[Federal Register: December 30, 2005 (Volume 70, Number 250)]
[Notices]
[Page 77433-77435]
[DOCID:fr30de05-100]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-53022; File No. SR-NASD-2005-145]

Self-Regulatory Organizations; National Association of Securities
Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed
Rule Change and Amendment No. 1 Thereto Relating to a Certificate of
Designation for Preferred Stock of The Nasdaq Stock Market, Inc.

December 23, 2005.
    Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on December 8, 2005, the National Association of Securities Dealers,
Inc. (``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc.
(``Nasdaq'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by Nasdaq. Nasdaq filed
Amendment No. 1 to the proposed rule change on December 21, 2005.\3\
Nasdaq has designated this proposal as a ``non-controversial'' proposed
rule change pursuant to section 19(b)(3)(A)(iii) of the Act \4\ and
Rule 19b-4(f)(6) thereunder,\5\ which renders the proposal effective
upon filing with the Commission. The Commission is publishing this
notice to solicit comments on the proposed rule change, as amended,
from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ In Amendment No. 1, Nasdaq modified the basis for summary
effectiveness of the filing from Rule 19b-4(f)(3) under the Act to
Rule 19b-4(f)(6), which pertains to non-controversial rule changes.
    \4\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \5\ 17 CFR 240.19b-4(f)(6).

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

    Nasdaq proposes to adopt a Certificate of Designation, Preferences
and Rights (a ``Certificate of Designation'') of Series D Preferred
Stock (``Series D Preferred''). Nasdaq will implement the proposed rule
change as soon as practicable.\6\
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    \6\ The Commission notes that on December 14, 2005, Nasdaq filed
a certificate of designation for the Series D Preferred with the
Secretary of the State of Delaware. On December 20, 2005, Nasdaq and
NASD entered into an exchange agreement pursuant to which NASD
exchanged one share of Nasdaq's Series B Preferred Stock for one
newly issued Series D Preferred. See Nasdaq's Form 8-K, dated
December 20, 2005.
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    The text of the proposed rule change is available on Nasdaq's
Internet Web site (http://www.nasdaq.com), at NASD's principal office,

and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    Nasdaq is filing the Certificate of Designation described below.
Under Article Fourth of Nasdaq's Restated Certificate of Incorporation,
Nasdaq's Board of Directors may authorize the issuance of preferred
stock and fix its designation, powers, preferences and rights, as well
as any qualifications, limitations, and restrictions upon it. Under
Delaware law, the Certificate of Designation is deemed to be an
amendment to Nasdaq's Restated Certificate of Incorporation, and as
such, Nasdaq is filing the Certificate of Designation with the
Commission.
    In 2002, Nasdaq fixed the designation, powers, preferences, and
rights for its Series B Preferred Stock (``Series B Preferred'') and
issued a single share of the Series B Preferred to its parent
corporation, the NASD.\7\ The Series B Preferred holder votes, together
as one class with Nasdaq's common stock, on all matters submitted to a
vote of holders of common stock. The Series B Preferred has variable
voting rights such that the number of votes entitled to be cast by the
holder of the Series B Preferred equals that number of votes that,
together with votes otherwise entitled to be cast by the holder of the
Series B Preferred Stock at a meeting, whether by virtue of share
ownership, proxies, voting trust arrangements or otherwise, entitle the
holder to exercise one vote more than one-half of all votes entitled to
be cast. Thus, by virtue of its ownership of the Series B share, NASD
controls Nasdaq, and would continue to control Nasdaq without regard to
its level of ownership of Nasdaq common stock.
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    \7\ See Securities Exchange Act Release No. 45638 (March 25,
2002), 67 FR 15268 (March 29, 2002).
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    Nasdaq currently derives its regulatory authority from NASD's
registration as a national securities association. Nasdaq exercises its
authority by virtue of a delegation from the NASD under the terms of
the Commission-approved Plan of Allocation and Delegation of Functions
by NASD to Subsidiaries (the ``Delegation Plan''), but the Series B
Preferred provides a means by which the NASD may assure that Nasdaq
operates in accordance with the Delegation Plan. The Series B Preferred
provides, however, that it loses its voting rights and will be redeemed
by Nasdaq upon Nasdaq ``becoming registered with the U.S. Securities
and Exchange Commission as a national securities exchange,'' because
Nasdaq would no longer be required to operate under the Delegation Plan
if it was authorized by the Commission to operate as an exchange.
    In 2000 and 2001, Nasdaq filed an application to register as a
national securities exchange. Earlier this year, Nasdaq filed
substantial amendments to its exchange registration application, under
which Nasdaq would become a holding company and a newly formed
subsidiary, The NASDAQ Stock Market LLC (``NASDAQ LLC''), would become
registered as a national securities exchange. Nasdaq is optimistic that
its amended exchange registration application will be approved in the
near future. However, it is likely that NASDAQ LLC would not operate as
an exchange until some date after the issuance of an order approving
its exchange registration application. Accordingly, in the event of the
issuance of such an approval order, it is likely that Nasdaq would
still need to continue to operate pursuant to the Delegation Plan until
such time as NASDAQ LLC begins to operate as an exchange (the
``Operational Date''). During this transitional period, NASD would need
to continue to exercise control with respect to Nasdaq. The terms of
the Series B Preferred, however, are not well suited to possible
scenarios under which exchange registration may be implemented, such as
in this case, exchange registration would occur in advance of the
Operational Date, and NASDAQ LLC, rather than Nasdaq, would be the
entity registered as an exchange.\8\
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    \8\ Earlier this year, Nasdaq stockholders approved an amendment
to the Series B Preferred that would result in the termination of
voting rights upon the registration of Nasdaq or a subsidiary
thereof as an exchange. The amendment, however, did not address
ambiguity occasioned by a delay in time between the approval of
Nasdaq's exchange registration and the Operational Date.
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    Accordingly, Nasdaq proposes to adopt the Certificate of
Designation and issue one share of Series D Preferred to the NASD in
exchange for the cancellation of the outstanding share of Series B
Preferred. The terms and conditions of the Series D Preferred are
identical in all respects to those of the Series B Preferred, except
that the triggering event for a loss of voting rights and redemption of
the Series D Preferred would be ``the first date on which [Nasdaq] and
all subsidiaries thereof are no longer operating in any respect
pursuant to authority delegated by'' NASD under the Delegation Plan.
Thus, if exchange registration is granted to NASDAQ LLC, the Series D
Preferred would lose its voting rights on the Operational Date.\9\ NASD
has also filed a proposal that would remove Nasdaq from the Delegation
Plan,\10\ and Nasdaq expects that if the proposal is approved by the
Commission, it will be implemented on the Operational Date.
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    \9\ In the unlikely event that there is a transitional period
during which NASDAQ LLC operates as an exchange for certain stocks
while Nasdaq continues to operate as a facility of the NASD for
other stocks, the Series D Preferred would remain until Nasdaq had
ceased to operate in that capacity.
    \10\ See Securities Exchange Act Release No. 52049 (July 15,
2005), 70 FR 42398 (July 22, 2005).
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2. Statutory Basis
    Nasdaq believes that the proposed rule change is consistent with
the provisions of section 15A of the Act,\11\ in general, and with
sections 15A(b)(2) and (b)(6) of the Act,\12\ in particular, which
require, among other things, that the NASD be so organized and have the
capacity to be able to carry out the purposes of the Act and to comply
with and enforce compliance with the provisions of the Act, and the
NASD's rules are designed to prevent fraudulent and manipulative acts
and practices, to promote just and equitable principles of

trade, and, in general, to protect investors and the public interest.
The issuance of the Series D Preferred will ensure that NASD continues
to control Nasdaq until NASDAQ LLC operates as an exchange and Nasdaq
is no longer operating pursuant to the Delegation Plan.
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    \11\ 15 U.S.C. 78o-3.
    \12\ 15 U.S.C. 78o-3(b)(2) and (b)(6).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    Nasdaq does not believe that the proposed rule change will result
in any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act, as amended.

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

    Written comments were neither solicited nor received.

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

    The Exchange has designated the proposed rule change, as amended,
as a ``non-controversial'' rule change pursuant to section
19(b)(3)(A)(iii) of the Act \13\ and subparagraph (f)(6) of Rule 19b-4
thereunder.\14\ Nasdaq represents that the foregoing rule change: does
not (i) significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
by its terms, does not become operative for 30-days after the date of
this filing, or such shorter time as the Commission may designate if
consistent with the protection of investors and the public interest.
Nasdaq has requested that the Commission waive the five-day pre-filing
requirement and the 30-day operative delay period for ``non-
controversial'' proposals and make the proposed rule change, as
amended, effective and operative upon filing.
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    \13\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \14\ 17 CFR 240.19b-4(f)(6).
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    The Commission has determined to waive the five-day pre-filing
requirement and the 30-day operative delay period.\15\ The Commission
notes that accelerating the operative date will allow Nasdaq to
exchange the Series B Preferred for the Series D share with NASD.
Therefore, the foregoing rule change has become immediately effective
and operative upon filing pursuant to section 19(b)(3)(A)(iii) of the
Act \16\ and Rule 19b-4(f)(6) thereunder.\17\
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    \15\ For purposes only of accelerating the operative date of
this proposal, the Commission has considered the proposed rule's
impact on efficiency, competition, and capital formation. 15 U.S.C.
78c(f).
    \16\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \17\ 17 CFR 240.19b-4(f)(6).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate such rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in furtherance of the purposes of the Act.

IV. Solicitation of Comments

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

Electronic Comments

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

File No. SR-NASD-2005-145 on the subject line.

Paper Comments

     Send paper comments in triplicate to Jonathan G. Katz,
Secretary, Securities and Exchange Commission, Station Place, 100 F
Street, NE., Washington, DC 20549-9303.
    All submissions should refer to File Number SR-NASD-2005-145. 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 Commissions Internet Web site (http://www.sec.gov/rules/sro.shtml
). Copies of the submission, all subsequent amendments,

all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for inspection
and copying in the Commission's Public Reference Room. Copies of the
filing also will be available for inspection and copying at the
principal office of NASD. 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-NASD-2005-145 and should be submitted on or before January 20, 2006.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\18\
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    \18\ 17 CFR 200.30-3(a)(12).
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Jonathan G. Katz,
Secretary.
[FR Doc. E5-8128 Filed 12-29-05; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 87, Number 189 (Friday, September 30, 2022)]
[Notices]
[Pages 59476-59477]
[FR Doc No: 2022-21200]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-601, OMB Control No. 3235-0673]

Submission for OMB Review; Comment Request; Extension: Rule 15c3-
5

Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (``PRA'') (44 U.S.C. 3501 et seq.) (``PRA''), the
Securities and Exchange Commission (``Commission'') has submitted to
the Office of Management and Budget (``OMB'') a request for approval of
extension of the previously approved collection of information provided
for in Rule 15c3-5 (17 CFR 240.15c3-5) under the Securities Exchange
Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').
    Rule 15c3-5 under the Exchange Act requires brokers or dealers with
access to trading directly on an exchange or alternative trading system
(``ATS''), including those providing sponsored or direct market access
to customers or other persons, to implement risk management controls
and supervisory procedures reasonably designed to manage the financial,
regulatory, and other risks of this business activity.
    The rule requires brokers or dealers to establish, document, and
maintain certain risk management controls and supervisory procedures as
well as regularly review such controls and procedures, and document the
review, and remediate issues discovered to assure overall effectiveness
of such controls and procedures. Each such broker or dealer is required
to preserve a copy of its supervisory procedures and a written
description of its risk management controls as part of its books and
records in a manner consistent with Rule 17a-4(e)(7) under the Exchange
Act. Such regular review is required to be conducted in accordance with
written procedures and is required to be documented. The broker or
dealer is required to preserve a copy of such written procedures, and
documentation of each such review, as part of its books and records in
a manner consistent with Rule 17a-4(e)(7) under the Exchange Act, and
Rule 17a-4(b) under the Exchange Act, respectively.
    In addition, the Chief Executive Officer (or equivalent officer) is
required to certify annually that the broker or dealer's risk
management controls and supervisory procedures comply with the rule,
and that the broker-dealer conducted such review. Such certifications
are required to be preserved by the broker or dealer as part of its
books and records in a manner consistent with Rule 17a-4(b) under the
Exchange Act. Compliance with Rule 15c3-5 is mandatory.
    Respondents consist of broker-dealers with access to trading
directly on an exchange or ATS. The Commission estimates that there are
currently 520 respondents. To comply with Rule 15c3-5, these
respondents will spend a total of approximately 83,200 hours per year
(160 hours per broker-dealer x 520 broker-dealers = 83,200 hours). At
an average internal cost per burden hour of approximately $401.89, the
resultant total related internal cost of compliance for these
respondents is $33,437,040 per year (83,200 burden hours multiplied by
approximately $401.89/hour). In addition, for hardware and software
expenses, the Commission estimates that the average annual external
cost would be approximately $20,500 per broker-dealer, or $10,660,000
in the aggregate ($20,500 per broker-dealer x 520 brokers and dealers =
$10,6660,000).
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information under the PRA unless it
displays a currently valid OMB control number.

    The public may view background documentation for this information
collection at the following website: www.reginfo.gov. Find this
particular information collection by selecting ``Currently under 30-day
Review--Open for Public Comments'' or by using the search function.
Written comments and recommendations for the proposed information
collection should be sent by October 31, 2022 to (i)
[email protected] and (ii) David Bottom,
Director/Chief Information Officer, Securities and Exchange Commission,
c/o John Pezzullo, 100 F Street NE, Washington, DC 20549, or by sending
an email to: [email protected].

    Dated: September 26, 2022.
J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2022-21200 Filed 9-29-22; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 79, Number 164 (Monday, August 25, 2014)]
[Notices]
[Page 50710]
[FR Doc No: 2014-20086]

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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

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

Extension:
    Rule 10b-17; SEC File No. 270-427, OMB Control No. 3235-0476.

    Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (``PRA'') (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget (``OMB'') a request for approval of extension of the
previously approved collection of information provided for in Rule 10b-
17 (17 CFR 240.10b-17), under the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.).
    Rule 10b-17 requires any issuer of a class of securities publicly
traded by the use of any means or instrumentality of interstate
commerce or of the mails or of any facility of any national securities
exchange to give notice of the following specific distributions
relating to such class of securities: (1) A dividend or other
distribution in cash or in kind other than interest payments on debt
securities; (2) a stock split or reverse stock split; or (3) a rights
or other subscription offering. Notice shall be either given to the
Financial Industry Regulatory Authority, Inc. as successor to the
National Association of Securities Dealers, Inc. or in accordance with
the procedures of the national securities exchange upon which the
securities are registered. The Commission may exempt an issuer of over-
the-counter (but not listed) securities from the notice requirement.
The requirements of 10b-17 do not apply to redeemable securities of
registered open-end investment companies or unit investment trusts.
    The information required by Rule 10b-17 is necessary for the
execution of the Commission's mandate under the Securities Exchange Act
of 1934 to prevent fraudulent, manipulative, and deceptive acts and
practices. The Commission has found that not requiring formal notices
of the types of distributions covered by Rule 10b-17 has led to a
number of abuses including purchasers not being aware of their rights
to such distributions. It is only through formal notice of the
distribution, including the date of the distribution, that current
holders, potential buyers, or potential sellers of the securities at
issue will know their rights to the distribution. Therefore, it is only
through formal notice that investors can make an informed decision as
to whether to buy or sell a security.
    There are approximately 6,668 respondents per year. These
respondents make approximately 22,354 responses per year. Each response
takes approximately 10 minutes to complete. Thus, the total compliance
burden per year is 3,726 burden hours. The total internal labor cost of
compliance for the respondents, associated with producing and filing
the reports, is approximately $254,038.68.
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB control number.
    The public may view background documentation for this information
collection at the following Web site: http://www.reginfo.gov. Comments
should be directed to: (i) Desk Officer for the Securities and Exchange
Commission, Office of Information and Regulatory Affairs, Office of
Management and Budget, Room 10102, New Executive Office Building,
Washington, DC 20503, or by sending an email to<EMAIL_ADDRESS>and (ii) Thomas Bayer, Director/Chief Information
Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 100
F Street, NE., Washington, DC 20549 or by sending an email to<EMAIL_ADDRESS>Comments must be submitted to OMB within 30 days of
this notice.

    Dated: August 19, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-20086 Filed 8-22-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 80, Number 157 (Friday, August 14, 2015)]
[Notices]
[Pages 48938-48940]
[FR Doc No: 2015-20007]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-75656; File No. SR-ICC-2015-014]

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Implement
Single Name Backloading Incentive Program

August 10, 2015.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder \2\ notice is hereby given that
on July 30, 2015, ICE Clear Credit LLC (``ICC'') filed with the
Securities and Exchange Commission (``Commission'') the

proposed rule change as described in Items I, II, and III below, which
Items have been prepared primarily by ICC. ICC filed the proposal
pursuant to Section 19(b)(3)(A) of the Act,\3\ and Rule 19b-4(f)(2) \4\
thereunder, so that the proposal was effective upon filing with the
Commission. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 240.19b-4(f)(2).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The purpose of the proposed rule change is to implement a single
name backloading incentive program for client account clearing of
single name credit default swap (``CDS'') contracts.

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

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

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

    The proposed rule change is intended to implement a single name
backloading incentive program for client account clearing of single
name CDS contracts. The proposed rule change is designed to incentivize
market participants to submit additional transactions to ICC for
clearing. Under the program, clients will receive a 50% discount on ICC
clearing fees for backloaded single name CDS contracts. The discount
will be paid back as a rebate directly through the client's Clearing
Participant. ICC plans to begin processing program rebates on September
1, 2015, and the terms of the program are set to expire on December 1,
2015. Contracts must have an execution date prior to June 1, 2015 to be
eligible for the rebate program.
    ICC believes the proposed rule change is consistent with the
requirements of the Act including Section 17A of the Act.\5\ More
specifically, the proposed rule change establishes or changes a member
due, fee or other charge imposed by ICC under Section 19(b)(3)(A)(ii)
\6\ of the Act and Rule 19b-4(f)(2) \7\ thereunder. ICC believes the
proposed rule change is consistent with the requirements of the Act and
the rules and regulations thereunder applicable to ICC, in particular,
to Section 17(A)(b)(3)(D),\8\ because the proposed fee changes apply
equally to all market participants clearing backloaded single name CDS
contracts in client accounts and therefore the proposed rule change
provides for the equitable allocation of reasonable dues, fees and
other charges among participants. As such, the proposed rule change is
appropriately filed pursuant to Section 19(b)(3)(A) \9\ of the Act and
paragraph (f)(2) of Rule 19b-4 thereunder.
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    \5\ 15 U.S.C. 78q-1.
    \6\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \7\ 17 CFR 240.19b-4(f)(2).
    \8\ 15 U.S.C. 78q-1(b)(3)(D).
    \9\ 15 U.S.C. 78s(b)(3)(A).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    ICC does not believe the proposed rule change would have any
impact, or impose any burden, on competition. The proposed rule change
modifies pricing for client account clearing of single name CDS
contracts. There is no limit to the number of client participants that
may participate in the backloading incentive program; it will be open
to all clients and rebates will be applied to all transaction fees for
client accounts clearing eligible single name CDS contracts. As such,
the proposed rule change applies consistently across all eligible
market participants and the implementation of the proposed rule change
does not preclude the implementation of similar incentive programs by
other market participants. Therefore, ICC does not believe the proposed
rule change imposes any burden on competition that is inappropriate 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

    Written comments relating to the proposed rule change have not been
solicited or received. ICC will notify the Commission of any written
comments received by ICC.

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

    The foregoing rule change has become effective upon filing pursuant
to Section 19(b)(3)(A) \10\ of the Act and Rule 19b-4(f)(2) \11\
thereunder because the implementation of a single name backloading
incentive program for client account clearing of single name CDS
contracts results in changes which establish or change a due, fee, or
other charge applicable to ICC's participants. At any time within 60
days of the filing of the proposed rule change, the Commission
summarily may temporarily suspend such rule change if it appears to the
Commission that such action is necessary or appropriate in the public
interest, for the protection of investors, or otherwise in furtherance
of the purposes of the Act.
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    \10\ 15 U.S.C. 78s(b)(3)(A).
    \11\ 17 CFR 240.19b-4(f)(2).
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IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-ICC-2015-014 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-ICC-2015-014. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of

10:00 a.m. and 3:00 p.m. Copies of such filings will also be available
for inspection and copying at the principal office of ICE Clear Credit
and on ICE Clear Credit's Web site at https://www.theice.com/clear-credit/regulation.
    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-ICC-2015-014
and should be submitted on or before September 4, 2015.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
---------------------------------------------------------------------------

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

Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-20007 Filed 8-13-15; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 97 (Thursday, May 19, 2011)]
[Notices]
[Pages 28968-28970]
[FR Doc No: 2011-12296]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP11-159-000]

Perryville Gas Storage LLC; Notice of Intent To Prepare an
Environmental Assessment for the Proposed Crowville Salt Dome Storage
Project Amendment and Request for Comments on Environmental Issues

    The staff of the Federal Energy Regulatory Commission (FERC or
Commission) will prepare an environmental assessment (EA) that will
discuss the environmental impacts of the proposed Crowville Salt Dome
Storage Project Amendment (Project Amendment) which involves the
expansion, installation and operation of natural gas storage facilities
by Perryville Gas Storage LLC (Perryville) in Franklin Parish,
Louisiana. This EA will be used by the Commission in its decision-
making process to determine whether the Project Amendment is in the
public convenience and necessity.
    This notice announces the opening of the scoping process the
Commission will use to gather input from the public

and interested agencies on the Project Amendment. Your input will help
the Commission staff determine what issues need to be evaluated in the
EA. Please note that the scoping period will close on June 13, 2011.
    This notice is being sent to the Commission's current environmental
mailing list for the Project Amendment. State and local government
representatives are asked to notify their constituents of this project
and encourage them to comment on their areas of concern.
    If you are a landowner receiving this notice, you may be contacted
by a Perryville representative about the acquisition or modification of
an easement to construct, operate, and maintain the proposed
facilities. The company would seek to negotiate a mutually acceptable
agreement. However, if the Project Amendment is approved by the
Commission, that approval conveys with it the right of eminent domain.
Therefore, if easement negotiations fail to produce an agreement,
Perryville could initiate condemnation proceedings where compensation
would be determined in accordance with state or federal law.
    A fact sheet prepared by the FERC entitled ``An Interstate Natural
Gas Facility on My Land? What Do I Need To Know?'' is available for
viewing on the FERC Web site (http://www.ferc.gov). This fact sheet
addresses a number of typically asked questions, including the use of
eminent domain and how to participate in the Commission's proceedings.

Summary of the Proposed Project

    Perryville proposes to increase the working capacity of its two
previously certificated (FERC Docket No. CP09-418-000) natural gas
storage caverns by 2.5 billion cubic-feet each; and install three
freshwater supply wells (FW Wells 5-7), six brine disposal wells (SWD
Wells 6-11) and eight groundwater monitoring wells (Monitor Wells 1-8).
Perryville believes the proposed facilities are necessary to expand its
Crowville Salt Dome Storage Project so that it can meet the demand for
reliable natural gas storage capacity in the eastern and southeastern
United States.

Land Requirements for Construction

    With one exception, lands recently disturbed for installation and
operation of the Crowville Salt Dome Storage Project facilities would
be used for installation of the proposed facilities. The installation
of one groundwater monitoring well would require the use of two
previously undisturbed acres.
    The general location of the proposed facilities is shown in
Appendix 1.\1\
---------------------------------------------------------------------------

    \1\ The appendices referenced in this notice are not being
printed in the Federal Register. Copies of appendices were sent to
all those receiving this notice in the mail and are available at
http://www.ferc.gov using the link called ``eLibrary'' or from the
Commission's Public Reference Room, 888 First Street, NE.,
Washington, DC 20426,<PHONE_NUMBER>. For instructions on connecting
to eLibrary, refer to the last page of this notice.
---------------------------------------------------------------------------

The EA Process

    The National Environmental Policy Act (NEPA) requires the
Commission to take into account the environmental impacts that could
result from the issuance or amendment of a Certificate of Public
Convenience and Necessity. NEPA also requires us \2\ to discover and
address concerns the public may have about proposals. This process is
referred to as ``scoping.'' The main goal of the scoping process is to
focus the analysis in the EA on the important environmental issues. By
this notice, the Commission requests public comments on the scope of
the issues to be addressed in the EA. All comments received will be
considered during the preparation of the EA.
---------------------------------------------------------------------------

    \2\ ``We,'' ``us,'' and ``our'' refer to the environmental staff
of the Commission's Office of Energy Projects.
---------------------------------------------------------------------------

    In the EA we will discuss impacts that could occur as a result of
the construction and operation of the proposed Project Amendment under
these general headings:
     Geology and soils;
     Water resources;
     Vegetation and wildlife;
     Land use and visual resources;
     Cultural resources;
     Air quality and noise;
     Reliability and safety; and
     Cumulative impacts.
    We will also evaluate alternatives to the proposed project or
portions of the proposed project, and make recommendations on how to
lessen or avoid environmental impacts.
    Our independent analysis of the issues will be presented in the EA.
The EA will be placed in the public record, and depending on the
comments received during the scoping process, may be published and
distributed to the public. A comment period will be allotted if the EA
is published for review. We will consider all comments on the EA before
we make our recommendations to the Commission. To ensure your comments
are considered, please carefully follow the instructions in the Public
Participation section beginning on page 4.
    With this notice, we are asking agencies with jurisdiction and/or
special expertise with respect to environmental issues to formally
cooperate with us in the preparation of the EA. These agencies may
choose to participate once they have evaluated the proposal relative to
their responsibilities. Agencies that would like to request cooperating
agency status should follow the instructions for filing comments
provided under the Public Participation section of this notice.

Consultations Under Section 106 of the National Historic Preservation
Act

    In accordance with the Advisory Council on Historic Preservation's
implementing regulations for section 106 of the National Historic
Preservation Act, we are using this notice to initiate consultation
with applicable State Historic Preservation Office(s), and to solicit
their views and those of other government agencies, interested Indian
tribes, and the public on the project's potential effects on historic
properties.\3\ We will define the project-specific Area of Potential
Effects (APE) in consultation with the SHPO(s) as the project is
further developed. For natural gas facility projects, the APE at a
minimum encompasses all areas subject to ground disturbance (examples
include construction right-of-way, contractor/pipe storage yards,
compressor stations, and access roads). Our EA for this project will
document our findings on the impacts on historic properties and
summarize the status of consultations under section 106.
---------------------------------------------------------------------------

    \3\ The Advisory Council on Historic Preservation's regulations
are at Title 36, Code of Federal Regulations, Part 800. Historic
properties are defined in those regulations as any prehistoric or
historic district, site, building, structure, or object included in
or eligible for inclusion in the National Register for Historic
Places.
---------------------------------------------------------------------------

Public Participation

    You can make a difference by providing us with your specific
comments or concerns about the project. Your comments should focus on
the potential environmental effects, reasonable alternatives, and
measures to avoid or lessen environmental impacts. The more specific
your comments, the more useful they will be. To ensure that your
comments are timely and properly recorded, please send your comments so
that they will be received in Washington, DC on or before June 13,
2011.
    For your convenience, there are three methods which you can use to
submit your comments to the Commission. In all instances please
reference the project docket number (CP11-159-000) with your
submission. The Commission encourages electronic filing of comments and
has expert eFiling staff

available to assist you at<PHONE_NUMBER> or<EMAIL_ADDRESS>    (1) You may file your comments electronically by using the eComment
feature, which is located on the Commission's Web site at http://www.ferc.gov under the link to Documents and Filings. An eComment is an
easy method for interested persons to submit brief, text-only comments
on a project;
    (2) You may file your comments electronically by using the eFiling
feature, which is located on the Commission's Web site at http://www.ferc.gov under the link to Documents and Filings. With eFiling, you
can provide comments in a variety of formats by attaching them as a
file with your submission. New eFiling users must first create an
account by clicking on ``eRegister.'' You will be asked to select the
type of filing you are making. A comment on a particular project is
considered a ``Comment on a Filing''; or
    (3) You may file a paper copy of your comments at the following
address: Kimberly D. Bose, Secretary, Federal Energy Regulatory
Commission, 888 First Street NE, Room 1A Washington, DC 20426.

Environmental Mailing List

    The environmental mailing list includes federal, state, and local
government representatives and agencies; elected officials;
environmental and public interest groups; Native American Tribes; other
interested parties; and local libraries and newspapers. This list also
includes all affected landowners (as defined in the Commission's
regulations) who are potential right-of-way grantors, whose property
may be used temporarily for project purposes, or who own property
within certain distances of aboveground facilities, and anyone who
submits comments on the project. We will update the environmental
mailing list as the analysis proceeds to ensure that we send the
information related to this environmental review to all individuals,
organizations, and government entities interested in and/or potentially
affected by the proposed project.
    If the EA is published for distribution, copies will be sent to the
environmental mailing list for public review and comment. If you would
prefer to receive a paper copy of the document instead of the CD
version or would like to remove your name from the mailing list, please
return the attached Information Request (Appendix 1).

Becoming an Intervenor

    In addition to participating in the EA scoping process, you may
want to become an ``intervenor'' which is an official party to the
Commission's proceeding. Intervenors play a more formal role in the
process and are able to file briefs, appear at hearings, and be heard
by the courts if they choose to appeal the Commission's final ruling.
An intervenor formally participates in the proceeding by filing a
request to intervene. Instructions for becoming an intervenor are
included in the User's Guide under the ``e-filing'' link on the
Commission's Web site.

Additional Information

    Additional information about the project is available from the
Commission's Office of External Affairs, at (866) 208-FERC, or on the
FERC Web site at http://www.ferc.gov using the ``eLibrary'' link. Click
on the eLibrary link, click on ``General Search'' and enter the docket
number, excluding the last three digits in the Docket Number field
(i.e., CP11-159). Be sure you have selected an appropriate date range.
For assistance, please contact FERC Online Support at
<EMAIL_ADDRESS>or toll free at<PHONE_NUMBER>, or for TTY,
contact<PHONE_NUMBER>. The eLibrary link also provides access to the
texts of formal documents issued by the Commission, such as orders,
notices, and rulemakings.
    In addition, the Commission now offers a free service called
eSubscription which allows you to keep track of all formal issuances
and submittals in specific dockets. This can reduce the amount of time
you spend researching proceedings by automatically providing you with
notification of these filings, document summaries, and direct links to
the documents. Go to http://www.ferc.gov/esubscribenow.htm.
    Finally, public meetings or site visits will be posted on the
Commission's calendar located at http://www.ferc.gov/EventCalendar/EventsList.aspx along with other related information.

    Dated: May 13, 2011.
Kimberly D. Bose,
Secretary.
[FR Doc. 2011-12296 Filed 5-18-11; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 81, Number 222 (Thursday, November 17, 2016)]
[Notices]
[Pages 81095-81096]
[FR Doc No: 2016-27578]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OECA-2013-0339; FRL-9954-00-OEI]

Information Collection Request Submitted to OMB for Review and
Approval; Comment Request; NESHAP for Boat Manufacturing (Renewal)

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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

SUMMARY: The Environmental Protection Agency has submitted an
information collection request (ICR), ``NESHAP for Boat Manufacturing
(40 CFR part 63, subpart VVVV) (Renewal)'' (EPA ICR No. 1966.06, OMB
Control No. 2060-0546), to the Office of Management and Budget (OMB)
for review and approval in accordance with the Paperwork Reduction Act
(44 U.S.C. 3501 et seq.). This is a proposed extension of the ICR,
which is currently approved through November 30, 2016. Public comments
were previously requested via the Federal Register (81 FR 26546) on May
3, 2016, during a 60-day comment period. This notice allows for an
additional 30 days for public comments. A fuller description of the ICR
is given below, including its estimated burden and cost to the public.
An Agency may neither conduct nor sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB control number.

DATES: Additional comments may be submitted on or before December 19,
2016.

ADDRESSES: Submit your comments, referencing Docket ID Number EPA-HQ-
OECA-2013-0339, to: (1) EPA online using www.regulations.gov (our
preferred method), or by email to<EMAIL_ADDRESS>or by mail to:
EPA Docket Center, Environmental Protection Agency, Mail Code 28221T,
1200 Pennsylvania Ave. NW., Washington, DC 20460; and (2) OMB via email
to<EMAIL_ADDRESS>Address comments to OMB Desk Officer
for EPA.
    EPA's policy is that all comments received will be included in the
public docket without change including any personal information
provided, unless the comment includes profanity, threats, information
claimed to be Confidential Business Information (CBI), or other
information whose disclosure is restricted by statute.

FOR FURTHER INFORMATION CONTACT: Patrick Yellin, Monitoring,
Assistance, and Media Programs Division, Office of Compliance, Mail
Code 2227A, Environmental Protection Agency, 1200 Pennsylvania Ave.
NW., Washington, DC 20460; telephone number:<PHONE_NUMBER>; fax
number:<PHONE_NUMBER>; email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Supporting documents which explain in detail
the information that the EPA will be collecting are available in the
public docket for this ICR. The docket can be viewed online at
www.regulations.gov or in person at the EPA Docket Center, EPA West,
Room 3334, 1301 Constitution Ave. NW., Washington, DC. The telephone
number for the Docket Center is<PHONE_NUMBER>. For additional
information about EPA's public docket, visit: http://www.epa.gov/dockets.
    Abstract: Owners and operators of affected facilities are required
to comply with reporting and recordkeeping requirements for the General
Provisions (40 CFR part 63, subpart A), as well as for the standards at
40 CFR part 63, subpart VVVV. This includes submittal initial
notifications, performance tests and periodic reports and results, and
maintaining records of the occurrence and duration of any startup,
shutdown, or malfunction in the operation of an affected facility, or
any period during which the monitoring systems is inoperative. These
reports are used by EPA to determine compliance with the standards.
    Form Numbers: None.
    Respondents/affected entities: Boat manufacturing facilities.
    Respondent's obligation to respond: Mandatory (40 CFR part 63,
subpart VVVV).
    Estimated number of respondents: 144 (total).
    Frequency of response: Initially, occasionally and semiannually.
    Total estimated burden: 23,500 hours (per year). Burden is defined
at 5 CFR 1320.3(b).
    Total estimated cost: $2,430,000 (per year), includes $800 in
annualized

capital/startup and/or operation & maintenance costs.
    Changes in the Estimates: There is no change in the labor hours in
this ICR compared to the previous ICR. This is due to two
considerations. First, the regulations have not changed over the past
three years and are not anticipated to change over the next three
years. Secondly, the growth rate for the industry is very low, negative
or non-existent, so there is no significant change in the overall
burden. However, there is an adjustment increase in the respondent
burden costs due to an increase in labor rates. This ICR uses updated
labor rates from the Bureau of Labor Statistics to calculate burden
costs. This ICR also rounds all calculated total values to 3
significant figures.

Courtney Kerwin,
Director, Regulatory Support Division.
[FR Doc. 2016-27578 Filed 11-16-16; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 79, Number 28 (Tuesday, February 11, 2014)]
[Rules and Regulations]
[Pages 8081-8082]
[FR Doc No: 2014-02809]

========================================================================
Rules and Regulations
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by the Superintendent of Documents.
Prices of new books are listed in the first FEDERAL REGISTER issue of each
week.

========================================================================

Federal Register / Vol. 79, No. 28 / Tuesday, February 11, 2014 /
Rules and Regulations

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2013-0342; Directorate Identifier 2013-NE-14-AD;
Amendment 39-17750; AD 2014-03-16]
RIN 2120-AA64

Airworthiness Directives; Rolls-Royce Deutschland Ltd & Co. KG
Turbofan Engines

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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

SUMMARY: We are adopting a new airworthiness directive (AD) for all
Rolls-Royce Deutschland Ltd & Co. KG (RRD) Tay 620-15, 650-15, and 651-
54 turbofan engines. This AD requires replacement of low-pressure
compressor (LPC) fan blades. This AD was prompted by the discovery that
the LPC fan blades leading edges erode in service and create an
unacceptable blade flutter margin. We are issuing this AD to prevent
LPC fan blade failure, damage to the engine, and damage to the
airplane.

DATES: This AD becomes effective March 18, 2014.

ADDRESSES: The Docket Operations office is located at Docket Management
Facility, U.S. Department of Transportation, 1200 New Jersey Avenue
SE., West Building Ground Floor, Room W12-140, Washington, DC 20590-
0001.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov by searching for and locating Docket No. FAA-2013-
0342; 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 this AD, the mandatory continuing airworthiness information
(MCAI), the regulatory evaluation, any comments received, and other
information. The street address for the Docket Operations office
(phone:<PHONE_NUMBER>) is provided in the ADDRESSES section. Comments
will be available in the AD docket shortly after receipt.

FOR FURTHER INFORMATION CONTACT: Anthony W. Cerra, Jr., Aerospace
Engineer, Engine Certification Office, FAA, Engine & Propeller
Directorate, 12 New England Executive Park, Burlington, MA 01803;
phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 by adding an AD that would apply to the specified products. The
NPRM was published in the Federal Register on September 26, 2013 (78 FR
59291). The NPRM proposed to correct an unsafe condition for the
specified products. The MCAI states:

    Service history of Tay series engines discovered that low
pressure compressor (LPC) fan blade leading edge is exposed to
excessive deterioration. The LPC fan blade leading edge profile
influences the LPC aerodynamic characteristics and stability. This
condition, if not corrected, could reduce fan flutter margin and, in
some cases, could lead to fan blade failure, possibly resulting in
uncontained release of high energy debris with consequent damage to,
and/or reduced control of, the aeroplane.

    You may examine the MCAI in the AD docket on the Internet at http://www.regulations.gov/#!documentDetail;D=FAA-2013-0342-0002.

Comments

    We gave the public the opportunity to participate in developing
this AD. We considered the comment received. The commenter supports the
NPRM (78 FR 59291, September 26, 2013).

Conclusion

    We reviewed the available data, including the comment received, and
determined that air safety and the public interest require adopting the
AD as proposed.

Costs of Compliance

    We estimate that this AD will affect about 52 engines of U.S.
registry. We also estimate that it will take about six hours per
product to comply with this AD. The average labor rate is $85 per hour.
Required parts will cost about $11,000 per engine. Based on these
figures, we estimate the cost of this AD on U.S. operators to be
$598,520.

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),
    (3) Will not affect intrastate aviation in Alaska to the extent
that it justifies making a regulatory distinction, and
    (4) 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.

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

    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]

    2. The FAA amends Sec.  39.13 by adding the following new
airworthiness directive (AD):

2014-03-16 Rolls-Royce Deutschland Ltd & Co. KG (formerly Rolls-
Royce plc): Amendment 39-17750; Docket No. FAA-2013-0342;
Directorate Identifier 2013-NE-14-AD.

(a) Effective Date

    This AD becomes effective March 18, 2014.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to Rolls-Royce Deutschland Ltd & Co. KG (RRD)
Tay 620-15, 650-15, and 651-54 turbofan engines.

(d) Reason

    This AD was prompted by the discovery that the low-pressure
compressor (LPC) fan blade leading edges erode in service and create
an unacceptable blade flutter margin. We are issuing this AD to
prevent LPC fan blade failure, damage to the engine, and damage to
the airplane.

(e) Actions and Compliance

    Unless already done, do the following actions:
    (1) For Tay 620-15 engines, replace the complete set of LPC fan
blades with a set eligible for installation as follows:
    (i) If on the effective date of this AD, the LPC fan blades:
    (A) Have less than 10,000 flight cycles since new (FCSN) or
flight cycles since last repair (FCSLR), replace the blades before
accumulating 12,000 FCSN or FCSLR.
    (B) Have 10,000 or more FCSN or FCSLR, replace the blades within
2,000 flight cycles (FC).
    (ii) Thereafter, replace the LPC fan blades within 12,000 FCSN
or FCSLR.
    (2) For Tay 650-15 and Tay 651-54 engines, replace the complete
set of LPC fan blades with a set eligible for installation as
follows:
    (i) If on the effective date of this AD, the LPC fan blades:
    (A) Have less than 8,000 FCSN or FCSLR, replace the blades
before accumulating 10,000 FCSN or FCSLR.
    (B) Have 8,000 or more FCSN or FCSLR, replace the fan blades
within 2,000 FC.
    (ii) Thereafter, replace the LPC fan blades within 10,000 FCSN
or FCSLR.

(f) Definitions

    (1) For the purpose of this AD, a repair is one that was
performed in accordance with RRD Alert Non-Modification Service
Bulletin (NMSB) No. Tay-72-A1782, Revision 2, dated May 30, 2013, or
earlier versions of this Alert NMSB.
    (2) LPC fan blades eligible for installation are:
    (i) For Tay 620-15 engines, LPC fan blades with less than 12,000
FCSN or FCSLR; and
    (ii) For Tay 650-15 and Tay 651-54 engines, LPC fan blades with
less than 10,000 FCSN or FCSLR.

(g) Alternative Methods of Compliance (AMOCs)

    The Manager, Engine Certification Office, FAA, may approve AMOCs
to this AD. Use the procedures found in 14 CFR 39.19 to make your
request.

(h) Related Information

    (1) For more information about this AD, contact Anthony W.
Cerra, Jr., Aerospace Engineer, Engine Certification Office, FAA,
Engine & Propeller Directorate, 12 New England Executive Park,
Burlington, MA 01803; phone:<PHONE_NUMBER>; fax:<PHONE_NUMBER>; email:
<EMAIL_ADDRESS>    (2) Refer to MCAI European Aviation Safety Agency AD 2013-0143,
dated July 12, 2013, for more information. You may examine the MCAI
in the AD docket on the Internet at http://www.regulations.gov/#!documentDetail;D=FAA-2013-0342-0002.
    (3) RRD Alert NMSB No. Tay-72-A1782, Revision 2, dated May 30,
2013, pertains to the subject of this AD and can be obtained from
RRD, using the contact information in paragraph (h)(4) of this AD.
    (4) For service information identified in this AD, contact
Rolls-Royce Deutschland Ltd & Co. KG, Eschenweg 11, Dahlewitz, 15827
Blankenfelde-Mahlow, Germany; phone: 49 0 33-7086-1200 (direct
1016); fax: 49 0 33-7086-1212.
    (5) You may view this service information at the FAA, Engine &
Propeller Directorate, 12 New England Executive Park, Burlington,
MA. For information on the availability of this material at the FAA,
call<PHONE_NUMBER>.

(i) Material Incorporated by Reference

    None.

    Issued in Burlington, Massachusetts, on January 30, 2014.
Colleen M. D'Alessandro,
Assistant Directorate Manager, Engine & Propeller Directorate, Aircraft
Certification Service.
[FR Doc. 2014-02809 Filed 2-10-14; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 85, Number 242 (Wednesday, December 16, 2020)]
[Notices]
[Pages 81534-81537]
[FR Doc No: 2020-27598]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-90629; File No. SR-NYSEArca-2020-109]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE
Arca Options Fee Schedule Regarding the Criteria To Qualify for the
Market Maker Incentive for Penny Issues

December 10, 2020.
    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 December 7, 2020, NYSE Arca, Inc. (``NYSE Arca'' or the
``Exchange'') 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.
---------------------------------------------------------------------------

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

    The Exchange proposes to modify the NYSE Arca Options Fee Schedule
(``Fee Schedule'') regarding the criteria to qualify for a Market Maker
Incentive for Penny Issues. The Exchange proposes to implement the fee
change effective December 7, 2020.\4\ The proposed rule change is
available on the Exchange's website at www.nyse.com, at the principal
office of the Exchange, and at

the Commission's Public Reference Room.
---------------------------------------------------------------------------

    \4\ The Exchange originally filed to amend the Fee Schedule on
December 1, 2020 (SR-NYSEArca-2020-106) and withdrew such filing on
December 7, 2020.
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II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

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

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

1. Purpose
    The purpose of this filing is to amend the Fee Schedule to modify
the criteria to qualify for a Market Maker Incentive For Penny Issues.
The Exchange proposes to implement the rule change on December 7, 2020.
    The Exchange currently provides several incentives for OTP Holders
and OTP Firms (collectively, ``OTPs'') designed to encourage OTPs to
direct additional order flow to the Exchange to achieve more favorable
pricing and higher credits. Among these incentives are enhanced posted
liquidity credits based on achieving certain percentages of Total
Industry Customer equity and ETF option average daily volume
(``TCADV'').\5\
---------------------------------------------------------------------------

    \5\ TCADV includes OCC calculated Customer volume of all types,
including Complex Order Transactions and QCC transactions, in equity
and ETF options. See Endnote 8 to the Fee Schedule.
---------------------------------------------------------------------------

    Currently, Market Maker orders in Penny Issues that post liquidity
and are executed on the Exchange earn a base credit of ($0.28) per
contract, and may be eligible for increased credits based on the
participant's activity. The Fee Schedule provides for three Penny
Credit Tiers for Market Makers, with increasing minimum volume
thresholds (as well as increasing credits) associated with each tier,
ranging from per contract credits of ($0.32) to ($0.42) for Market
Makers that achieve the Select Tier up to Super Tier II,
respectively.\6\ The Exchange also offers various incentives that
increase the possible posting credit applied to a Market Maker's
orders, such as cross asset incentives for activity on the NYSE Arca
Equity Market. One such incentive is the Market Maker Incentive For
Penny Issues (the ``Incentive'').
---------------------------------------------------------------------------

    \6\ See Fee Schedule, NYSE Arca OPTIONS: TRADE-RELATED CHARGES
FOR STANDARD OPTIONS, MARKET MAKER PENNY AND SPY POSTING CREDIT
TIERS.
---------------------------------------------------------------------------

    Currently, there are two components to the qualification for the
Incentive, the first being at least 0.75% of TCADV from affiliated or
appointed Order Flow Provider Customer posted interest in all issues.
The second component of the qualification currently is an ADV from
Market Maker posted interest equal to 0.70% of TCADV.
    The Exchange proposes to modify the qualifying criteria for the
Incentive to (1) lower the minimum volume threshold of the Market Maker
posted interest component from 0.70% to 0.40% of TCADV, and (2) specify
that volume from SPY \7\ would be excluded from the qualifying volume
for the credit.\8\ The amount of the credit will remain the same,
($0.41) per contract. The Exchange believes that the proposed change to
exclude volume from SPY but lower the minimum volume threshold to
qualify for the Incentive would still encourage OTPs to achieve the
Incentive with increased Market Maker posted interest in issues other
than SPY,\9\ which would bring increased liquidity and order flow to
the Exchange for the benefit of all market participants.
---------------------------------------------------------------------------

    \7\ SPY is the trading acronym for SPDR S&P 500 ETF Trust.
    \8\ See proposed Fee Schedule, NYSE Arca OPTIONS: TRADE-RELATED
CHARGES FOR STANDARD OPTIONS, Market Maker Incentive For Penny
Issues.
    \9\ The Exchange notes that there are separate incentives
specifically related to Market Maker posted interest in SPY.
---------------------------------------------------------------------------

    The Exchange cannot predict with certainty whether any OTPs would
qualify for the incentive under the modified criteria; however, the
Exchange believes that the proposed Incentive would continue to
encourage OTPs to increase Market Maker posted volume in issues other
than SPY to qualify for this Incentive.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\10\ in general, and furthers the
objectives of Sections 6(b)(4) and (5) of the Act,\11\ in particular,
because it provides for the equitable allocation of reasonable dues,
fees, and other charges among its members, issuers, and other persons
using its facilities and does not unfairly discriminate between
customers, issuers, brokers, or dealers.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78f(b).
    \11\ 15 U.S.C. 78f(b)(4) and (5).
---------------------------------------------------------------------------

The Proposed Rule Change Is Reasonable
    The Exchange operates in a highly competitive market. The
Commission has repeatedly expressed its preference for competition over
regulatory intervention in determining prices, products, and services
in the securities markets. In Regulation NMS, the Commission
highlighted the importance of market forces in determining prices and
SRO revenues and also recognized that current regulation of the market
system ``has been remarkably successful in promoting market competition
in its broader forms that are most important to investors and listed
companies.'' \12\
---------------------------------------------------------------------------

    \12\ See Securities Exchange Act Release No. 51808 (June 9,
2005), 70 FR 37496, 37499 (June 29, 2005) (S7-10-04) (``Reg NMS
Adopting Release'').
---------------------------------------------------------------------------

    There are currently 16 registered options exchanges competing for
order flow. Based on publicly-available information, and excluding
index-based options, no single exchange has more than 16% of the market
share of executed volume of multiply-listed equity and ETF options
trades.\13\ Therefore, currently no exchange possesses significant
pricing power in the execution of multiply-listed equity and ETF
options order flow. More specifically, in August 2020, the Exchange had
slightly more than 10% market share of executed volume of multiply-
listed equity and ETF options trades.\14\
---------------------------------------------------------------------------

    \13\ The OCC publishes options and futures volume in a variety
of formats, including daily and monthly volume by exchange,
available at: https://www.theocc.com/market-data/volume/default.jsp.
    \14\ Based on OCC data, the Exchange's market share in equity-
based options was 9.59% for the month of August 2019 and 10.20% for
the month of August 2020. See id.
---------------------------------------------------------------------------

    The Exchange believes that the ever-shifting market share among the
exchanges from month to month demonstrates that market participants can
shift order flow, or discontinue or reduce use of certain categories of
products, in response to fee changes. Accordingly, competitive forces
constrain options exchange transaction fees. Stated otherwise, changes
to exchange transaction fees and rebates can have a direct effect on
the ability of an exchange to compete for order flow, including with
options exchanges that offer similar posting credits on Market Maker
executions.\15\
---------------------------------------------------------------------------

    \15\ See e.g., MIAX Pearl Fee Schedule, available at: https://www.miaxoptions.com/sites/default/files/fee_schedule-files/MIAX_PEARL_Fee_Schedule_11052020.pdf (regarding Market Maker Posting
credits).
---------------------------------------------------------------------------

    The Exchange believes that the proposed modification to the
criteria to qualify for the Incentive is reasonably designed to
continue to incent OTPs to

increase the amount and type of Market Maker posted interest sent to
the Exchange. The Exchange notes that Market Makers are still eligible
to qualify for Market Maker Penny and SPY Posting Credit Tiers based on
a specified benchmark in posted interest in all issues from Market
Maker posted interest.\16\ By continuing to provide alternative methods
to qualify for enhanced Penny posting credits, the Exchange believes
OTPs will have increased opportunities to qualify for credits, which
benefits all participants through increased volume to the Exchange.
---------------------------------------------------------------------------

    \16\ See supra note 5.
---------------------------------------------------------------------------

    To the extent that the proposed change attracts to the Exchange
more Market Maker posted interest in both Penny and non-Penny issues,
this increased order flow would continue to make the Exchange a more
competitive venue for order execution, which, in turn, promotes just
and equitable principles of trade and removes impediments to and
perfects the mechanism of a free and open market and a national market
system.
    The Exchange cannot predict with certainty whether any Market
Makers would qualify for the Incentive under the modified criteria;
however, the Exchange believes that OTPs would continue to be
encouraged to increase Market Maker posted volume to qualify for this
Incentive.
The Proposed Rule Change Is an Equitable Allocation of Credits and Fees
    The Exchange believes the proposed rule change is an equitable
allocation of its fees and credits. The proposal is based on the amount
and type of business transacted on the Exchange, and OTPs can opt to
avail themselves of the modified criteria to qualify for the Incentive
or not. Moreover, the proposal is designed to incent OTPs to aggregate
all Customer posting interest and Market Maker interest at the Exchange
as a primary execution venue. To the extent that the proposed change
attracts more Market Maker posting interest to the Exchange, this
increased order flow would continue to make the Exchange a more
competitive venue for, among other things, order execution. Thus, the
Exchange believes the proposed rule change would improve market quality
for all market participants on the Exchange and, therefore, attract
more order flow to the Exchange, thereby improving market-wide quality
and price discovery.
The Proposed Rule Change Is Not Unfairly Discriminatory
    The Exchange believes that the proposed rule change is not unfairly
discriminatory because all similarly-situated market participants would
be eligible to qualify for the Incentive pursuant to the modified
criteria on an equal and non-discriminatory basis.
    The proposal is based on the amount and type of business transacted
on the Exchange, and Market Makers are not obligated to try to qualify
for the Incentive, as modified, nor are they obligated to execute
posted interest. Rather, the proposal is designed to encourage OTPs to
utilize the Exchange as a primary trading venue for Customer posted
interest and Market Maker posted interest (if they have not done so
previously) or increase volume sent to the Exchange. To the extent that
the proposed change attracts to the Exchange more Market Maker
interest, including posted interest, this increased order flow would
continue to make the Exchange a more competitive venue for order
execution. Thus, the Exchange believes the proposed rule change would
improve market quality for all market participants on the Exchange and,
as a consequence, attract more order flow to the Exchange, thereby
improving market-wide quality and price discovery. The resulting
increased volume and liquidity would provide more trading opportunities
and tighter spreads to all market participants and thus would promote
just and equitable principles of trade, remove impediments to and
perfect the mechanism of a free and open market and a national market
system, and, in general, protect investors and the public interest.
    Finally, the Exchange believes that it is subject to significant
competitive forces, as described below in the Exchange's statement
regarding the burden on competition.

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

    In accordance with Section 6(b)(8) of the Act, the Exchange does
not believe that the proposed rule change would impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Act. Instead, as discussed above, the Exchange believes
that the proposed change would encourage the submission of additional
liquidity to a public exchange, thereby promoting market depth, price
discovery and transparency, and enhancing order execution opportunities
for all market participants. As a result, the Exchange believes that
the proposed change furthers the Commission's goal in adopting
Regulation NMS of fostering integrated competition among orders, which
promotes ``more efficient pricing of individual stocks for all types of
orders, large and small.'' \17\
---------------------------------------------------------------------------

    \17\ See Reg NMS Adopting Release, supra note 9, at 37499.
---------------------------------------------------------------------------

    Intramarket Competition. The proposed change is designed to attract
additional order flow (particularly Market Maker posted interest) to
the Exchange. The Exchange believes that the proposed modification to
the Incentive would continue to incent Market Makers to direct their
posted interest to the Exchange. Greater liquidity benefits all market
participants on the Exchange, and increased Market Maker interest would
increase opportunities for execution of other trading interest. The
proposed modification would be available to all similarly-situated
market participants that execute Customer posted interest and also make
markets, and, accordingly, would not impose a disparate burden on
competition among market participants on the Exchange.
    Intermarket Competition. The Exchange operates in a highly
competitive market in which market participants can readily favor one
of the 16 competing option exchanges if they deem fee levels at a
particular venue to be excessive. In such an environment, the Exchange
must continually adjust its fees to remain competitive with other
exchanges and to attract order flow to the Exchange. Based on publicly-
available information, and excluding index-based options, no single
exchange has more than 16% of the market share of executed volume of
multiply-listed equity and ETF options trades.\18\ Therefore, currently
no exchange possesses significant pricing power in the execution of
multiply-listed equity and ETF options order flow. More specifically,
in August 2020, the Exchange had slightly more than 10% market share of
executed volume of multiply-listed equity and ETF options trades.\19\
---------------------------------------------------------------------------

    \18\ The OCC publishes options and futures volume in a variety
of formats, including daily and monthly volume by exchange,
available at: https://www.theocc.com/market-data/volume/default.jsp.
    \19\ Based on OCC data, the Exchange's market share in equity-
based options was 9.59% for the month of August 2019 and 10.20% for
the month of August 2020. See id.
---------------------------------------------------------------------------

    The Exchange believes that the proposed modification to the
criteria to qualify for the Incentive reflects this competitive
environment because it modifies the Exchange's fees in a manner
designed to encourage Market

Makers to continue to direct trading interest (particularly Market
Maker posted interest) to the Exchange, provide liquidity, and attract
order flow. To the extent that this purpose is achieved, all the
Exchange's market participants should benefit from the improved market
quality and increased opportunities for price improvement.
    The Exchange believes that the proposed change could promote
competition between the Exchange and other execution venues, including
those that currently offer similar Market Maker posting credits, by
encouraging additional orders to be sent to the Exchange for execution.

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

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

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

    The foregoing rule change is effective upon filing pursuant to
Section 19(b)(3)(A) \20\ of the Act and subparagraph (f)(2) of Rule
19b-4 \21\ thereunder, because it establishes a due, fee, or other
charge imposed by the Exchange.
---------------------------------------------------------------------------

    \20\ 15 U.S.C. 78s(b)(3)(A).
    \21\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \22\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \22\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

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-2020-109 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEArca-2020-109. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSEArca-2020-109, and should be
submitted on or before January 6, 2021.
---------------------------------------------------------------------------

    \23\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\23\
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-27598 Filed 12-15-20; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: August 10, 2006 (Volume 71, Number 154)]
[Notices]
[Page 45805-45806]
[DOCID:fr10au06-45]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP06-451-000]

National Fuel Gas Supply Corporation; Notice of Tariff Filing

August 2, 2006.
    Take notice that on July 31, 2006, National Fuel Gas Supply
Corporation (National) tendered for filing as part of its FERC Gas
Tariff, Fourth Revised Volume No. 1, Ninety Second Revised Sheet No. 9,
to become effective August 1, 2006.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211 and 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed in accordance with the provisions of
Section 154.210 of the Commission's regulations (18 CFR 154.210).
Anyone filing an intervention or protest must serve a copy of that
document on the Applicant. Anyone filing an intervention or protest on
or before the intervention or protest date need not serve motions to
intervene or protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov.
 Persons unable to file electronically

should submit an original and 14 copies of the protest or intervention
to the Federal Energy Regulatory Commission, 888 First Street, NE.,
Washington, DC 20426.
    This filing is accessible on-line at http://www.ferc.gov, using the

``eLibrary'' link and is available for review in the Commission's
Public Reference Room in Washington, DC. There is an ``eSubscription''
link on the Web site that enables subscribers to receive e-mail
notification when a document is added to a subscribed docket(s). For
assistance with any FERC Online service, please e-mail
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For

TTY, call<PHONE_NUMBER>.

Magalie R. Salas,
Secretary.
 [FR Doc. E6-13053 Filed 8-9-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 88, Number 191 (Wednesday, October 4, 2023)]
[Notices]
[Pages 68624-68625]
[FR Doc No: 2023-21989]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2023-N-4158]

User Fee Rates for Fiscal Year 2024; Change of Address

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA) is providing notice
that the courier address for the U.S. Bank will change. This change has
a direct impact on the Fiscal Year 2024 Federal Register notices for
the following FDA User Fee programs: Prescription Drug User Fee
Amendments (PDUFA), Medical Device User Fee Amendments (MDUFA), Generic
Drug User Fee Amendments (GDUFA), Biosimilar User Fee Amendments
(BsUFA), Food Safety Modernization Act (FSMA), and Compounding Quality
Act (CQA). The new physical address will be 3180 Rider Trail South,
Earth City, MO 63045.

FOR FURTHER INFORMATION CONTACT: Olufunmilayo Ariyo, Office of
Financial Management, Food and Drug Administration, 4041 Powder Mill
Rd., Rm. 62080, Beltsville, MD 20705-4304,<PHONE_NUMBER>; or the User
Fees Support Staff at [email protected].

SUPPLEMENTARY INFORMATION: The purpose of this notice is to inform the
public that the physical address for overnight packages for the U.S.
Bank will change on October 6, 2023. The building's street address has
changed from 1005 Convention Plaza, St. Louis, MO 63101, to 3180 Rider
Trail South, Earth City, MO 63045. The last date to use the old address
to deliver a check by courier, such as Federal Express or UPS, is
October 5, 2023, and payers must use the new address for any packages
beginning October 6, 2023, to prevent any disruption to the processing
of their overnight package payments. Note that this new address is for
courier delivery only.
    If checks are to be sent by a courier that requires a street
address, the courier can deliver the checks to:
     For CQA and MDUFA: U.S. Bank, ATTN: Government Lockbox
979033, 3180 Rider Trail South, Earth City, MO 63045.
     For BsUFA, FSMA, and GDUFA: U.S. Bank, ATTN: Government
Lockbox 979108, 3180 Rider Trail South, Earth City, MO 63045.
     For PDUFA: U.S. Bank, ATTN: Government Lockbox 979107,
3180

Rider Trail South, Earth City, MO 63045.
    If you have any questions concerning courier delivery, contact U.S.
Bank at<PHONE_NUMBER>. This phone number is only for questions about
courier delivery.
    Note that the address for payments made by mail has not changed and
should continue to be mailed to:
     CQA and MDUFA: Food and Drug Administration, P.O. Box
979033, St. Louis, MO 63197-9000.
     For BsUFA, FSMA, and GDUFA: Food and Drug Administration,
P.O. Box 979108, St. Louis, MO 63197-9000.
     For PDUFA: Food and Drug Administration, P.O. Box 979107,
St. Louis, MO 63197-9000.
    If a check, bank draft, or U.S. postal money order is submitted,
make it payable to the order of the Food and Drug Administration and
include the user fee ID number to ensure that the payment is applied to
the correct fee(s). The FDA post office box number must be written on
the check, bank draft, or U.S. postal money order.
    In addition, note that the information for payments made by wire
transfer has not changed, and must include the unique user fee ID
number to ensure that the payment is applied to the correct fee(s).
Without the unique user fee ID number, the payment may not be applied.
If the payment amount is not applied, the invoice amount will be
referred to collections. The originating financial institution may
charge a wire transfer fee. Include applicable wire transfer fees with
payment to ensure fees are fully paid. Questions about wire transfer
fees should be addressed to the financial institution. The following
account information should continue to be used to send payments by wire
transfer: U.S. Department of the Treasury, TREAS NYC, 33 Liberty St.,
New York, NY 10045, account number: 75060099, routing number:
021030004, SWIFT: FRNYUS33.
    FDA's tax identification number is 53-0196965. (Note: Invoice
copies do not need to be submitted to FDA with the payments.)

    Dated: September 29, 2023.
Lauren K. Roth,
Associate Commissioner for Policy.
[FR Doc. 2023-21989 Filed 10-3-23; 8:45 am]
BILLING CODE 4164-01-P