the same instrument.
    In witness whereof, each party has executed or caused this
Agreement to be executed on its behalf by a duly authorized officer as
of the date first written above.
BATS EXCHANGE, INC.

By:--------------------------------------------------------------------

Name:
Title:

FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.

By:--------------------------------------------------------------------

Name:
Title:

Exhibit 1

BATS Exchange Rules Certification for 17d-2 Agreement With FINRA

    BATS Exchange hereby certifies that the requirements contained in
the rules listed below are identical to, or substantially similar to,
the comparable FINRA (NASD) Rule, Exchange Act provision or SEC rule
identified (``Common Rules'').

------------------------------------------------------------------------
                                         FINRA (NASD) Rule, Exchange Act
          BATS Exchange Rule:                 Provision or SEC Rule:
------------------------------------------------------------------------
Rule 2.5 Interpretation and Policy .02,  1120(a)(1)-(4) Continuing
 Continuing Education Requirement for     Education Requirements.
 Authorized Traders of Members.
Rule 3.1 Business Conduct of Members...  2110 Standards of Commercial
                                          Honor and Principles of Trade.
Rule 3.2 Violations Prohibited*........  2110 Standards of Commercial
                                          Honor and Principles of Trade
                                          and 3010 Supervision.*
Rule 3.3 Use of Fraudulent Devices.....  2120 Use of Manipulative,
                                          Deceptive or Other Fraudulent
                                          Device.
Rule 3.5(a) Advertising Practices......  2210(d)(1)(B) Communications
                                          with the Public.
Rule 3.5(b) Advertising Practices......  2210(d)(2)(C) Communications
                                          with the Public.
Rule 3.5(c) Advertising Practices......  2210(d)(1) Communications with
                                          the Public.
Rule 3.5(d) Advertising Practices......  2210(b)(1) Communications with
                                          the Public.
Rule 3.5(e) Advertising Practices......  2210(b)(2)(A) and 2210(c)
                                          Communications with the
                                          Public.
Rule 3.5(f) Advertising Practices......  2210(d)(2)(A) and 2210(d)(1)(E)
                                          Communications with the
                                          Public.
Rule 3.5(g) Advertising Practices......  2210(d)(1) Communications with
                                          the Public.
Rule 3.5(h) Advertising Practices......  2210(d)(1) Communications with
                                          the Public.
Rule 3.6 Fair Dealing with Customers...  IM-2310-2(b)(1), (2),
                                          (4)(A)(i), (4)(A)(iii),
                                          (4)(A)(iv), and (5).
Rule 3.7(a) Recommendations to           2310(a) Recommendations to
 Customers.                               Customers (Suitability).
Rule 3.8(a) The Prompt Receipt and       3370 Purchases.
 Delivery of Securities.
Rule 3.8(b) The Prompt Receipt and       SEC Regulation SHO.
 Delivery of Securities.
Rule 3.9 Charges for Services Performed  2430 Charges for Services
                                          Performed.
Rule 3.10 Use of Information...........  3120 Use of Information
                                          Obtained in Fiduciary
                                          Capacity.
Rule 3.13 Payment Designed to Influence  3330 Payment Designed to
 Market Prices, Other than Paid           Influence Market Prices, Other
 Advertising.                             than Paid Advertising.
Rule 3.14 Disclosure on Confirmations..  2230 Confirmations and SEC Rule
                                          10b-10 Confirmation of
                                          Transactions.
Rule 3.15 Disclosure of Control........  2240 Disclosure of Control
                                          Relationship With Issuer.
Rule 3.16 Discretionary Accounts.......  2510 Discretionary Accounts.
Rule 3.17 Customer's Securities or       2330(a) Customers' Securities
 Funds.                                   or Funds--Improper Use.
Rule 3.18 Prohibition Against            2330(e) Customers' Securities
 Guarantees.                              or Funds--Prohibition Against
                                          Guarantees.
Rule 3.19 Sharing in Accounts; Extent    2330(f)(1) Customers'
 Permissible.                             Securities or Funds--Sharing
                                          in Accounts; Extent
                                          Permissible.
Rule 4.1 Requirements..................  Section 17 of the Exchange Act
                                          and the rules thereunder.
Rule 5.1 Written Procedures............  3010(b)(1) Supervision--Written
                                          Procedures.*
Rule 5.2 Responsibility of Members.....  3010(a)(4) and (b)(4)
                                          Supervision.*
Rule 5.3 Records.......................  3010(a)(1), (b) and (c)
                                          Supervision.*
Rule 5.4 Review of Activities..........  3010(c) & (d) Supervision--
                                          Internal Inspections/ Review
                                          of Transactions and
                                          Correspondence.*
Rule 5.5 Information Barrier Procedures  Section 15(f) of Exchange Act.
Rule 5.6 Anti-Money Laundering           3011 Anti-Money Laundering
 Compliance Program.                      Compliance Program.
Rule 9.3 Predispute Arbitration          3110(f)--Books and Records
 Agreements.                              (Requirements When Using
                                          Predispute Arbitration
                                          Agreements for Customer
                                          Accounts).*
Rule 12.11 Best Execution..............   2320 Best Execution and
                                          Interpositioning.
------------------------------------------------------------------------
FINRA shall only have Regulatory Responsibility regarding the first
  phase of the BATS rule regarding prohibitions from violating the
  Securities Exchange Act of 1934 and the rules and regulations
  thereunder; responsibility for the remainder of the Rule shall remain
  with BATS.
* FINRA shall not have any Regulatory Responsibilities for these rules
  as they pertain to violations of insider trading activities, which is
  covered by a separate 17d-2 Agreement by and among the American Stock
  Exchange, LLC, Boston Stock Exchange, Inc., CBOE Stock Exchange, LLC,
  Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority,
  Inc., International Securities Exchange, LLC, The NASDAQ Stock Market
  LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE
  Arca Inc., NYSE Regulation, Inc., and Philadelphia Stock Exchange,
  Inc. submitted to the SEC on August 12, 2008.

    In addition, the following provisions shall be part of this 17d-2
Agreement:
    Securities Exchange Act of 1934:
    Section 15(f)
    SEC Rules:

Rule 200 of Regulation SHO--Definition of ``Short Sale'' and Marking
Requirements
Rule 203 of Regulation SHO--Borrowing and Delivery Requirements
Rule 606 of Regulation NMS--Disclosure of Order Routing Information
Rule 607 of Regulation NMS--Customer Account Statements
* * * * *

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

    Pursuant to section 17(d)(1) of the Act \16\ and Rule 17d-2
thereunder,\17\ October 15, 2008, the Commission may, by written
notice, declare the plan submitted by BATS and FINRA, File No. 4-569,
to be effective if the Commission finds that the plan is necessary or
appropriate in the public interest and for the protection of investors,
to foster cooperation and coordination among self-regulatory
organizations, or to remove impediments to and foster the development
of the national market system and a national system for the clearance
and settlement of securities transactions and in conformity with the
factors set forth in section 17(d) of the Act.
---------------------------------------------------------------------------

    \16\ 15 U.S.C. 78q(d)(1).
    \17\ 17 CFR 240.17d-2.
---------------------------------------------------------------------------

IV. Solicitation of Comments

    In order to assist the Commission in determining whether to approve
the proposed 17d-2 Plan and to relieve BATS of the responsibilities
which would be assigned to FINRA, interested persons are invited to
submit written data, views, and arguments concerning the foregoing.
Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/other.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number 4-569 on the subject line.

Paper Comments

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

All submissions should refer to File Number 4-569. This file number
should be included on the subject line if e-mail is used. To help the
Commission process and review your comments more efficiently, please
use only one method. The Commission will post all comments on the
Commission's Internet Web site (http://www.sec.gov/rules/other.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed plan that are filed with the
Commission, and all written communications relating to the proposed
plan between the Commission and any person, other than those that may
be withheld from the public in accordance with the provisions of 5
U.S.C. 552, will be available for inspection and copying in the
Commission's Public Reference Room, on official business days between
the hours of 10 a.m. and 3 p.m. Copies of the plan also will be
available for inspection and copying at the principal offices of BATS
and FINRA. All comments received will be posted without change; the
Commission does not edit personal identifying information from
submissions. You should submit only information that you wish to make
available publicly. All submissions should refer to File Number 4-569
and should be submitted on or before October 15, 2008.
---------------------------------------------------------------------------

    \18\ 17 CFR 200.30-3(a)(34).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\18\
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8-22212 Filed 9-23-08; 8:45 am]

BILLING CODE 8010-01-P