[Federal Register Volume 76, Number 245 (Wednesday, December 21, 2011)]
[Notices]
[Pages 79254-79258]
[FR Doc No: 2011-32586]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-65964; File Nos. SR-EDGA-2011-29; SR-EDGX-2011-28]

Self-Regulatory Organizations; EDGA Exchange, Inc.; EDGX
Exchange, Inc.; Order Approving Proposed Rule Changes, as Modified by
Amendments No. 1, Relating to Amendments to EDGA and EDGX Rules
Regarding the Registration and Obligations of Market Makers

December 15, 2011.

I. Introduction

    On August 30, 2011, EDGA Exchange, Inc. and EDGX Exchange, Inc.
(``EDGA'' and ``EDGX,'' or ``Exchanges'') filed with the Securities and
Exchange Commission (``Commission''), pursuant to Section 19(b)(1) of
the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4
thereunder,\2\ proposed rule changes relating to amendments to EDGA and
EDGX rules regarding the registration and obligations of market
makers.\3\ The proposed rule changes were published for comment in the
Federal Register on September 16, 2011.\4\ On December 14, 2011, the
Exchanges each filed an Amendment No. 1 to their respective proposed
rule changes (``Amendments No. 1'').\5\ The Commission received no
comment letters regarding the proposals. This order approves the
proposed rule changes, as modified by the Amendments No. 1.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ The proposed rule changes, and the rules affected by them,
in the EDGA and EDGX rulebooks are identical, so all proposed
changes and references to any rule apply to both of the Exchanges.
    \4\ See Securities Exchange Act Release No. 65315 (September 12,
2011), 76 FR 57772 (September 16, 2011) (SR-EDGX-2011-28);
Securities Exchange Act Release No. 65316 (September 12, 2011), 76
FR 57787 (September 16, 2011) (SR-EDGA-2011-29) (``Notices'').
    \5\ Amendments No. 1 amended the proposed rule changes to delete
proposed Rule 11.21(e), which would have allowed the Exchanges, upon
the request of a Market Maker, to enter, refresh, cancel and re-
enter, under specified circumstances, two-sided quotations on behalf
of the market maker at prices within a Designated Percentage
(defined below) away from the then-current NBBO. The filings were
previously noticed by the Commission for public comment in their
entirety. Amendments No. 1 removed an optional automated quotation
functionality, a change that does not alter the substance of the
remainder of the proposals. For these reasons, the amendments are
not subject to notice and comment.
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II. Description of the Proposals

    The Exchanges propose to amend Chapter XI of their rulebooks to add
new rules regarding the registration and

obligations of market makers. The Exchanges also propose to amend Rule
14.1, entitled ``Unlisted Trading Privileges,'' to restrict trading
activities of Market Makers, and impose a series of reporting and
record-keeping requirements on them. Lastly, the Exchanges propose to
amend Rule 8.15, Interpretation .01, to expand the list of violations
eligible for disposition under the Exchanges' Minor Rule Violation
Plans (``MRVP'').

A. Registration of Market Makers

    The Exchanges propose to give Members the option to register as
Market Makers, which would require them to submit applications in the
form prescribed by the Exchanges. The Exchanges would review the
applications by considering several factors, including the capital,
operations, personnel, technical resources, and disciplinary history of
the applicant. The Exchanges would require each Market Maker to have
and maintain the minimum net capital of at least the amount required by
Rule 15c3-1 under the Act.\6\ An applicant's registration as a Market
Maker would become effective upon receipt by the Member of the notice
of approval of registration from one of the Exchanges. The Exchanges
would designate registered Market Makers as dealers for all purposes
under the Act, and the rules and regulations thereunder.
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    \6\ 17 CFR 240.15c3-1.
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    The Exchanges could suspend or terminate the registration of a
Market Maker if the Exchange(s) determine(s) that the Market Maker:
Substantially or continually fails to engage in dealings in accordance
with Exchange Rules, fails to meet the minimum net capital conditions,
fails to maintain fair and orderly markets, or does not have at least
one registered Market Maker Authorized Trader (``MMAT'') qualified \7\
to perform market making activities.\8\ Any Market Maker could also
withdraw its registration, subject to any minimum prior notice period
or other conditions on withdrawal and re-registration the Exchange(s)
deem(s) appropriate to maintain fair and orderly markets.
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    \7\ A MMAT whose registration is suspended would not be deemed
qualified.
    \8\ A Market Maker could appeal a suspension or termination
pursuant to the procedures in Chapter X of the Exchanges' rules.
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B. Registration of MMATs

    The Exchanges propose to require that each registered Market Maker
have at least one registered MMAT, which would require Market Makers to
submit applications in the form prescribed by the Exchanges. MMATs
could be officers, partners, employees, or other associated persons of
Market Makers. However, to be eligible for registration as a MMAT, a
person must successfully complete the training and other programs
required by the Exchanges and the General Securities Representative
Examination (i.e., Series 7) or equivalent foreign examination module
approved by the Exchanges. The Exchanges would require Market Makers to
ensure that their MMATs are properly qualified to perform market making
activities, and the Exchanges could grant a person conditional
registration as a MMAT as appropriate in the interests of maintaining a
fair and orderly market. Once registered, MMATs could enter orders only
for the account of the Market Maker for which they are registered.
    In addition, the Exchanges could suspend or terminate the
registration of a MMAT if the Exchange(s) determine(s) that the MMAT
has caused the Market Maker to fail to comply with the federal
securities laws, and the rules and regulations thereunder, or the rules
of the Exchange(s), or if the MMAT fails to perform his or her
responsibilities properly or fails to maintain fair and orderly
markets.\9\ If a MMAT is suspended, the Market Maker could not allow
the MMAT to submit orders. A Market Maker could also withdraw the
registration of a MMAT by submitting to the Exchange(s) a written
request on a form prescribed by the Exchange(s).
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    \9\ A MMAT could appeal a suspension or termination pursuant to
the procedures in Chapter X of the Exchanges' rules.
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C. Registration of Market Makers in a Security

    The Exchanges propose to require Market Makers to register in the
securities for which they would make markets. A Market Maker could
register in a newly authorized security or in a security already
admitted to dealings on the Exchange(s) by filing a security
registration form with the Exchange(s). Registration in the security
would become effective on the same day that the Exchange(s) approve(s)
the registration, unless otherwise provided by the Exchange(s). In
considering the approval of the registration of the Market Maker in a
security, the Exchange(s) could consider the financial resources
available to the Market Maker, the Market Maker's experience and past
performance in making markets, the Market Maker's operational
capability, the maintenance and enhancement of competition among Market
Makers in each security in which they are registered, the existence of
satisfactory clearing arrangements for the Market Maker's transactions,
and the character of the market for the security. The Exchange(s) could
suspend or terminate the registration of a Market Maker in any security
whenever the Exchange(s) determine(s) that the Market Maker has not met
one or more of its obligations, including a failure to maintain fair
and orderly markets.\10\ A Market Maker also could voluntarily
terminate its registration in a security by providing the Exchange(s)
with a written notice of such termination, subject to any minimum prior
notice period or other conditions on termination and re-registration
the Exchange(s) deem(s) appropriate.\11\
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    \10\ A Market Maker could appeal a suspension or termination
pursuant to the procedures in Chapter X of the Exchanges' rulebooks.
    \11\ A Market Maker that fails to give advanced written notice
of termination to the Exchange(s) may be subject to formal
disciplinary action pursuant to Chapter VIII of the Exchanges'
rules.
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D. Market Maker Obligations

    The Exchanges propose to establish market maker obligations. In
general, Market Makers would have to engage in a course of dealings for
their own accounts to assist in the maintenance, insofar as reasonably
practicable, of fair and orderly markets on the Exchanges. The
responsibilities of a Market Maker would include, without limitation:
Remaining in good standing with the Exchange(s) and in compliance with
all applicable rules of the Exchange(s); informing the Exchange(s) of
any material change in its financial or operational condition or
personnel; \12\ maintaining a current list of MMATs and providing any
updates to such list to the Exchange(s) upon any change in MMATs; and
clearing and settling transactions through the facilities of a
registered clearing agency.\13\ Market Makers would be responsible for
the acts and omissions of their MMATs. If the Exchanges were to find
any substantial or continued failure by a Market Maker to engage in a
course of dealing as specified, such Market Maker

would be subject to disciplinary action, or suspension or revocation of
its registration.
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    \12\ The Exchanges propose to include an interpretation that
would remind Market Makers that, in connection with the obligation
to ``inform the Exchange of any material change in financial or
operational condition,'' the Market Makers would also be obligated
to submit to the Exchange(s) a copy of a notice sent to the
Commission pursuant to Rule 17a-11 under the Act. 17 CFR 240.17a-11.
The notice to the Exchanges would have to be sent concurrently with
the notice sent to the Commission. See proposed Rule 11.21,
Interpretation .01.
    \13\ Market Makers could satisfy the clearance and settlement
requirement by direct participation, use of direct clearing
services, or by entering into a correspondent clearing arrangement
with another Member that clears trades through such agency.
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    The Exchanges also propose to require that Market Makers maintain
continuous, two-sided quotations within a designated percentage of the
National Best Bid (``NBB'') and National Best Offer (``NBO'')
(collectively, ``NBBO'') (or, if there is no NBB or NBO, the last
reported sale). The Exchanges represent that these Market Maker
quotation requirements would be intended to eliminate trade executions
against Market Maker quotations priced far away from the inside market,
commonly known as ``stub quotes.'' \14\ The Exchanges further represent
that the quotation obligations also would be intended to augment and
work in relation to the single stock circuit breakers already in place
on a pilot basis for stocks in the S&P 500[reg] Index and
the Russell 1000[reg] Index, as well as a pilot list of
Exchange Traded Products (the ``Original Circuit Breaker
Securities'').\15\ Permissible quotes would be determined by the
individual character of the security, the time of day in which the
quote is entered, and other factors.
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    \14\ See Notices, supra note 4: 76 FR 57772 at 57774; 76 FR
57787 at 57788.
    \15\ Id.
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    For issues subject to an individual stock trading pause under the
applicable rules of a primary listing market, a permissible quote (also
known as ``Designated Percentage'') would be as follows: (i) A Market
Maker's quotes in the Original Circuit Breaker Securities shall not be
more than 8% away from the NBBO; (ii) a Market Maker's quotes in NMS
securities (as defined in Rule 600 of Regulation NMS) \16\ that are not
Original Circuit Breaker Securities with a price equal to or greater
than $1 shall not be more than 28% away from the NBBO; and (iii) a
Market Maker's quotes in NMS securities that are not Original Circuit
Breaker Securities with a price less than $1 shall not be more than 30%
away from the NBBO. For times during Regular Trading Hours \17\ when
stock pause triggers are not in effect under the rules of the primary
listing market (e.g., before 9:45 a.m. and after 3:35 p.m. Eastern
Time), the Designated Percentage shall be 20% for Original Circuit
Breaker Securities, 28% for all NMS securities that are not Original
Circuit Breaker Securities with a price equal to or greater than $1,
and 30% for all NMS securities that are not Original Circuit Breaker
Securities with a price less than $1.
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    \16\ 17 CFR 242.600.
    \17\ See Rule 1.5(y) (as proposed to be re-lettered) (defining
Regular Trading Hours as 9:30 a.m. to 4 p.m. Eastern Time).
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    Once a compliant quote is entered, it could rest without adjustment
until such time as it moves to within 9.5% away from the NBBO for
Original Circuit Breaker Securities, 29.5% away from the NBBO for NMS
securities that are not Original Circuit Breaker Securities with a
price equal to or greater than $1, and 31.5% away from the NBBO for all
NMS securities that are not Original Circuit Breaker Securities with a
price less than $1 (``Defined Limit''), whereupon the Market Maker
would have to immediately adjust its quote to at least the permissible
default level of 8%, 28%, or 30%, respectively, away from the then-
current NBBO (or last reported sale, as applicable).
    The Exchanges note that scenarios may occur in which pricing at the
commencement of a trading day, or at the re-opening of trading in a
security that has been halted, suspended, or paused, is significantly
different from pricing for the security at the close of the previous
trading day or immediately prior to the halt, suspension, or pause,
respectively.\18\ The Exchanges represent that these pricing
differentials could be the result of corporate actions that occur after
the close of the previous trading day or the market's absorption of
material information during the halt, suspension, or pause.\19\ Based
on this concern, the Exchanges believe that Market Makers should not be
subject to the pricing obligations proposed herein when the last sale
of the previous trading day, or immediately prior to a halt, is the
only available reference price.\20\ The Exchanges therefore propose
that, for NMS stocks, a Market Maker would have to adhere to the
pricing obligations established by this Rule during Regular Trading
Hours, provided, however, that such pricing obligations: (i) Would not
commence during any trading day until after the first regular way
transaction on the primary listing market in the security, as reported
by the responsible single plan processor, and (ii) would be suspended
during a trading halt, suspension, or pause, and would not re-commence
until after the first regular way transaction on the primary listing
market in the security following such halt, suspension, or pause, as
reported by the responsible single plan processor. Nothing would
preclude a Market Maker from voluntarily quoting at price levels that
are closer to the NBBO than required under the proposal.
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    \18\ See Notices, supra note 4: 76 FR 57772 at 57774; 76 FR
57787 at 57789.
    \19\ Id.
    \20\ Id.
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E. Unlisted Trading Privileges

    The Exchanges propose to impose restrictions on each Market Maker
on the Exchange(s) (``Restricted Market Maker'') in a derivative
securities product (``UTP Derivative Security'') that derives its value
from one or more currencies or commodities, or from a derivative
overlying one or more currencies or commodities, or is based on a
basket or index comprised of currencies or commodities (collectively,
``Reference Assets''). Specifically, the Exchanges would prohibit a
Restricted Market Maker in a UTP Derivative Security on the Exchange(s)
from acting or registering as a market maker on any other exchange in
any Reference Asset of that UTP Derivative Security, or any derivative
instrument based on a Reference Asset of that UTP Derivative Security
(collectively, with Reference Assets, ``Related Instruments'').
Further, the Exchanges would require a Restricted Market Maker to file
and keep current with the Exchange(s) (in a manner prescribed by the
Exchange(s)) a list identifying any accounts (``Related Instrument
Trading Accounts'') for which Related Instruments are traded: (1) In
which the Restricted Market Maker holds an interest; (2) over which it
has investment discretion; or (3) in which it shares in the profits
and/or losses. In addition, the Exchanges would prohibit a Restricted
Market Maker from having an interest in, exercising investment
discretion over, or sharing in the profits and/or losses of a Related
Instrument Trading Account which has not been reported to the
Exchanges. In addition to the existing obligations under the Exchanges'
rules regarding the production of books and records, the Exchanges
would require a Restricted Market Maker, upon request by the
Exchange(s), to make available any books, records, or other information
pertaining to any Related Instrument Trading Account or to the account
of any registered or non-registered employee affiliated with the
Restricted Market Maker in which Related Instruments are traded.
Lastly, the Exchanges would require that a Restricted Market Maker not
use any material, non-public information in connection with trading a
Related Instrument.\21\
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    \21\ The Exchanges propose to re-number current Rule 14.1(c)(5)
and to replace the term ``components of the index or portfolio on
which the UTP Derivative Security is based'' in Rule 14.6(c)(6) with
``Related Instruments.''

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F. MRVPs

    The Exchanges propose to add the continuous, two-sided quotation
obligation to the list of rules which would be appropriate for
disposition under the Exchanges' MRVPs, which would allow the Exchanges
to impose a $100 fine for each violation. The Exchanges have
represented that, by promptly imposing a meaningful financial penalty
for such violations, the MRVPs focus on correcting conduct before it
gives rise to more serious enforcement action, provide a reasonable
means of addressing rule violations that do not necessarily rise to the
level of requiring formal disciplinary proceedings, and offer greater
flexibility in handling certain violations.\22\ The Exchanges further
stated that a provision that would allow the Exchanges to sanction
violators under the MRVPs would not minimize the importance of
compliance with the continuous, two-sided quotation obligation, and
that the violation of any rule is a serious matter; the addition of a
sanction under the MRVPs would be an additional method for disciplining
violators.\23\ The Exchanges represented that they would continue to
conduct surveillance with due diligence and make determinations, on a
case-by-case basis, whether a violation of the continuous, two-sided
quotation obligation should be subject to formal disciplinary
proceedings.
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    \22\ See Notices, supra note 4: 76 FR 57772 at 57775; 76 FR
57787 at 57790.
    \23\ Id.
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III. Discussion

    After careful review of the proposals, the Commission finds that
the proposed rule changes are consistent with the requirements of the
Act, and the rules and regulations thereunder applicable to a national
securities exchange.\24\ In particular, the Commission finds that the
proposals are consistent with Section 6(b)(5) of the Act,\25\ which
requires, among other things, that the rules of an exchange be designed
to promote just and equitable principles of trade, 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.
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    \24\ In approving these proposed rule changes, the Commission
has considered the proposed rules' impact on efficiency,
competition, and capital formation. See 15 U.S.C. 78c(f).
    \25\ 15 U.S.C. 78f(b)(5).
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    The Commission finds that the Exchanges' proposals to establish
procedures for the registration, withdrawal, suspension, and
termination of Market Makers and MMATs; the registration of Market
Makers in a security; and Market Maker obligations are consistent with
Section 6(b)(5) of the Act.\26\ The proposed rules would benefit all
Exchange participants because Market Makers would assist in the
maintenance of fair and orderly markets, provide additional liquidity
to the Exchanges, and assist in preventing excess volatility. The
Commission finds that the Exchanges' rules provide objective processes
by which a Member could become a Market Maker, an individual could
become an MMAT, and a Market Maker could register in a security. The
proposed rules also provide for appropriate oversight by the Exchanges
to monitor for continued compliance by Market Makers and MMATs with the
terms of those provisions. The Commission also notes that these
proposals, including the Market Maker obligations, are similar to rules
of other exchanges.\27\ As a result, the Commission believes that these
aspects of the proposals are consistent with the Act.
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    \26\ Id.
    \27\ See, e.g., BATS Exchange, Inc. (``BATS'') Rules 11.5-.8;
National Stock Exchange, Inc. (``NSX'') Rules 11.5-.8; see also
Securities Exchange Act Release Nos. 54391 (August 31, 2006), 71 FR
52836 (September 7, 2006) (SR-NSX-2006-08) (approving proposed rules
for the registration of market makers, obligations of market maker
authorized traders, the registration of market makers in a security,
and obligations of market makers), 58644 (September 25, 2008), 73 FR
57172 (October 1, 2008) (SR-BATS-2008-005) (noticing the immediate
effectiveness of proposed rules for the registration and obligations
of market makers based on NSX's rules).
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    The Commission also finds that the provisions of the proposed rule
changes that implement the continuous, two-sided quotation obligation
are consistent with Section 6(b)(5) of the Act.\28\ The proposed rules
promote uniformity across markets concerning minimum market maker
quotation requirements as this aspect of the proposals is similar to
rules of other self-regulatory organizations.\29\ In addition to
Section 6(b)(5) of the Act,\30\ the Commission finds that the
continuous, two-sided quoting obligations are consistent with Section
11A(a)(1) of the Act \31\ in that they seek to assure fair competition
among brokers and dealers and among exchange markets. By requiring
Market Makers to maintain quotes that are priced within a specified
percentage of the NBBO, the proposed rules should help assure that
quotations submitted by Market Makers to the Exchanges, and displayed
to market participants, bear some relationship to the prevailing market
price. This may reduce the risk that trades will occur at irrational
prices and should promote fair and orderly markets and the protection
of investors.\32\
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    \28\ 15 U.S.C. 78f(b)(5).
    \29\ See, e.g., BATS Rule 11.8(d); NSX Rule 11.8(a)(1); see also
Securities Exchange Act Release No. 63255 (November 5, 2010), 75 FR
69484 (November 12, 2010) (approving proposed rule changes,
implementing enhanced market maker quotation standards, by BATS,
NASDAQ OMX BX, Inc., Chicago Board Options Exchange, Incorporated,
The Chicago Stock Exchange, Inc., Financial Industry Regulatory
Authority, Inc., The NASDAQ Stock Market LLC, NSX, New York Stock
Exchange LLC, NYSE Amex LLC, and NYSE Arca, Inc.).
    \30\ 15 U.S.C. 78f(b)(5).
    \31\ 15 U.S.C. 78k-1(a)(1).
    \32\ The Commission notes, consistent with prior guidance under
Regulation SHO (See Securities Exchange Act Release No. 50103 (July
28, 2004), 69 FR 48008, 48015 (Aug. 6, 2004) and Release No. 58775
(Oct. 14, 2008), 73 FR 61690, 61698-99 (Oct. 17, 2008)), that a
market maker's compliance with the percentage quoting requirements
contained in these proposals, i.e., maintaining a quote that is 8%
away from the NBBO for stocks in the S&P 500, Russell 1000, and for
select ETPs, would not constitute bona fide market making for
purposes of claiming the applicable exceptions to the requirements
of Regulation SHO.
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    The Commission finds that the Exchanges' proposed restrictions on
the trading activities of Market Makers in UTP Derivative Securities,
and the imposition of reporting and record-keeping requirements on
Market Makers who trade UTP Derivative Securities are consistent with
Section 6(b)(5) of the Act.\33\ These proposals are closely modeled on
similar rules of other exchanges, which the Commission has previously
approved, and do not raise any novel issues.\34\
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    \33\ 15 U.S.C. 78f(b)(5).
    \34\ See, e.g., BATS Rule 14.1; NASDAQ OMX Phlx LLC (``Phlx'')
Rule 803(o); NSX Rule 15.9; see also Securities Exchange Act Release
Nos. 57806 (May 9, 2008), 73 FR 28541 (May 16, 2008) (SR-Phlx-2008-
34) (approving consolidation into a single rule of certain
requirements for products traded on the Philadelphia Stock Exchange,
Inc. (n/k/a Phlx) pursuant to unlisted trading privileges); 58623
(September 23, 2008), 73 FR 57169 (October 1, 2008) (SR-BATS-2008-
004) (noticing immediate effectiveness of consolidation into a
single rule of certain requirements for products traded on BATS
pursuant to unlisted trading privileges consolidation).
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    The Commission also finds that the Exchanges' proposals to include
a Market Maker's obligation to maintain a continuous, two-sided
quotation in any security in which it is registered in their MRVPs is
consistent with Section 6(b)(5) of the Act,\35\ and Sections 6(b)(1)
and 6(b)(6) of the Act,\36\ which require that the rules of an exchange
enforce compliance with, and provide appropriate discipline for,
violations of Commission and exchange rules. The Commission believes
that the proposed changes to the MRVPs should strengthen the Exchanges'
abilities to carry out their oversight and

enforcement responsibilities as SROs by promptly imposing a financial
penalty in cases where full disciplinary proceedings are unsuitable in
view of the minor nature of the particular violation. The Commission
also notes that these proposed changes are closely modeled on the rules
of other exchanges, which have been previously approved by the
Commission.\37\ Furthermore, the Commission believes that, because Rule
8.15 provides procedural rights to a person fined under the MRVP to
contest the fine and permits a hearing on the matter, the proposed
changes provide a fair procedure for the disciplining of Members and
persons associated with Members, consistent with Sections 6(b)(7) and
6(d)(1) of the Act.\38\ Therefore, the Commission finds that the
proposals are consistent with the public interest, the protection of
investors, or otherwise in furtherance of the purposes of the Act, as
required by Rule 19d-1(c)(2) under the Act,\39\ which governs minor
rule violation plans.
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    \35\ 15 U.S.C. 78f(b)(5).
    \36\ 15 U.S.C. 78f(b)(1), (6).
    \37\ See BATS Rule 8.15, Interpretation .01; NSX Rule 8.15,
Interpretation .01.
    \38\ 15 U.S.C. 78f(b)(7), (d)(1).
    \39\ 17 CFR 240.19d-1(c)(2).
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    In approving these proposals, the Commission in no way minimizes
the importance of compliance with the Exchanges' rules and all other
rules subject to the imposition of fines under the MRVPs. The
Commission believes that the violation of any SRO's rules, as well as
Commission rules, is a serious matter. However, the MRVPs provide a
reasonable means of addressing rule violations that do not rise to the
level of requiring formal disciplinary proceedings, while providing
greater flexibility in handling certain violations. The Commission
expects that the Exchanges will continue to conduct surveillance with
due diligence and make determinations based on their findings, on a
case-by-case basis, whether a fine of more or less than the recommended
amount is appropriate for a violation under the MRVPs or whether a
violation requires formal disciplinary action under the Exchanges'
rules.
    Finally, the Commission finds that the Exchanges' addition of
definitions, re-lettering and re-numbering of rules, and replacement of
certain text in Rule 14.1(c)(6) are technical in nature and consistent
with the Act accordingly.

IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\40\ that the proposed rule changes (SR-EDGA-2011-29 and SR-EDGX-
2011-28), as amended by Amendments No. 1, be, and hereby are, approved.
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    \40\ 15 U.S.C. 78s(b)(2).
    \41\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\41\
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2011-32586 Filed 12-20-11; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 84, Number 227 (Monday, November 25, 2019)]
[Notices]
[Pages 64886-64887]
[FR Doc No: 2019-25531]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP20-12-000]

Columbia Gas Transmission, LLC; Notice of Application

    Take notice that on November 6, 2019, Columbia Gas Transmission,
LLC (Columbia), 700 Louisiana Street Suite 700, Houston, Texas, 77002-
2700, filed an application pursuant to section 7(c) of the Natural Gas
Act, and Subpart A of the Commission's regulations, for authorization
to amend its existing authorizations of the Leach XPress Project (Leach
Xpress). Specifically, Columbia proposes to: (1) Modify the full-load
operation of the Ceredo compressor station (Ceredo CS) to limit the use
of the seven existing vintage reciprocating units at the Ceredo CS to
four units at a given time; (2) allow for the use of additional
horsepower that is available from existing electric-driven compressor
units located at the Ceredo CS; and (3) amend the noise level
requirement for the Ceredo CS and the

Crawford Compressor Station contained in Environmental Condition 31 of
the Leach XPress Certificate Order. The proposed amended noise
condition would allow Columbia to operate the Ceredo CS at the reduced
maximum noise levels that result from the proposed amended full load
operations, all as more fully described in the application which is on
file with the Commission and open to public inspection. The filing may
also be viewed on the web at http://www.ferc.gov using the ``eLibrary''
link. Enter the docket number excluding the last three digits in the
docket number field to access the document. For assistance, contact
FERC at<EMAIL_ADDRESS>or call toll-free,<PHONE_NUMBER> or
TTY,<PHONE_NUMBER>.
    Any questions regarding this application should be directed to
Sorana Linder, Director, Modernization & Certificates, Columbia Gas
Transmission, LLC, 700 Louisiana Street, Suite 700, Houston, Texas
77002-2700, Phone:<PHONE_NUMBER>; or email<EMAIL_ADDRESS>    Pursuant to section 157.9 of the Commission's rules, 18 CFR 157.9,
within 90 days of this Notice the Commission staff will either:
complete its environmental assessment (EA) and place it into the
Commission's public record (eLibrary) for this proceeding, or issue a
Notice of Schedule for Environmental Review. If a Notice of Schedule
for Environmental Review is issued, it will indicate, among other
milestones, the anticipated date for the Commission staff's issuance of
the EA for this proposal. The filing of the EA in the Commission's
public record for this proceeding or the issuance of a Notice of
Schedule for Environmental Review will serve to notify federal and
state agencies of the timing for the completion of all necessary
reviews, and the subsequent need to complete all federal authorizations
within 90 days of the date of issuance of the Commission staff's EA.
    There are two ways to become involved in the Commission's review of
this project. First, any person wishing to obtain legal status by
becoming a party to the proceedings for this project should, on or
before the comment date stated below file with the Federal Energy
Regulatory Commission, 888 First Street NE, Washington, DC 20426, a
motion to intervene in accordance with the requirements of the
Commission's Rules of Practice and Procedure (18 CFR 385.214 or
385.211) and the Regulations under the NGA (18 CFR 157.10). A person
obtaining party status will be placed on the service list maintained by
the Secretary of the Commission and will receive copies of all
documents filed by the applicant and by all other parties. A party must
submit 3 copies of filings made in the proceeding with the Commission
and must provide a copy to the applicant and to every other party. 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, and will be
notified of any 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 and will not have the right to seek
court review of the Commission's final order.
    As of the February 27, 2018 date of the Commission's order in
Docket No. CP16-4-001, the Commission will apply its revised practice
concerning out-of-time motions to intervene in any new Natural Gas Act
section 3 or section 7 proceeding.\1\ Persons desiring to become a
party to a certificate proceeding are to intervene in a timely manner.
If seeking to intervene out-of-time, the movant is required to ``show
good cause why the time limitation should be waived,'' and should
provide justification by reference to factors set forth in Rule
214(d)(1) of the Commission's Rules and Regulations.\2\
---------------------------------------------------------------------------

    \1\ Tennessee Gas Pipeline Company, L.L.C., 162 FERC ] 61,167 at
] 50 (2018).
    \2\ 18 CFR 385.214(d)(1).
---------------------------------------------------------------------------

    The Commission strongly encourages electronic filings of comments,
protests and interventions in lieu of paper using the ``eFiling'' link
at http://www.ferc.gov. Persons unable to file electronically should
submit an original and 3 copies of the protest or intervention to the
Federal Energy regulatory Commission, 888 First Street NE, Washington,
DC 20426.
    Comment Date: 5:00 p.m. Eastern Time on December 10, 2019.

    Dated: November 19, 2019.
Kimberly D. Bose,
Secretary.
[FR Doc. 2019-25531 Filed 11-22-19; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register: August 25, 2009 (Volume 74, Number 163)]
[Notices]
[Page 42909]
[DOCID:fr25au09-90]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-1852-DR; Docket ID FEMA-2008-0018]

Maine; Amendment No. 1 to Notice of a Major Disaster Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of a major disaster declaration
for the State of Maine (FEMA-1852-DR), dated July 30, 2009, and related
determinations.

DATES: Effective Date: August 18, 2009.

FOR FURTHER INFORMATION CONTACT: Peggy Miller, Disaster Assistance
Directorate, Federal Emergency Management Agency, 500 C Street, SW.,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration
for the State of Maine is hereby amended to include the following area
among those areas determined to have been adversely affected by the
event declared a major disaster by the President in his declaration of
July 30, 2009.
    Piscataquis County for Public Assistance.

The following Catalog of Federal Domestic Assistance Numbers (CFDA)
are to be used for reporting and drawing funds: 97.030, Community
Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling;
97.033, Disaster Legal Services; 97.034, Disaster Unemployment
Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048,
Disaster Housing Assistance to Individuals and Households In
Presidentially Declared Disaster Areas; 97.049, Presidentially
Declared Disaster Assistance--Disaster Housing Operations for
Individuals and Households; 97.050, Presidentially Declared Disaster
Assistance to Individuals and Households--Other Needs; 97.036,
Disaster Grants--Public Assistance (Presidentially Declared
Disasters); 97.039, Hazard Mitigation Grant.

W. Craig Fugate,
Administrator, Federal Emergency Management Agency.
[FR Doc. E9-20338 Filed 8-24-09; 8:45 am]

BILLING CODE 9111-23-P


[Federal Register Volume 78, Number 222 (Monday, November 18, 2013)]
[Notices]
[Pages 69081-69082]
[FR Doc No: 2013-27527]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 13679-004]

JD Products, LLC; Notice of Preliminary Permit Application
Accepted for Filing and Soliciting Comments, Motions To Intervene, and
Competing Applications

    On October 1, 2013, JD Products, LLC (JD Products) filed an
application for a successive preliminary permit, pursuant to section
4(f) of the Federal Power Act, proposing to study the feasibility of
the proposed San Onofre Electricity Farm Project (project). The
proposed project would utilize up to 1,314 generation units, with an
estimated installed capacity of 2,000 megawatts with a projected
average annual generation of about 17,519 megawatthours. The requested
project boundary comprises of approximately 6 square nautical miles of
coastal waters and lands located along the coast of San Diego County,
California, near the towns of San Onofre and San Clemente, and include
portions of the San Onofre California State Park and the United States
Marine Corps Base Camp Pendleton.
    The sole purpose of a preliminary permit, if issued, is to grant
the permit holder priority to file a license application during the
permit term. A preliminary permit does not authorize the permit holder
to perform any land disturbing or construction activities or to
otherwise enter upon lands or waters owned by others without the
owners' express permission.
    Applicant Contact: Chong Hun Kim, JD Products, LLC., 16807
Woodridge Circle, Fountain Valley, CA 92708;<PHONE_NUMBER>.
    FERC Contact: Kenneth Hogan,<PHONE_NUMBER>, or via email at:
<EMAIL_ADDRESS>    Deadline for filing comments, motions to intervene, competing
applications (without notices of intent), or notices of intent to file
competing applications: 60

days from the issuance of this notice. Competing applications and
notices of intent must meet the requirements of 18 CFR 4.36. Comments,
motions to intervene, notices of intent, and competing applications may
be filed electronically via the Internet. See 18 CFR
385.2001(a)(1)(iii) and the instructions on the Commission's Web site
(http://www.ferc.gov/docs-filing/ferconline.asp) under the ``eFiling''
link.
    For a simpler method of submitting text only comments, click on
``Quick Comment.'' For assistance, please contact FERC Online Support
at<EMAIL_ADDRESS>call toll-free at<PHONE_NUMBER>; or,
for TTY, contact<PHONE_NUMBER>. Although the Commission strongly
encourages electronic filing, documents may also be paper-filed. To
paper-file, mail an original and 5 copies to: Kimberly D. Bose,
Secretary, Federal Energy Regulatory Commission, 888 First Street NE.,
Washington, DC 20426.
    More information about this project, including a copy of the
application, can be viewed or printed on the ``eLibrary'' link of
Commission's Web site at http://www.ferc.gov/docs-filing/elibrary.asp.
Enter the docket number (P-13679) in the docket number field to access
the document. For assistance, contact FERC Online Support.

    Dated: November 8, 2013.
Kimberly D. Bose,
Secretary.
[FR Doc. 2013-27527 Filed 11-15-13; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 82, Number 90 (Thursday, May 11, 2017)]
[Notices]
[Pages 22045-22047]
[FR Doc No: 2017-09527]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-80611; File No. SR-BatsBZX-2017-24]

Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of
Filing and Immediate Effectiveness of a Proposed Rule Change to Rule
11.15 of Bats BZX Exchange, Inc. To Authorize the Exchange To Share a
User's Risk Settings With the Clearing Member That Clears Transactions
on Behalf of the User

May 5, 2017.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on April 24, 2017, Bats BZX Exchange, Inc. (the ``Exchange'' or
``BZX'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by the Exchange. The Exchange
has designated this proposal as a ``non-controversial'' proposed rule
change pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b-
4(f)(6) thereunder,\4\ which renders it effective upon filing with the
Commission. 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\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 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

    The Exchange filed a proposal to amend Rule 11.15 to authorize the
Exchange to share a User's \5\ risk settings with the Clearing Member
that clears transactions on behalf of the User.
---------------------------------------------------------------------------

    \5\ A User is defined as ``any Member or Sponsored Participant
who is authorized to obtain access to the System pursuant to Rule
11.3.'' See Exchange Rule 1.5(cc).
---------------------------------------------------------------------------

    The text of the proposed rule change is available at the Exchange's
Web site at www.batstrading.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 Exchange 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. The Exchange has prepared summaries, set forth in
Sections A, B, and C below, of the most significant parts of such
statements.

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

1. Purpose
    The Exchange is proposing to update Rule 11.15, Clearance and
Settlement; Anonymity, to authorize the Exchange to share any of the
User's risk settings with the Clearing Member that clears transactions
on behalf of the User, and to capitalize the term ``Clearing Member''.
    Current Exchange Rule 11.15 requires that all transactions passing
through the facilities of the Exchange shall be cleared and settled
through a Qualified Clearing Agency \6\ using a continuous net
settlement system. This requirement may be satisfied by direct
participation, use of direct clearing services, or by entry into a
correspondent clearing arrangement with another Member that clears
trades through a Qualified Clearing Agency (``Clearing Member''). Rule
11.15 provides that if a Member clears transactions through another
Member that is a Clearing Member,\7\ such Clearing Member shall affirm
to the Exchange in writing, through letter of authorization, letter of
guarantee or other agreement acceptable to the Exchange, its agreement
to assume responsibility for clearing and settling any and all trades
executed by the Member designating it as its clearing firm. The rules
of any such clearing agency shall govern with respect to the clearance
and settlement of any transactions executed by the Member on the
Exchange.
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    \6\ Qualified Clearing Agency is defined as ``a clearing agency
registered with the Commission pursuant to Section 17A of the Act
that is deemed qualified by the Exchange.'' See Exchange Rule
1.5(u).
    \7\ The Exchange notes that it also proposes to amend Rule
11.15(a) to capitalize the term ``Clearing Member'' to ensure
consistency within Exchange Rules.
---------------------------------------------------------------------------

    Thus, while not all Members are Clearing Members, all Members are
required to either clear their own transactions or to have in place a
relationship with a Clearing Member's that has agreed to clear
transactions on their behalf (or on behalf of any Sponsored
Participants \8\ for which the Member is a Sponsoring Member \9\) in
order to conduct business on the Exchange. Each Member that transacts
through a Clearing Member on the Exchange is required to execute a
Letter of Guarantee which codifies the relationship between the Member
and the Clearing Member as it relates to the Exchange, and provides the
Exchange with notice of which Clearing Members have relationships with
which Members. Because the Clearing Member that guarantees the Member's
transactions on the Exchange has a financial interest in understanding
the risk settings utilized within the System \10\ by the Member, the
Exchange is proposing to amend Rule 11.15 to authorize the Exchange to
share any of the User's risk settings (as described below) with the
Clearing Member that clears transactions on behalf of the User. The
proposal would provide the Exchange with authority to directly provide
Clearing Members with information that would otherwise be available to
such Clearing Members by virtue of their relationship with the
respective Users (i.e., such Clearing Members could instead require
each User to provide such information as a condition to continuing to
clear transactions for such Users). At this time, the Exchange offers a
variety of risk settings related to the size of an order (e.g., maximum
notional value per order and maximum shares per order), the order type
(e.g., pre-market, post-market, short sales and ISOs), restricted
securities, easy to borrow securities, and

order cut-off (e.g., block new orders and cancel all open orders).\11\
The Exchange proposes to codify these risk settings in proposed
Interpretation and Policy .01 to Rule 11.13, as further described
below, and to reference such Interpretation and Policy in proposed
paragraph (f) of Rule 11.15.
---------------------------------------------------------------------------

    \8\ A Sponsored Participant is defined as ``a person which has
entered into a sponsorship arrangement with a Sponsoring Member
pursuant to Rule 11.3.'' See Exchange Rule 1.5(x).
    \9\ A Sponsoring Member is defined as ``a broker-dealer that has
been issued a membership by the Exchange who has been designated by
a Sponsored Participant to execute, clear and settle transactions
resulting from the System. The Sponsoring Member shall be either (i)
a clearing firm with membership in a clearing agency registered with
the Commission that maintains facilities through which transactions
may be cleared or (ii) a correspondent firm with a clearing
arrangement with any such clearing firm.'' See Exchange Rule 1.5(y).
    \10\ System is defined as ``the electronic communications and
trading facility designated by the Board through which securities
orders of Users are consolidated for ranking, execution and, when
applicable, routing away.'' See Exchange Rule 1.5(aa).
    \11\ See Securities Exchange Act Release Nos. 60236 (July 2,
2009), 74 FR 34068 (July 14, 2009) (SR-BATS-2009-019) (Notice of
Filing and Immediate Effectiveness of Proposed Rule Change to
Establish a Sponsored Access Risk Management Tool); 68330 (November
30, 2012), 77 FR 72894 (December 6, 2012) (SR-BATS-2012-045) (Notice
of Filing and Immediate Effectiveness of Proposed Rule Change to
Expand the Availability of Risk Management Tools).
---------------------------------------------------------------------------

    Proposed Interpretation and Policy .01 to Rule 11.13 would state
that the risk settings currently offered by the Exchange include:
    [ssquf] Controls related to the size of an order (including
restrictions on the maximum notional value per order and maximum shares
per order);
    [ssquf] controls related to the price of an order (including
percentage-based and dollar-based controls);
    [ssquf] controls related to the order types or modifiers that can
be utilized (including pre-market, post-market, short sales, ISOs and
Directed ISOs);
    [ssquf] controls to restrict the types of securities transacted
(including restricted securities and easy to borrow securities as well
as restricting activity to test symbols only);
    [ssquf] controls to prohibit duplicative orders;
    [ssquf] controls to restrict the overall rate of orders; and
    [ssquf] controls related to the size of an order as compared to the
average daily volume of the security (including the ability to specify
the minimum average daily volume of the securities for which such
controls will be activated); and
    [ssquf] credit controls measuring both gross and net exposure that
warn when approached and, when breached, prevent submission of either
all new orders or BZX market orders only.
    In addition to these controls, the Exchange proposes to codify in
proposed Interpretation and Policy .01 other risk functionality that:
(i) Permits Users to block new orders submitted, to cancel all open
orders, or to both block new orders and cancel all open orders; and
(ii) that automatically cancels a User's orders to the extent the User
loses its connection to the Exchange. As set forth above, the proposal
to authorize the Exchange to share any of the User's risk settings with
the Clearing Member that clears transactions on behalf of the User
would be limited to the risk settings specified in Rule 11.13,
Interpretation and Policy .01. The Exchange notes that the use by a
User of the risk settings offered by the Exchange is optional.\12\ By
using these optional risk settings, following this proposed rule change
a User therefore also opts-in to the Exchange sharing its designated
risk settings with its Clearing Member. The Exchange also notes that
any Member that does not wish to share its designated risk settings
with its Clearing Member could avoid sharing such settings by becoming
a Clearing Member.
---------------------------------------------------------------------------

    \12\ The Exchange does set a maximum allowable order rate
threshold in order to ensure the integrity of the System. A User may
optionally set a more restrictive order rate threshold but cannot
override the Exchange's maximum threshold.
---------------------------------------------------------------------------

    The Exchange believes that its proposal to share a User's risk
settings directly with Clearing Members reduces the administrative
burden on participants on the Exchange, including both Clearing Members
and Users, and ensures that Clearing Members are receiving information
that is up to date and conforms to the settings active in the System.
Further, the Exchange believes that the proposal will help such
Clearing Members to better monitor and manage the potential risks that
they assume when clearing for Users of the Exchange.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with the
requirements of the Act and the rules and regulations thereunder that
are applicable to a national securities exchange, and, in particular,
with the requirements of Section 6(b) of the Act.\13\ In particular,
the proposal is consistent with Section 6(b)(5) of the Act \14\ 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.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78f(b).
    \14\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    As set forth above, the proposed change to Rule 11.15 will allow
the Exchange to directly provide a Member's designated risk settings to
the Clearing Member that clears trades on behalf of the Member. Because
a Clearing Member that executes a clearing Letter of Guarantee on
behalf of a Member guarantees all transactions of that Member, and
therefore bears the risk associated with those transactions, the
Exchange believes that it is appropriate for the Clearing Member to
have knowledge of what risk settings the Member may utilize within the
System. The proposal will permit Clearing Members who have a financial
interest in the risk settings of Members with whom the Clearing
Participant has entered into a Letter of Guarantee to better monitor
and manage the potential risks assumed by Clearing Members, thereby
providing Clearing Members with greater control and flexibility over
setting their own risk tolerance and exposure and aiding Clearing
Members in complying with the Act. To the extent a Clearing Member
might reasonably require a Member to provide access to its risk setting
as a prerequisite to continuing to clear trades on the Member's behalf,
the Exchange's proposal to share those risk settings directly reduces
the administrative burden on participants on the Exchange, including
both Clearing Members and Users. The proposal also ensures that
Clearing Members are receiving information that is up to date and
conforms to the settings active in the System. The Exchange believes
that the proposal is consistent with the Act, particularly Section
6(b)(5),\15\ because it will foster cooperation and coordination with
persons engaged in facilitating transactions in securities and more
generally, will protect investors and the public interest, by reducing
administrative burden on both Clearing Members and other Users and by
allowing Clearing Members to better monitor their risk exposure.
---------------------------------------------------------------------------

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

    The Exchange notes that the rule change to adopt paragraph (f) to
Rule 11.15 is based on and substantively identical to Exchange Rule
21.17 and Bats EDGX Exchange (``EDGX'') Rule 21.17, each of which is
applicable to options participants. The Exchange also notes that other
equities exchanges offer functionality that allows clearing firms to
not only directly monitor but also to set certain risk settings in
connection with the activities of the firms for which they clear.\16\
---------------------------------------------------------------------------

    \16\ See, e.g., Nasdaq Rules 6110 and 6120 relating to the
Nasdaq Risk Management Service.
---------------------------------------------------------------------------

    The Exchange further believes that codifying the risk settings
described above in Interpretation and Policy .01 to Rule 11.13 is
consistent with the Act as it will provide additional transparency to
Exchange Users regarding the optional risk settings offered by the
Exchange. As noted above, these settings have been described by the
Exchange in prior filings \17\ and further information regarding such
settings is

available in technical specifications made available by the Exchange.
However, the Exchange believes it is appropriate to provide additional
details regarding these risk settings in Exchange rules. As such, the
Exchange believes that the proposal is consistent with the Act,
particularly Section 6(b)(5),\18\ because it will foster cooperation
and coordination with persons engaged in facilitating transactions in
securities and more generally, will protect investors and the public
interest, by providing additional transparency regarding optional risk
settings offered by the Exchange.
---------------------------------------------------------------------------

    \17\ See supra note 11.
    \18\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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. The proposed rule change is
not designed to address any competitive issues and does not pose an
undue burden on non-Clearing Members because, unlike Clearing Members,
non-Clearing Members do not guarantee the execution of a Member's
transactions on the Exchange. The proposal is structured to offer the
same enhancement to all Clearing Members, regardless of size, and would
not impose a competitive burden on any Member. Any Member that does not
wish to share its designated risk settings with its Clearing Member
could avoid sharing such settings by becoming a Clearing Member.

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

    The Exchange has not solicited, and does not intend to solicit,
comments on this proposed rule change. The Exchange has not received
any written comments from members or other interested parties.

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

    Because the proposed rule change does not (i) significantly affect
the protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative for 30
days from the date on which it was filed, or such shorter time as the
Commission may designate, it has become effective pursuant to Section
19(b)(3)(A) of the Act \19\ and Rule 19b-4(f)(6) thereunder.\20\
---------------------------------------------------------------------------

    \19\ 15 U.S.C. 78s(b)(3)(A).
    \20\ 17 CFR 240.19b-4(f)(6). As required under Rule 19b-
4(f)(6)(iii), the Exchange provided the Commission with written
notice of its intent to file the proposed rule change, along with a
brief description and the text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission.
---------------------------------------------------------------------------

    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. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule change should be approved or
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 No. SR-BatsBZX-2017-24 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 No. SR-BatsBZX-2017-24. 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 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; 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 No. SR-BatsBZX-2017-24, and should be
submitted on or before June 1, 2017.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\21\
---------------------------------------------------------------------------

    \21\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-09527 Filed 5-10-17; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 88, Number 9 (Friday, January 13, 2023)]
[Notices]
[Pages 2360-2362]
[FR Doc No: 2023-00619]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2007-D-0201]

Dosage and Administration Section of Labeling for Human
Prescription Drug and Biological Products--Content and Format; Draft
Guidance for Industry; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of availability.

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SUMMARY: The Food and Drug Administration (FDA, Agency, or we) is
announcing the availability of a draft guidance for industry entitled
``Dosage and Administration Section of Labeling for Human Prescription
Drug and Biological Products--Content and

Format.'' This guidance is intended to assist applicants in developing
the DOSAGE AND ADMINISTRATION section of labeling. The purpose of this
guidance is to assist applicants in ensuring that the DOSAGE AND
ADMINISTRATION section contains the dosage- and administration-related
information needed for safe and effective use of a drug and that the
information is clear, concise, and presented in a manner that is
pertinent and understandable to health care practitioners. We are
withdrawing the guidance for industry entitled ``Dosage and
Administration Section of Labeling for Human Prescription Drug and
Biological Products--Content and Format'' issued on March 29, 2010, and
issuing this draft guidance.

DATES: Submit either electronic or written comments on the draft
guidance by March 14, 2023 to ensure that the Agency considers your
comment on this draft guidance before it begins work on the final
version of the guidance.

ADDRESSES: You may submit comments on any guidance at any time as
follows:

Electronic Submissions

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

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper
submissions): Dockets Management Staff (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets
Management Staff, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2007-D-0201 for ``Dosage and Administration Section of Labeling for
Human Prescription Drug and Biological Products--Content and Format.''
Received comments will be placed in the docket and, except for those
submitted as ``Confidential Submissions,'' publicly viewable at https://www.regulations.gov or at the Dockets Management Staff between 9 a.m.
and 4 p.m., Monday through Friday,<PHONE_NUMBER>.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on https://www.regulations.gov.
Submit both copies to the Dockets Management Staff. If you do not wish
your name and contact information to be made publicly available, you
can provide this information on the cover sheet and not in the body of
your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: https://www.govinfo.gov/content/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852,<PHONE_NUMBER>.
    You may submit comments on any guidance at any time (see 21 CFR
10.115(g)(5)).
    Submit written requests for single copies of the draft guidance to
the Division of Drug Information, Center for Drug Evaluation and
Research, Food and Drug Administration, 10001 New Hampshire Ave.,
Hillandale Building, 4th Floor, Silver Spring, MD 20993-0002; or the
Office of Communication, Outreach, and Development, Center for
Biologics Evaluation and Research, Food and Drug Administration, 10903
New Hampshire Ave., Bldg. 71, Rm. 3128, Silver Spring, MD 20993-0002.
Send one self-addressed adhesive label to assist that office in
processing your requests. See the SUPPLEMENTARY INFORMATION section for
electronic access to the draft guidance document.

FOR FURTHER INFORMATION CONTACT: Eric Brodsky, Center for Drug
Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 22, Rm. 6485, Silver Spring, MD 20993-0002, 301-
796-0855; or Stephen Ripley, Center for Biologics Evaluation and
Research, Food and Drug Administration, 10903 New Hampshire Ave., Bldg.
71, Rm. 7301, Silver Spring, MD 20993-0002,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    FDA is announcing the availability of a draft guidance for industry
entitled ``Dosage and Administration Section of Labeling for Human
Prescription Drug and Biological Products--Content and Format.'' FDA is
also withdrawing its previous guidance for industry, issued on March
23, 2010 (75 FR 13766), which was entitled ``Dosage and Administration
Section of Labeling for Human Prescription Drug and Biological
Products--Content and Format.''
    The draft guidance, when finalized, is intended to assist
applicants in developing the DOSAGE AND ADMINISTRATION section of
labeling to ensure that this section contains the dosage- and
administration-related information needed for safe and effective use of
a drug and that the information is clear, concise, and presented in a
manner that is pertinent and understandable to health care
practitioners. Applicants should follow the recommendations in this
guidance when developing this section for a new drug submitted to FDA
under a new drug application under section 505(b) of the Federal Food,
Drug, and Cosmetic Act or a biologics license application under section
351(a) of the Public Health Service Act, and when revising

existing information in the labeling for a currently approved drug in a
supplement to such applications.
    This draft guidance provides examples of required and recommended
information in the DOSAGE AND ADMINISTRATION section. This guidance
provides recommendations on including certain dosage- and
administration-related information in the DOSAGE AND ADMINISTRATION
section that is particularly critical to the safe and effective use of
the drug (e.g., lack of knowledge of the information or nonadherence to
a recommendation could have serious consequences for patients).
    This draft guidance addresses the dosage and route of
administration for each indication in the DOSAGE AND ADMINISTRATION
section and information about the dosage range, the starting or loading
dose and dosage, titration schedule, the maximum recommended dosage,
the maximum recommended duration, monitoring for effectiveness, and
concomitant therapy information in the DOSAGE AND ADMINISTRATION
section, as appropriate.
    This draft guidance also addresses the following information in the
DOSAGE AND ADMINISTRATION section:
     Other drugs used before, during, or after drug treatment
or administration;
     Dosage modifications for adverse reactions or for drug
interactions;
     Dosage in specific populations (e.g., pediatric patients,
geriatric patients, patients with renal impairment, patients with
hepatic impairment);
     Information about switching to the subject drug from other
products or substitution involving the subject drug;
     Recommendations regarding missed dose(s);
     Recommendations in event of vomiting after oral drug
administration;
     Recommendations for drug discontinuation or dosage
reduction when there are risks of withdrawal; and
     The recommended dosage for fixed-combination drug products
and co-packaged products.
    Furthermore, this draft guidance addresses when and how to include
information in the DOSAGE AND ADMINISTRATION section on the preparation
and/or administration of the drug (e.g., parenteral products, a product
stored in the refrigerator or freezer, pharmacy bulk packages, imaging
bulk packages, solid oral dosage forms with qualified liquids or soft
foods, oral dosage forms via enteral feeding tubes, liposome drug
products); instructions to avoid harm related to drug handling and
administration, radiation dosimetry; and information on drug
incompatibilities if the drug is mixed with other drugs. This guidance
also provides information on storage instructions for the reconstituted
or diluted product.
    Finally, this draft guidance describes information that should
ordinarily not be included in the DOSAGE AND ADMINISTRATION section.
    This draft guidance is being issued consistent with FDA's good
guidance practices regulation (21 CFR 10.115). The draft guidance, when
finalized, will represent the current thinking of FDA on the ``Dosage
and Administration Section of Labeling for Human Prescription Drug and
Biological Products--Content and Format.'' It does not establish any
rights for any person and is not binding on FDA or the public. You can
use an alternative approach if it satisfies the requirements of the
applicable statutes and regulations.

II. Paperwork Reduction Act of 1995

    This guidance refers to previously approved collections of
information found in FDA regulations. These collections of information
are subject to review by the Office of Management and Budget (OMB)
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). The
collections of information in 21 CFR 314 and 21 CFR 601 have been
approved under OMB control number 0910-0001 and 0910-0338. The
collections of information in 21 CFR 201.57 have been approved under
OMB control number 0910-0572.

III. Electronic Access

    Persons with access to the internet may obtain the draft guidance
at https://www.fda.gov/drugs/guidance-compliance-regulatory-information/guidances-drugs, https://www.fda.gov/regulatory-information/search-fda-guidance-documents, https://www.fda.gov/vaccines-blood-biologics/guidance-compliance-regulatory-information-biologics, or https://www.regulations.gov.

    Dated: January 10, 2023.
Lauren K. Roth,
Associate Commissioner for Policy.
[FR Doc. 2023-00619 Filed 1-12-23; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register: June 18, 2007 (Volume 72, Number 116)]
[Proposed Rules]
[Page 33425]
[DOCID:fr18jn07-19]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-R09-OAR-2006-0619; FRL-8327-2]

Revisions to the Nevada State Implementation Plan, Washoe County
District Health Department

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed rule.

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

SUMMARY: EPA is proposing to approve revisions to the Washoe County
District Health Department (WCDHD) portion of the Nevada State
Implementation Plan (SIP). These revisions concern opacity, emissions
of carbon monoxide (CO) and particulate matter (PM) from wood stoves
and fireplaces, and air emergency episode plans. We are proposing
approval of local rules that help regulate emission sources under the
Clean Air Act as amended in 1990 (CAA or the Act).

DATES: Any comments on this proposal must arrive by July 18, 2007.

ADDRESSES: Submit comments, identified by docket number EPA-R09-OAR-
2006-0619, by one of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov.

Follow the on-line instructions.
     E-mail<EMAIL_ADDRESS>     Mail or deliver: Andrew Steckel (Air-4), U.S.
Environmental Protection Agency Region IX, 75 Hawthorne Street, San
Francisco, CA 94105.
    Instructions: All comments will be included in the public docket
without change and may be made available online at http://www.regulations.gov
, including any personal information provided,

unless the comment includes Confidential Business Information (CBI) or
other information whose disclosure is restricted by statute.
Information that you consider CBI or otherwise protected should be
clearly identified as such and should not be submitted through
http://www.regulations.gov or e-mail. www.regulations.gov is an ``anonymous

access'' system, and EPA will not know your identity or contact
information unless you provide it in the body of your comment. If you
send e-mail directly to EPA, your e-mail address will be automatically
captured and included as part of the public comment. If EPA cannot read
your comment due to technical difficulties and cannot contact you for
clarification, EPA may not be able to consider your comment.
    Docket: The index to the docket for this action is available
electronically at http://www.regulations.gov and in hard copy at EPA

Region IX, 75 Hawthorne Street, San Francisco, California. While all
documents in the docket are listed in the index, some information may
be publicly available only at the hard copy location (e.g., copyrighted
material), and some may not be publicly available in either location
(e.g., CBI). To inspect the hard copy materials, please schedule an
appointment during normal business hours with the contact listed in the
FOR FURTHER INFORMATION CONTACT section.

FOR FURTHER INFORMATION CONTACT: Al Petersen, Rulemaking Office (AIR-
4), U.S. Environmental Protection Agency, Region IX,<PHONE_NUMBER>,
<EMAIL_ADDRESS>

SUPPLEMENTARY INFORMATION: This proposal addresses the following local
rules: WCDHD Rules 010.117, 040.005, 040.051, and 050.001. In the Rules
and Regulations section of this Federal Register, we are approving
these local rules in a direct final action without prior proposal
because we believe these SIP revisions are not controversial. If we
receive adverse comments, however, we will publish a timely withdrawal
of the direct final rule and address the comments in subsequent action
based on this proposed rule. We do not plan to open a second comment
period, so anyone interested in commenting should do so at this time.
If we do not receive adverse comments, no further activity is planned.
For further information, please see the direct final action.
    Please note that if we receive adverse comment on an amendment,
paragraph, or section of this rule and if that provision may be severed
from the remainder of the rule, we may adopt as final those provisions
of the rule that are not the subject of an adverse comment.

    Dated: May 9, 2007.
Laura Yoshii,
Acting Regional Administrator, Region IX.
 [FR Doc. E7-11581 Filed 6-15-07; 8:45 am]

BILLING CODE 6560-50-P


[Federal Register Volume 83, Number 205 (Tuesday, October 23, 2018)]
[Notices]
[Page 53466]
[FR Doc No: 2018-23204]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER19-119-000]

Techren Solar I LLC; Supplemental Notice That Initial Market-
Based Rate Filing Includes Request for Blanket Section 204
Authorization

    This is a supplemental notice in the above-referenced proceeding of
Techren Solar I LLC`s application for market-based rate authority, with
an accompanying rate tariff, noting that such application includes a
request for blanket authorization, under 18 CFR part 34, of future
issuances of securities and assumptions of liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE, Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is November 7, 2018.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
5 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street NE, Washington, DC 20426.
    The filings in the above-referenced proceeding are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for electronic review in the
Commission's Public Reference Room in Washington, DC. There is an
eSubscription link on the website that enables subscribers to receive
email notification when a document is added to a subscribed docket(s).
For assistance with any FERC Online service, please email
[email protected], or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.

    Dated: October 18, 2018.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2018-23204 Filed 10-22-18; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register: March 12, 2007 (Volume 72, Number 47)]
[Notices]
[Page 11012]
[DOCID:fr12mr07-75]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP07-318-000]

Midwestern Gas Transmission Company; Notice of Proposed Changes
in FERC Gas Tariff

March 5, 2007.
    Take notice that on February 28, 2007, Midwestern Gas Transmission
Company (Midwestern) tendered for filing to become part of its FERC Gas
Tariff, Third Revised Volume No. 1, the tariff sheets attached to the
filing, to become effective on April 1, 2007.
    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>.

Philis J. Posey,
Acting Secretary.
[FR Doc. E7-4352 Filed 3-9-07; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 61 (Tuesday, March 31, 2015)]
[Notices]
[Page 17129]
[FR Doc No: 2015-07253]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-335, OMB Control No. 3235-0381]

Submission for OMB Review; Comment Request

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

Extension:
    Form 40-F.

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget this request for extension of the previously approved
collection of information discussed below.
    Form 40-F (17 CFR 249.240f) is used by certain Canadian issuers to
register a class of securities pursuant to Section 12(b) or (g) of the
Securities Exchange Act of 1934 (``Exchange Act'')(15 U.S.C. 78l) or as
an annual report pursuant to Section 13(a) or 15(d) of the Exchange Act
(15 U.S.C. 78m(a) or 78o(d)). The information required in the Form 40-F
is used by investors in making investment decisions with respect to the
securities of such Canadian companies. We estimate that Form 40-F takes
approximately 429.93 hours per response and is filed by approximately
160 respondents. We estimate that 25% of the 429.93 hours per response
(107.48 hours) is prepared by the issuer for a total reporting burden
of 17,197 (107.48 hours per response x 160 responses).
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    The public may view the background documentation for this
information collection at the following Web site, 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) Pamela Dyson, Director/Chief
Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or send an email
to<EMAIL_ADDRESS>Comments must be submitted to OMB within 30
days of this notice.

    Dated: March 25, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-07253 Filed 3-30-15; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 243 (Wednesday, December 18, 2013)]
[Notices]
[Page 76628]
[FR Doc No: 2013-30055]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2013-N-1204]

Draft Risk Profile on Pathogens and Filth in Spices:
Availability; Extension of Comment Period

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice; Extension of comment period.

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

SUMMARY: The Food and Drug Administration (FDA or we) is extending the
comment period for the notice entitled ``Draft Risk Profile on
Pathogens and Filth in Spices: Availability'' that appeared in the
Federal Register of November 4, 2013 (78 FR 66010). In the notice, FDA
requested comments that can help improve the data and information used;
the analytical analyses employed; and the clarity and transparency of
the draft risk profile. We are taking this action in response to a
request for an extension to allow interested persons additional time to
submit comments, scientific data, and information.

DATES: We are extending the comment period for the draft risk profile.
Submit either electronic or written comments by March 3, 2014.

ADDRESSES: Submit electronic comments and scientific data and
information to http://www.regulations.gov. Submit written comments and
scientific data and information to the Division of Dockets Management
(HFA-305), Food and Drug Administration, 5630 Fishers Lane, Rm. 1061,
Rockville, MD 20852.

FOR FURTHER INFORMATION CONTACT: Jane Van Doren, Center for Food Safety
and Applied Nutrition (HFS-06), Food and Drug Administration, 5100
Paint Branch Pkwy., College Park, MD 20740,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    In the Federal Register of November 4, 2013 (78 FR 66010), we
published a notice entitled ``Draft Risk Profile on Pathogens and Filth
in Spices: Availability.'' The notice provided a 60-day comment period
for comments that can help improve (1) the data and information used;
(2) the analytical analyses employed; and (3) the clarity and
transparency of the draft risk profile.
    We have received one request for an extension of the comment period
for the notice. The request conveyed concern that the current 60-day
comment period is not adequate to develop a response to the notice.
    We have considered the request and are extending the comment period
for the notice for 60 days, until March 3, 2014. We believe that a 60-
day extension allows adequate time for interested persons to submit
comments, scientific data, and information without significantly
delaying the risk profile.

II. Request for Comments

    Interested persons may submit either electronic comments regarding
this document to http://www.regulations.gov or written comments to the
Division of Dockets Management (see ADDRESSES). It is only necessary to
send one set of comments. Identify comments with the docket number
found in brackets in the heading of this document. Received comments
may be seen in the Division of Dockets Management between 9 a.m. and 4
p.m., Monday through Friday, and will be posted to the docket at http://www.regulations.gov.

    Dated: December 11, 2013.
Leslie Kux,
Assistant Commissioner for Policy.
[FR Doc. 2013-30055 Filed 12-17-13; 8:45 am]
BILLING CODE 4160-01-P


[Federal Register: September 28, 2010 (Volume 75, Number 187)]
[Notices]
[Page 59706]
[DOCID:fr28se10-62]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 13661-000]

Coastal Hydropower, LLC; Notice of Preliminary Permit Application
Accepted for Filing and Soliciting Comments, Motions To Intervene, and
Competing Applications

September 21, 2010.
    On February 9, 2010, and supplemented on July 16, 2010, Coastal
Hydropower, LLC filed an application for a preliminary permit, pursuant
to section 4(f) of the Federal Power Act (FPA), proposing to study the
feasibility of the Walterville Headgate Dam Hydroelectric Project, to
be located at the Walterville Headgate Dam on the Walterville Canal, a
tributary of the McKenzie River, in Lane County, Oregon. The sole
purpose of a preliminary permit, if issued, is to grant the permit
holder priority to file a license application during the permit term. A
preliminary permit does not authorize the permit holder to perform any
land-disturbing activities or otherwise enter upon lands or waters
owned by others without the owners' express permission.
    The proposed project would consist of the following: (1) Three new
submersible Kaplan turbine/generator units with a total installed
capacity of 1.5 megawatts, to be installed replacing some sections of
the existing dam; (2) a new control house building; and (3) a new
approximately 1,200-foot-long, 15-kilovolt transmission line
interconnecting to an existing transmission line. The estimated annual
generation of the project would be 7.9 gigawatt-hours.
    Applicant Contact: Neil Anderson, Coastal Hydropower, LLC, Key
Centre, 601 108th Avenue, NE., Suite 1900, Bellevue, WA 98004; phone:
(425) 943-7690.
    FERC Contact: Dianne Rodman; phone:<PHONE_NUMBER>.
    Deadline for filing comments, motions to intervene, competing
applications (without notices of intent), or notices of intent to file
competing applications: 60 days from the issuance of this notice.
Competing applications and notices of intent must meet the requirements
of 18 CFR 4.36. Comments, motions to intervene, notices of intent, and
competing applications may be filed electronically via the Internet.
See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's
Web site http://www.ferc.gov/docs-filing/efiling.asp. Commenters can
submit brief comments up to 6,000 characters, without prior
registration, using the eComment system at http://www.ferc.gov/docs-
filing/ecomment.asp. You must include your name and contact information
at the end of your comments. For assistance, please contact FERC Online
Support. Although the Commission strongly encourages electronic filing,
documents may also be paper-filed. To paper-file, mail an original and
seven copies to: Kimberly D. Bose, Secretary, Federal Energy Regulatory
Commission, 888 First Street, NE., Washington, DC 20426.
    More information about this project, including a copy of the
application, can be viewed or printed on the ``eLibrary'' link of
Commission's Web site at http://www.ferc.gov/docs-filing/elibrary.asp.
Enter the docket number (P-13661-000) in the docket number field to
access the document. For assistance, contact FERC Online Support.

Kimberly D. Bose,
Secretary.
[FR Doc. 2010-24234 Filed 9-27-10; 8:45 am]
BILLING CODE 6717-01-P