[Federal Register: October 1, 2008 (Volume 73, Number 191)]
[Notices]
[Page 57108-57109]
[DOCID:fr01oc08-86]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2008-N-0512]

Agency Information Collection Activities; Proposed Collection;
Comment Request; Medical Devices: Humanitarian Use Devices

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA) is announcing an
opportunity for public comment on the proposed collection of certain
information by the agency. Under the Paperwork Reduction Act of 1995
(the PRA), Federal agencies are required to publish notice in the
Federal Register concerning each proposed collection of information,
including each proposed extension of an existing collection of
information, and to allow 60 days for public comment in response to the
notice. This notice solicits comments on information collection
requirements for Humanitarian Use Devices.

DATES: Submit written or electronic comments on the collection of
information by December 1, 2008.

ADDRESSES: Submit electronic comments on the collection of information
to http://www.regulations.gov. Submit written comments on the
collection of information to the Division of Dockets Management (HFA-
305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061,
Rockville, MD 20852. All comments should be identified with the docket
number found in brackets in the heading of this document.

FOR FURTHER INFORMATION CONTACT: Denver Presley, Jr., Office of
Information Management (HFA-710), Food and Drug Administration, 5600
Fishers Lane, Rockville, MD 20857,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501-3520), Federal
agencies must obtain approval from the Office of Management and Budget
(OMB) for each collection of information they conduct or sponsor.
``Collection of information'' is defined in 44 U.S.C. 3502(3) and 5 CFR
1320.3(c) and includes agency requests or requirements that members of
the public submit reports, keep records, or provide information to a
third party. Section 3506(c)(2)(A) of the PRA (44 U.S.C. 3506(c)(2)(A))
requires Federal agencies to provide a 60-day notice in the Federal
Register concerning each proposed collection of information, including
each proposed extension of an existing collection of information,
before submitting the collection to OMB for approval. To comply with
this requirement, FDA is publishing notice of the proposed collection
of information set forth in this document.
    With respect to the following collection of information, FDA
invites comments on these topics: (1) Whether the proposed collection
of information is necessary for the proper performance of FDA's
functions, including whether the information will have practical
utility; (2) the accuracy of FDA's estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used; (3) ways to enhance the quality,
utility, and clarity of the information to be collected; and (4) ways
to minimize the burden of the collection of information on respondents,
including through the use of automated collection techniques, when
appropriate, and other forms of information technology.

Medical Devices: Humanitarian Use Devices--21 CFR Part 814 (OMB Control
Number 0910-0332)--Extension

    This collection of information implements the humanitarian use
device (HUD) provision of section 520(m) of the Federal Food, Drug, and
Cosmetic Act (the act) (21 U.S.C. 360j(m)) and subpart H, part 814 (21
CFR part 814). Under section 520(m) of the act, FDA is authorized to
exempt a HUD from the effectiveness requirements of sections 514 and
515 of the act (21 U.S.C. 360d and 360e) provided that the device: (1)
Is used to treat or diagnose a disease or condition that affects fewer
than 4,000 individuals in the United States; (2) would not be available
to a person with such a disease or condition unless an exemption is
granted, because there is no comparable device other than another HUD
approved under this exemption that is available to treat or diagnose
the disease

or condition; and (3) will not expose patients to an unreasonable or
significant risk of illness or injury with the probable benefit to
health from using the device outweighing the risk of injury or illness
from its use. This takes into account the probable risks and benefits
of currently available devices or alternative forms of treatment.
    The information collected will assist FDA in making determinations
on the following: (1) Whether to grant HUD designation of a medical
device; (2) exempt a HUD from the effectiveness requirements under
sections 514 and 515 of the act, provided that the device meets
requirements set forth under section 520(m) of the act; and (3) whether
to grant marketing approval(s) for the HUD. Failure to collect this
information would prevent FDA from making a determination on the
factors listed previously in this document. Further, the collected
information would also enable FDA to determine whether the holder of a
HUD is in compliance with the HUD provisions under section 520(m) of
the act.
    FDA estimates the burden of this collection of information as
follows:

                                                     Table 1.--Estimated Annual Reporting Burden\1\
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                                                                     Annual Frequency per      Total Annual
                21 CFR Section                  No. of Respondents         Response              Responses        Hours per Response      Total Hours
--------------------------------------------------------------------------------------------------------------------------------------------------------
814.102                                                          14                     1                    14                    40                560
--------------------------------------------------------------------------------------------------------------------------------------------------------
814.104                                                           6                     1                     6                   320              1,920
--------------------------------------------------------------------------------------------------------------------------------------------------------
814.106                                                           6                     2                    12                    50                600
--------------------------------------------------------------------------------------------------------------------------------------------------------
814.108                                                          32                     1                    32                    80              2,560
--------------------------------------------------------------------------------------------------------------------------------------------------------
814.116(e)(3)                                                     1                     1                     1                     1                  1
--------------------------------------------------------------------------------------------------------------------------------------------------------
814.124(a)                                                        5                     1                     5                     1                  5
--------------------------------------------------------------------------------------------------------------------------------------------------------
814.24(b)                                                         4                     1                     4                     2                  8
--------------------------------------------------------------------------------------------------------------------------------------------------------
814.126(b)(1)                                                    45                     1                    45                   120              5,400
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total                                                                                11,054
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\1\ There are no capital costs or operating and maintenance costs associated with this collection of information.

                                                   Table 2.--Estimated Annual Recordkeeping Burden\1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                     Annual Frequency per
                21 CFR Section                 No. of Recordkeepers      Recordkeeping     Total Annual Records    Hours per Record       Total Hours
--------------------------------------------------------------------------------------------------------------------------------------------------------
814.126(b)(2)                                                    45                     1                    45                     2                 90
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total                                                                                90
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of information.

    The number of respondents in Tables 1 and 2 of this document are an
average from data for the previous 3 years, i.e., FY 2005-2007. The
number of annual reports submitted under Sec.  814.126(b)(1) in Table 1
reflects an increase to 45 respondents with approved HUD applications.
Likewise, under Sec.  814.126(b)(2) in Table 2, the number of
recordkeepers increased to 45.
    Please note that on January 15, 2008, the FDA Division of Dockets
Management Web site transitioned to the Federal Dockets Management
System (FDMS). FDMS is a Government-wide, electronic docket management
system. Electronic comments or submissions will be accepted by FDA only
through FDMS at http://www.regulations.gov.

    Dated: September 25, 2008.
Jeffrey Shuren,
Associate Commissioner for Policy and Planning.
[FR Doc. E8-22991 Filed 9-30-08; 8:45 am]

BILLING CODE 4160-01-S


[Federal Register Volume 84, Number 51 (Friday, March 15, 2019)]
[Notices]
[Pages 9510-9511]
[FR Doc No: 2019-04840]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

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

    Docket Numbers: EC19-66-000.
    Applicants: Ashtabula Wind II, LLC, Garden Wind, LLC, Marshall
Solar, LLC,

Roswell Solar, LLC, Silver State Solar Power South, LLC, White Oak
Energy LLC, NEP US SellCo, LLC, NEP US SellCo II, LLC, NextEra Energy
Partners Acquisitions, LL.
    Description: Application for Authorization Under Section 203 of the
Federal Power Act, et al. of Ashtabula Wind II, LLC, et al. under EC19-
66.
    Filed Date: 3/7/19.
    Accession Number: 20190307-5194.
    Comments Due: 5 p.m. ET 3/28/19.

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

    Docket Numbers: ER10-3193-013.
    Applicants: Brooklyn Navy Yard Cogeneration Partners, L.P.
    Description: Supplement to August 23, 2018 Notice of Non-Material
Change in Status of Brooklyn Navy Yard Cogeneration Partners, L.P.
    Filed Date: 3/1/19.
    Accession Number: 20190301-5363.
    Comments Due: 5 p.m. ET 3/22/19.

    Docket Numbers: ER10-2042-028 ; ER10-1945-008; ER10-1944-006; ER10-
2051-008; ER10-1942-020; ER17-696-008; ER14-2931-006; ER10-1941-010;
ER10-2043-008; ER10-2029-010; ER10-2041-008; ER18-1321-001; ER10-2040-
008; ER10-1938-023; ER10-2036-009; ER13-1407-007; ER10-1934-022; ER10-
1893-022; ER10-3051-027; ER10-2985-026; ER10-3049-027; ER10-1889-006;
ER10-1888-010; ER10-1885-010; ER15-748-004; ER10-1884-010; ER10-1883-
010; ER10-1878-010; ER10-3260-008; ER10-1877-005; ER10-1895-006; ER10-
1876-010; ER10-1875-010; ER10-1873-010; ER10-1871-007; ER10-1870-006;
ER11-4369-007; ER16-2218-007; ER12-1987-008; ER10-1947-010; ER12-2645-
003; ER10-1863-006; ER10-1862-022; ER10-1933-005; ER12-2261-009; ER10-
1865-009; ER10-1858-006; ER13-1401-006; ER10-2044-008.
    Applicants: Calpine Energy Services, L.P., Auburndale Peaker Energy
Center, L.L.C., Bethpage Energy Center 3, LLC, Calpine Bethlehem, LLC,
Calpine Construction Finance Company, LP, Calpine Energy Solutions,
LLC, Calpine Fore River Energy Center, LLC, Calpine Gilroy Cogen, L.P.,
Calpine Mid-Atlantic Generation, LLC, Calpine Mid-Atlantic Marketing,
LLC, Calpine Mid-Merit II, LLC, Calpine Mid-Merit, LLC Calpine New
Jersey Generation, LLC, Calpine Power America--CA, LLC, Calpine
Vineland Solar, LLC, CCFC Sutter Energy, LLC, CES Marketing IX, LLC,
CES Marketing X, LLC, Champion Energy, LLC, Champion Energy Marketing
LLC, Champion Energy Services, LLC, CPN Bethpage 3rd Turbine, Inc.,
Creed Energy Center, LLC, Delta Energy Center, LLC, Geysers Power
Company, LLC, Gilroy Energy Center, LLC, Goose Haven Energy Center,
LLC, Granite Ridge Energy, LLC, Hermiston Power, LLC, KIAC Partners,
Los Esteros Critical Energy Facility LLC, Los Medanos Energy Center,
LLC, Metcalf Energy Center, LLC, Morgan Energy Center, LLC, Nissequogue
Cogen Partners, North American Power and Gas, LLC, North American Power
Business, LLC, O.L.S. Energy-Agnews, Inc., Otay Mesa Energy Center,
LLC, Pastoria Energy Facility L.L.C., Pine Bluff Energy, LLC, RockGen
Energy, LLC, Power Contract Financing, L.L.C., Russell City Energy
Company, LLC, South Point Energy Center, LLC, Westbrook Energy Center,
LLC, Zion Energy LLC, TBG Cogen Partners, Garrison Energy Center LLC.
    Description: Supplement to July 31, 2018 Notification of Change in
Status of the Calpine MBR Sellers (Attachments E & F workable Excel
spreadsheets).
    Filed Date: 3/7/19.
    Accession Number: 20190307-5108.
    Comments Due: 5 p.m. ET 3/28/19.

    Docket Numbers: ER10-2042-029 ; ER10-1942-021; ER17-696-009; ER10-
1938-024; ER10-1934-023; ER10-1893-023; ER10-3051-028; ER10-2985-027;
ER10-3049-028; ER11-4369-008; ER16-2218-008; ER10-1862-023.
    Applicants: Calpine Energy Services, L.P., Calpine Construction
Finance Company, LP, Calpine Energy Solutions, LLC, Calpine Power
America--CA, LLC, CES Marketing IX, LLC, CES Marketing X, LLC, Champion
Energy, LLC, Champion Energy Marketing LLC, Champion Energy Services,
LLC, North American Power and Gas, LLC, North American Power Business,
LLC, Power Contract Financing, L.L.C.
    Description: Supplement to August 31, 2018 Notification of Change
in Status of the Indicated Calpine MBR Sellers (Asset Appendix workable
Excel file).
    Filed Date: 3/7/19.
    Accession Number: 20190307-5110.
    Comments Due: 5 p.m. ET 3/28/19.

    Docket Numbers: ER19-1213-000.
    Applicants: Wabash Valley Power Association, Inc.
    Description: Sec.  205(d) Rate Filing: Filing of New Wholesale
Power Supply Contracts to be effective 7/1/2019.
    Filed Date: 3/7/19.
    Accession Number: 20190307-5178.
    Comments Due: 5 p.m. ET 3/28/19.

    The filings are accessible in the Commission's eLibrary system by
clicking on the links or 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: March 8, 2019.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2019-04840 Filed 3-14-19; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 77, Number 241 (Friday, December 14, 2012)]
[Notices]
[Pages 74528-74529]
[FR Doc No: 2012-30163]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-68385; File No. SR-NYSEARCA-2012-133]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(h)(7) To
Permit PL Select Orders To Interact With Incoming Orders Larger Than
the Size of the PL Select Order

December 7, 2012.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on November 27, 2012, NYSE Arca, Inc. (the ``Exchange'' or
``NYSE Arca'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C.78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend NYSE Arca Equities Rule 7.31(h)(7)
to permit PL Select Orders to interact with incoming orders larger than
the size of the PL Select Order. The text of the proposed rule change
is available on the Exchange's Web site at www.nyse.com, at the
principal office of the Exchange, and at the Commission's Public
Reference Room.

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

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

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

1. Purpose
    The Exchange proposes to amend NYSE Arca Equities Rule 7.31(h)(7)
to permit PL Select Orders to interact with incoming orders larger than
the size of the PL Select Order.
    On September 5, 2012, the Exchange received Commission approval for
the PL Select Order type, which is a form of a PL Order that does not
interact with an incoming order that: (i) Has an immediate-or-cancel
(``IOC'') time in force condition,\4\ (ii) is an ISO,\5\ or (iii) is
larger than the size of the PL Select Order.\6\ The Exchange
implemented the new PL Select Order functionality on September 21,
2012.\7\
---------------------------------------------------------------------------

    \4\ See NYSE Arca Equities Rule 7.31(e).
    \5\ See NYSE Arca Equities Rule 7.31(jj).
    \6\ See Securities Exchange Act Release No. 67785 (Sept. 5,
2012), 77 FR 55888 (Sept. 11, 2012) (SR-NYSEArca-2012-48).
    \7\ See http://www.nyse.com/pdfs/Reminder_NYSE_Arca_Introduces_New_PL_Select_Order_Type.pdf.
---------------------------------------------------------------------------

    Based on the few weeks of experience with the new order type, the
Exchange has identified an unintended business consequence in
connection with the fact that PL Select Orders do not interact with
incoming orders that are larger than the size of the PL Select Order.
Specifically, in limited situations, the existence of a PL Select Order
may prevent certain incoming opposite side interest from posting to the
Arca Book. For example, assume that an ETP Holder has entered a PL
Select Order to sell priced at $10.10 for 100 shares. Assume further
that the Exchange receives an incoming buy order for 200 shares priced
at $10.10, which becomes both the Exchange best bid and the National
Best Bid. Because the arriving buy order is larger than the resting PL
Select Order, as required by current Rule 7.31(h)(7), the PL Select
Order would not execute against the arriving $10.10 buy order. By
contrast, a regular PL Order to sell at $10.10 would have executed
against the incoming buy order. Because the PL Select Order would not
execute in this scenario, it remains undisplayed on the Arca Book.
    Assume further that there is now an incoming Add Liquidity Only
Order (``ALO Order'') to buy priced at $10.10, which is seeking to add
to the existing bid of $10.10 for 200 shares. As required by NYSE Arca
Equities Rule 7.31(nn)(3), because there is a resting sell PL Select
Order at that price, the incoming ALO Order would be rejected. In such
scenario, both the PL Select Order and the ALO order are operating
consistently with the rules, but because of the operation of the rules,
an ETP Holder seeking to add liquidity to the Arca Book with an ALO
order would be unable to do so, even though there is resting interest
posted at the same price. The Exchange believes it is appropriate to
allow ALO orders to be entered in such scenario. By removing the
requirement that PL Select Orders not interact with larger-sized
interest, such ALO interest would not need to be rejected, as required
by Rule 7.31(nn), because the PL Select Order would have executed
against the larger-sized incoming interest and would no longer be
resting on the Book.
    The Exchange continues to believe that the rationale initially
presented for why PL Select Orders should not interact with incoming
orders larger in size remains valid. Namely, by not interacting with
incoming orders larger in size, the PL Select Order remains on the Arca
Book as a mechanism to provide price improvement, rather than be
executed in a series of inferior prices as a large incoming order
sweeps the Arca Book. However, while the above-described scenario is
rare, the Exchange believes that the potential for liquidity-posting
interest to be rejected outweighs the benefits of having the PL Select
Order not interact with incoming orders that are larger in size than
the PL Select Order.

    In addition, the Exchange notes that some institutional investors
have raised concerns that by not executing against larger-sized
interest, PL Select Orders may be bypassing legitimate interest entered
on behalf of institutional investors. While the Exchange continues to
believe that the purpose of the PL Select Order not to execute against
larger-sized interest is consistent with its original intent to
interact with less impactful orders, the Exchange also recognizes that
the goal is not to bypass executions with legitimate trading interest,
and to the extent there is a perception that this may be the case, the
Exchange believes that the restriction should be lifted.
    Accordingly, the Exchange proposes to amend Rule 7.31(h)(7) to
delete that PL Select Orders would not interact with incoming orders
that are larger in size than the PL Select Order.
    Because of the related technology changes that this proposed rule
change would require, the Exchange proposes to announce the initial
implementation date via Trader Update.
2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the
Securities Exchange Act of 1934 (the ``Act''),\8\ in general, and
furthers the objectives of Section 6(b)(5),\9\ in particular, because
it is designed to prevent fraudulent and manipulative acts and
practices, to promote just and equitable principles of trade, to foster
cooperation and coordination with persons engaged in facilitating
transactions in securities, to remove impediments to and perfect the
mechanism of a free and open market and a national market system and,
in general, to protect investors and the public interest.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange continues to believe that skipping executions with
larger-sized incoming interest would incentivize Users to route PL
Orders to the Exchange because such orders would remain available to
provide price improvement and would not be swept up by such larger-
sized incoming orders. Similarly, because such PL Select Orders would
remain available to provide price improvement, it could similarly
incentivize Users to route displayable interest to the Exchange because
the likelihood of receiving price improvement could increase. However,
the Exchange believes that the costs associated with rejecting certain
interest that would otherwise be posting liquidity in the Arca Book
outweighs the initial rationale for PL Select Orders not to interact
with incoming interest that is larger than the size of the PL Select
Order. Accordingly, the Exchange believes that amending Rule 7.41(h)(7)
to delete that PL Select Orders would not interact with incoming
interest that is larger in size that the PL Select Order would remove
impediments to and perfect the mechanism of a free and open market
because it would eliminate the potential that liquidity adding interest
would be rejected. Moreover, the Exchange believes that the proposed
change promotes just and equitable principles of trade to the extent
that it eliminates any perception that the PL Select Order could be
bypassing executions with legitimate trading interest entered on behalf
of institutional investors.

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

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

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

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

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

    Within 45 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:
    (A) By order approve or disapprove the proposed rule change, or
    (B) Institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSEARCA-2012-133 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEARCA-2012-133. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room on official business
days between the hours of 10:00 a.m. and 3:00 p.m. Copies of such
filing also will be available for inspection and copying at the
principal office of the Exchange. All comments received will be posted
without change; the Commission does not edit personal identifying
information from submissions. You should submit only information that
you wish to make available publicly. All submissions should refer to
File Number SR-NYSEARCA-2012-133, and should be submitted on or before
January 4, 2013.
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    \10\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-30163 Filed 12-13-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: October 19, 2006 (Volume 71, Number 202)]
[Notices]
[Page 61753-61754]
[DOCID:fr19oc06-74]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP06-465-000]

Puget Sound Energy, Inc.; Notice of Application

October 13, 2006.
    Take notice that on September 22, 2006, Puget Sound Energy, Inc.,
(Puget), as Operator of the Jackson Prairie Storage Project (Project),
10885 NE. 4th Street P.O. Box 97034 Bellevue, WA 98009-9734, filed in
Docket No. CP06-465-000, an application pursuant to section 7(c) of the
Natural Gas Act (NGA), as amended, for authorization to construct and
operate facilities to mitigate gas migration at the storage facility,
and to confirm the approved status of all current well operations at
the storage facility as well as the Project's certificated zone
boundaries, all as more fully set forth in the application which is on
file with the Commission and open to public inspection. This filing may
also be viewed on the Commission's Web site 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, call<PHONE_NUMBER> or TTY,<PHONE_NUMBER>.
    Specifically, Puget seeks: (1) Certificate authority to construct
and operate facilities (including certain minor pipeline, compression,
and related facilities) necessary to efficiently recycle natural gas
back to Zone 2, a currently authorized storage reservoir at the
Project, from Zone 1, another reservoir at the Project not currently
authorized for storage activities, to which such gas has migrated, and
to utilize Zone 1 on an ongoing basis in support of the previously
authorized Zone 2 storage operation; (2) an amendment to the Project's
existing certificate to reflect a small reduction in the authorized
cushion gas level at the project; and (3) amendments to existing
certificates or new certificate authority, as necessary, to confirm the
approved status of all current well operations at the Project's
certificated zone boundaries.
    Any questions regarding this application should be directed to
Andrea J. Chambers, Troutman Sanders LLP, 401 9th Street, NW., suite
1000 Washington, DC 20004-4605, or call<PHONE_NUMBER>.
    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 14 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 commentors 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 commentors will not be required to serve copies of filed
documents on all other parties. However, the non-party commentors 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 via the internet in lieu of paper. See 18
CFR 385.2001(a)(1)(iii) and the instructions on the Commission's Web
site (http://www.ferc.gov) under the ``e-Filing'' link.

    Comment Date: November 3, 2006.

Magalie R. Salas,
Secretary.
 [FR Doc. E6-17469 Filed 10-18-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 85, Number 219 (Thursday, November 12, 2020)]
[Notices]
[Pages 71971-71973]
[FR Doc No: 2020-24956]

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SECURITIES AND EXCHANGE COMMISSION

[Investment Advisers Act Release No. 5624/803-00252]

Arena Holdings Management LLC

November 5, 2020.
AGENCY:  Securities and Exchange Commission (``Commission'').

ACTION: Notice.

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    Notice of application for an exemptive order under Section
202(a)(11)(H) of the Investment Advisers Act of 1940 (``Advisers
Act'').
    Applicant: Arena Holdings Management LLC (the ``Applicant'').
    Relevant Advisers Act Sections: Exemption requested under Section
202(a)(11)(H) of the Advisers Act from Section 202(a)(11) of the
Advisers Act.
    Summary of Application: The Applicant requests that the Commission
issue an order declaring it to be a person not within the intent of
Section 202(a)(11) of the Advisers Act, which defines the term
``investment adviser.''

    Filing Dates: The application was filed on November 13, 2019 and
amended on August 4, 2020.
    Hearing or Notification of Hearing: An order granting the requested
relief will be issued unless the Commission orders a hearing.
Interested persons may request a hearing by emailing the Commission's
Secretary at<EMAIL_ADDRESS>and serving Applicant with a
copy of the request, personally or by mail. Hearing requests should be
received by the Commission by 5:30 p.m. on November 30, 2020, and
should be accompanied by proof of service on Applicant, in the form of
an affidavit or, for lawyers, a certificate of service. Pursuant to
rule 0-5 under the Act, hearing requests should state the nature of the
writer's interest, any facts bearing upon the desirability of a hearing
on the matter, the reason for the request, and the issues contested.
Persons who wish to be notified of a hearing may request notification
by emailing the Commission's Secretary at<EMAIL_ADDRESS>
ADDRESSES:  The Commission<EMAIL_ADDRESS>Applicant: Arena
Holdings Management LLC<EMAIL_ADDRESS>
FOR FURTHER INFORMATION CONTACT:  Asaf Barouk, Attorney-Adviser, at
202-551-4029 or Parisa Haghshenas, Branch Chief, at<PHONE_NUMBER>
(Division of Investment Management, Chief Counsel's Office).

SUPPLEMENTARY INFORMATION: The following is a summary of the
application. The complete application may be obtained via the
Commission's website either at http://www.sec.gov/rules/iareleases.shtml or by calling<PHONE_NUMBER>.

Applicant's Representations

    1. The Applicant is a multi-generational, single-family office that
provides or intends to provide services to the family and descendants
of Roopa Dewan. The Applicant is wholly owned by Family Clients and is
exclusively controlled (directly and indirectly) by one or more Family
Members and/or Family Entities in compliance with Rule 202(a)(11)(G)-1
(the ``Family Office Rule''). For purposes of the application, the term
``Dewan Family'' means the lineal descendants of Roopa Dewan, their
spouses or spousal equivalents, and all other persons and entities that
qualify as ``Family Clients'' as defined in paragraph (d)(4) of the
Family Office Rule. Unless otherwise indicated, capitalized terms
herein have the same meaning as defined in the Family Office Rule.
    2. The Applicant provides both advisory and non-advisory services
(collectively, the ``Services'') to members of the Dewan Family. Any
Service provided by the Applicant that relates to investment advice
about securities or may otherwise be construed as advisory in nature is
considered an ``Advisory Service.''
    3. The Applicant represents that: (i) Each of the persons served by
the Applicant is a Family Client (i.e., the Applicant has no investment
advisory clients other than Family Clients as required by paragraph
(b)(1) of the Family Office Rule); (ii) the Applicant is owned and
controlled in a manner that complies in all respects with paragraph
(b)(2) of the Family Office Rule; and (iii) the Applicant does not hold
itself out to the public as an investment adviser as required by
paragraph (b)(3) of the Family Office Rule. At the time of this
Application, Applicant provides Advisory Services solely to Family
Clients, including primarily to pooled investment vehicles that are
wholly owned, directly or indirectly, by one or more natural persons
that are Family Clients and operated for the sole benefit of those
clients.
    4. In addition to the Family Clients, the Applicant desires to
provide Services (including Advisory Services) to the siblings of a
spouse of a lineal descendant of Roopa Dewan (which descendant is the
founder and Chief Executive Officer of Applicant) and their spouses and
descendants (the ``Additional Family Clients'').
    5. The Additional Family Clients do not have an ownership interest
in the Applicant. The Applicant represents that the assets beneficially
owned by Family Members and/or Family Entities (excluding the
Additional Family Clients) would make up at least 95% of the total
assets for which the Applicant provides Advisory Services.
    6. The Applicant represents that the Additional Family Clients have
important familial ties to and are an integral part of the Dewan
Family. The Applicant maintains that including the Additional Family
Clients into the definition of ``family'' for this purpose simply
recognizes and memorializes the familial ties and intra-familial
relationships that already exist, and have existed for at least 25
years and that the inclusion of the Additional Family Clients as
members of the Dewan Family for which the Applicant may provide
Services would be consistent with the existing familial relationship
among the family members.

The Applicant's Legal Analysis

    1. Section 202(a)(11) of the Advisers Act defines the term
``investment adviser'' to mean ``any person who, for compensation,
engages in the business of advising others, either directly or through
publications or writings, as to the value of securities or as to the
advisability of investing in, purchasing, or selling securities, or
who, for compensation and as part of a regular business, issues or
promulgates analyses or reports concerning securities . . .''
    2. The Applicant falls within the definition of an investment
adviser under Section 202(a)(11). The Family Office Rule provides an
exclusion from the definition of investment adviser for which the
Applicant is currently eligible but would no longer qualify if the
Applicant provides Services to the Additional Family Clients. Because
the Applicant has regulatory assets under management of more than $100
million, it is not prohibited from registering with the Commission
under Section 203A(a) of the Advisers Act. In sum, absent relief, if
the Applicant opted to render Services to the Additional Family
Clients, the Applicant would be required to register under Section
203(a) of the Advisers Act, notwithstanding that (i) the Applicant does
not hold itself out to the public as an investment adviser and does not
market non-public offerings to persons or entities that are not Family
Clients, (ii) the Applicant is wholly owned by Family Clients and
controlled by Feroz Dewan who is a member of the Dewan Family, in
accordance with paragraph (b)(2) of the Family Office Rule; and (iii)
the Applicant is a ``family office'' for the Dewan Family and will not
offer its Advisory Services to anyone other than Family Clients and the
Additional Family Clients.
    3. The Applicant submits that its proposed relationship with the
Additional Family Clients does not change the nature of the office into
that of a commercial advisory firm. In addition, the Applicant notes
that if the siblings of Mrs. Dewan were the siblings of a lineal
descendant, rather than the siblings of a spouse of a lineal
descendant, there would be no question that each of them would be a
Family Member, and their retirement assets would similarly fall within
the definition of Family Client. The Applicant states that in
requesting the order, the Applicant is not attempting to expand its
operations or engage in any level of commercial activity to which the
Advisers Act is designed to apply. There would only be two natural
persons and their spouses and

descendants who are not Family Members to whom the Applicant would
provide Advisory Services if relief were granted. The Applicant
estimates that if the Additional Family Clients' assets were managed by
the Applicant, the assets owned by the Additional Family Clients would
represent less than five percent (5%) of the Applicant's assets under
management. From the perspective of the Dewan Family, allowing the
Applicant to provide Services to the Additional Family Clients is
consistent with the existing familial relationship among family
members.
    4. The Applicant also submits that there is no public interest in
requiring the Applicant to be registered under the Advisers Act. The
Applicant states that the office is a private organization that was
formed to be the ``family office'' for the Dewan Family and that the
office does not have any public clients. The Applicant maintains that
the office's Advisory Services are exclusively tailored to the needs of
the Extended Dewan Family. The Applicant argues that the provision of
Advisory Services to the Additional Family Clients, does not create any
public interest that would require the office to be registered under
the Advisers Act that is different in any manner than the
considerations that apply to a ``family office'' that complies in all
respects with the Family Office Rule.
    5. The Applicant argues that although the Family Office Rule
largely codified the exemptive orders that the Commission had
previously issued before the enactment of the Dodd-Frank Wall Street
Reform and Consumer Protection Act, the Commission recognized in
proposing the rule that the exact representations, conditions, or terms
contained in every exemptive order could not be captured in a rule of
general applicability. The Commission noted that family offices would
remain free to seek a Commission exemptive order to advise an
individual or entity that did not meet the proposed family client
definition, and that certain issues would be more appropriately
addressed through an exemptive order process where the Commission can
consider the specific facts and circumstances, than through a rule of
general applicability.
    6. The Applicant maintains that, based on its circumstances--
desiring to provide Advisory Services to certain Additional Family
Clients who are relatives that have been considered and treated as
family members for twenty-five (25) years and whose status as clients
of the office would not change the nature of the office's operations to
that of a commercial advisory business--an exemptive order is
appropriate based on the Applicant's specific facts and circumstances.
    7. For the foregoing reasons, the Applicant requests an order
declaring it to be a person not within the intent of Section 202(a)(11)
of the Advisers Act. The Applicant submits that the order is necessary
and appropriate, in the public interest, consistent with the protection
of investors, and consistent with the purposes fairly intended by the
policy and provisions of the Advisers Act.

The Applicant's Conditions

    1. The Applicant will offer and provide Advisory Services only to
Family Clients and to the Additional Family Clients, who generally will
be deemed to be, and be treated as if they were, Family Clients;
provided, however, that the Additional Family Clients will be deemed to
be, and treated as if they were, Family Members for purposes of
paragraph (b)(1) and for purposes of paragraph (d)(4)(vi) of the Family
Office Rule.
    2. The Applicant will at all times be wholly owned by Family
Clients and exclusively controlled (directly or indirectly) by one or
more Family Members and/or Family Entities (excluding the Additional
Family Clients' Family Entities) as defined in paragraph (d)(5) of the
Family Office Rule.
    3. At all times the assets beneficially owned by Family Members
and/or Family Entities (excluding the Additional Family Clients' Family
Entities), will account for at least 95% of the assets for which the
Applicant provides Advisory Services.
    4. The Applicant will comply with all the terms for exclusion from
the definition of investment adviser under the Advisers Act set forth
in the Family Office Rule except for the limited exception requested by
this Application.

    For the Commission, by the Division of Investment Management,
under delegated authority.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-24956 Filed 11-10-20; 8:45 am]
BILLING CODE 8011-01-P