[Federal Register Volume 84, Number 162 (Wednesday, August 21, 2019)]
[Notices]
[Pages 43638-43640]
[FR Doc No: 2019-17986]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-86687; File No. SR-NYSE-2019-35]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend Supplementary Material .01(b)(5) to NYSE Rule 8.600 Relating to
Generic Listing Standards for Managed Fund Shares

August 15, 2019.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that on August 1, 2019, New York Stock Exchange LLC (``NYSE'' or
the ``Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as described in Items I
and II below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend Supplementary Material .01(b)(5) to
NYSE Rule 8.600 relating to generic listing standards for Managed Fund
Shares applicable to holdings in fixed income securities. The proposed
rule change is available on the Exchange's website at www.nyse.com, at
the principal office of the Exchange, and at the Commission's Public
Reference Room.

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

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

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

1. Purpose
    Supplementary Material .01 to NYSE Rule 8.600 sets forth generic
listing standards for Managed Fund Shares.\4\ Managed Fund Shares may
be listed on the Exchange or traded pursuant to unlisted trading
privileges (``UTP''). The Exchange proposes to amend Supplementary
Material .01(b)(5) to Rule 8.600, as described below. \5\
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    \4\ A Managed Fund Share is a security that represents an
interest in an investment company registered under the Investment
Company Act of 1940 (15 U.S.C. 80a-1) (the ``1940 Act'') organized
as an open-end management investment company or similar entity that
invests in a portfolio of securities selected by its investment
adviser consistent with its investment objectives and policies. In
contrast, an open-end management investment company that issues
Investment Company Units that may be traded on the Exchange under
NYSE Rule 5.2(j)(3) seeks to provide investment results that
correspond generally to the price and yield performance of a
specific foreign or domestic stock index, fixed income securities
index or combination thereof.
    \5\ Managed Fund Shares are currently traded on the Exchange
pursuant to UTP and are not listed on the Exchange. Therefore, this
proposed rule change would only apply to Exchange-listed Managed
Fund Shares in the event the Exchange determines to list such
securities in the future.
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Proposed Amendment to Supplementary Material .01(b)(5) to Rule 8.600
    Supplementary Material .01(b) to NYSE Rule 8.600 sets forth generic
listing standards applicable to fixed income securities included in the
portfolio of a series of Managed Fund Shares.\6\ Supplementary Material
.01(b)(5) provides that non-agency, non- GSE and privately-issued
mortgage-related and other asset-backed securities (``ABS'' and,
collectively, ``non-agency ABS'') components of a portfolio shall not
account, in the aggregate, for more than 20% of the weight of the fixed
income portion of the portfolio. The Exchange proposes to amend
Supplementary Material .01(b)(5) by deleting the words ``fixed income
portion'' to provide that such 20% limitation would apply to the entire
portfolio rather than to only the fixed income portion of the
portfolio. Thus, Supplementary Material .01(b)(5) would provide that
non-agency, non-GSE and privately-issued mortgage-related and other ABS
components of a portfolio shall not account, in the aggregate, for more
than 20% of the weight of the portfolio.
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    \6\ Supplementary Material .01(b) provides that fixed income
securities are debt securities that are notes, bonds, debentures or
evidence of indebtedness that include, but are not limited to, U.S.
Department of Treasury securities (``Treasury Securities''),
government-sponsored entity securities (``GSE Securities''),
municipal securities, trust preferred securities, supranational debt
and debt of a foreign country or a subdivision thereof, investment
grade and high yield corporate debt, bank loans, mortgage and asset
backed securities, and commercial paper.
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    The Exchange believes this amendment is appropriate because a
fund's investment in non-agency, non-GSE and privately-issued mortgage-
related and other ABS may provide a fund with benefits associated with
increased diversification, as such investments may be less correlated
to interest rates than many other fixed income securities. The Exchange
notes that application of the 20% limitation only to the fixed income
portion of a fund's portfolio may impose a much more restrictive
percentage limit on permitted holdings of non-agency ABS for funds that
have a more diversified investment portfolio than for funds that hold
principally or exclusively fixed income securities. For example, a fund
holding 100% of its assets in fixed income securities can hold 20% of
its entire portfolio's weight in non-agency ABS. In contrast, a fund
holding 25% of its assets in fixed income securities, 25% in U.S.
Component Stocks, and 50% in cash and cash equivalents is limited to a
5% (25% * 20% = 5%) allocation to non-agency ABS. The Exchange,
therefore, believes application of the 20% limitation to a fund's
entire portfolio would be more equitable for Managed Fund Shares
issuers with different investment objectives and holdings.
    The Commission has previously approved a proposed rule change by
NYSE Arca, Inc. that is substantively identical to the amendment to
NYSE Rule 8.600, Supplementary Material .01(b)(5) proposed herein.\7\
Therefore, the Exchange believes it is appropriate to apply the 20%
limitation to a fund's investment in non-agency, non-GSE and privately-
issued mortgage-related and other ABS components of a portfolio in
Supplementary Material .01(b)(5) to a fund's total assets. Non-agency
ABS would otherwise satisfy all generic listing requirements of Rule
8.600, Supplementary Material .01(b).
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    \7\ Securities Exchange Act Release No. 86017 (June 3, 2019), 84
FR 26711 (June 7, 2019) (SR-NYSEArca-2019-06) (Order Approving a
Proposed Rule Change, as Modified by Amendment No. 1, to Amend
Certain Generic Listing Standards for Managed Fund Shares Applicable
to Holdings of Fixed Income Securities).
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    The Exchange believes the proposed amendments would provide issuers
of Managed Fund Shares with additional investment choices for fund
portfolios for issues permitted to list and trade on

the Exchange pursuant to Rule 19b-4(e),\8\ which would enhance
competition among market participants, to the benefit of investors and
the marketplace.
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    \8\ See note 5, supra.
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2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\9\ in general, and furthers the
objectives of Section 6(b)(5) of the Act,\10\ in particular, because it
is designed to prevent fraudulent and manipulative acts and practices,
to promote just and equitable principles of trade, to foster
cooperation and coordination with persons engaged in regulating,
clearing, settling, processing information with respect to, and
facilitating transactions in securities, to remove impediments to, and
perfect the mechanisms of, a free and open market and a national market
system and, in general, to protect investors and the public interest
and because it is not designed to permit unfair discrimination between
customers, issuers, brokers, or dealers.
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    \9\ 15 U.S.C. 78f(b).
    \10\ 15 U.S.C. 78f(b)(5).
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    The Exchange has in place surveillance procedures that are adequate
to properly monitor trading in series of Managed Fund Shares in all
trading sessions and to deter and detect violations of Exchange rules
and applicable federal securities laws. The Exchange notes that the
Exchange or Financial Industry Regulatory Authority (``FINRA''), on
behalf of the Exchange, or both, would communicate as needed regarding
trading in Managed Fund Shares with other markets and other entities
that are members of the Intermarket Surveillance Group, and the
Exchange or FINRA, on behalf of the Exchange, or both, could obtain
trading information regarding trading in Managed Fund Shares from such
markets and other entities. In addition, the Exchange could obtain
information regarding trading in Managed Fund Shares from markets and
other entities that are members of ISG or with which the Exchange has
in place a comprehensive surveillance sharing agreement.
    With respect to the proposed amendment to Supplementary Material
.01(b)(5), the Exchange believes this amendment is appropriate because
a fund's investment in non-agency, non-GSE and privately-issued
mortgage-related and other ABS may provide a fund with benefits
associated with increased diversification, as such investments may be
less correlated to interest rates than many other fixed income
securities. As noted above, application of the 20% limitation to only
the fixed income portion of a fund's portfolio may impose a much lower
percentage limit on permitted holdings of non-agency ABS for funds that
have a more diversified investment portfolio than for funds that hold
principally or exclusively fixed income securities. The Exchange,
therefore, believes application of the 20% limitation to a fund's
entire portfolio would be more equitable for Managed Fund Shares
issuers with different investment objectives and holdings.
    The Exchange notes that the Commission has previously approved a
proposed rule change by NYSE Arca, Inc. that is substantively identical
to the amendment to NYSE Rule 8.600, Supplementary Material .01(b)(5)
proposed herein.\11\ Therefore, the Exchange believes it is appropriate
to apply the 20% limitation to a fund's investment in non-agency, non-
GSE and privately-issued mortgage-related and other ABS components of a
portfolio in Supplementary Material .01(b)(5) to a fund's total assets.
Non-agency ABS would otherwise satisfy all generic listing requirements
of Rule 8.600, Supplementary Material .01(b).
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    \11\ See note 7, supra.
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    The proposed rule change is designed to perfect the mechanism of a
free and open market and, in general, to protect investors and the
public interest in that it will facilitate the listing and trading of
additional types of Managed Fund Shares that will enhance competition
among market participants, to the benefit of investors and the
marketplace.

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

    In accordance with Section 6(b)(8) of the Act,\12\ the Exchange
believes that the proposed rule change would not impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Act. The proposed rule change will facilitate the
listing and trading of additional types of Managed Fund Shares that
will enhance competition among market participants, to the benefit of
investors and the marketplace.
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    \12\ 15 U.S.C. 78f(b)(8).
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C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

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

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

    Because the foregoing 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 prior to 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 \13\ and Rule 19b-
4(f)(6) thereunder.\14\
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    \13\ 15 U.S.C. 78s(b)(3)(A).
    \14\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and 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.
The Exchange has satisfied this requirement.
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    A proposed rule change filed under Rule 19b-4(f)(6) \15\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b-4(f)(6)(iii),\16\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has
requested that the Commission waive the 30-day operative delay so that
the proposal may become operative upon filing, which would allow the
Exchange to apply the proposed rule to Managed Fund Shares in the event
the Exchange determines to list such securities before the end of the
30-day operative delay period. The Exchange also noted that the
Commission has previously approved a substantively identical proposal
by another national securities exchange.\17\ The Commission believes
that waiving the 30-day operative delay is consistent with the
protection of investors and the public interest. Accordingly, the
Commission waives the 30-day operative delay and designates the
proposed rule change operative upon filing.\18\
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    \15\ 17 CFR 240.19b-4(f)(6).
    \16\ 17 CFR 240.19b-4(f)(6)(iii).
    \17\ See supra note 7.
    \18\ For purposes only of waiving the 30-day operative delay,
the Commission also has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    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 Number SR-NYSE-2019-35 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2019-35. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSE-2019-35 and should be submitted on
or before September 11, 2019.
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    \19\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\19\
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019-17986 Filed 8-20-19; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register: July 25, 2006 (Volume 71, Number 142)]
[Notices]
[Page 42141-42142]
[DOCID:fr25jy06-115]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-54161; File No. SR-Amex-2006-62]

Self-Regulatory Organizations; American Stock Exchange LLC;
Notice of Filing and Order Granting Accelerated Approval of Proposed
Rule Change To Extend the Linkage Fee Pilot Program

 July 17, 2006.
    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 June 28, 2006, the American Stock Exchange LLC (``Amex'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been substantially prepared by the Exchange.
The Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons and is approving the
proposal on an accelerated basis for a pilot period through July 31,
2007.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to extend for one (1) year until July 31,
2007, the current pilot program regarding transaction fees for trades
executed through the intermarket options linkage (the ``Linkage'') on
the Exchange. The text of the proposed rule change is available on the
Amex's Web site at (http://www.amex.com), at the Amex's Office of the

Secretary, 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, Amex 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 III below. The Exchange has prepared summaries, set forth in
Sections A, B, and C below, of the most significant aspects of such
statements.

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

1. Purpose
    The Amex is proposing to extend for one (1) year until July 31,
2007, the current pilot program establishing Exchange fees for
Principal Orders (``P Orders'') and Principal Acting as Agent Orders
(``P/A Orders'') submitted through the Linkage and executed on the
Exchange. The fees in connection with the pilot program are scheduled
to expire on July 31, 2006.\3\
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    \3\ See Securities Exchange Act Release No. 52150 (July 28,
2005), 70 FR 44703 (August 3, 2005) (Amex File No. 2005-079).
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    The current fees applicable to P Orders and P/A Orders executed on
the Exchange are as follows: (i) $0.10 per contract side options
transaction fee for equity options (exchange traded fund share
(``ETF'') options, QQQQ options and trust issued receipt options); (ii)
$0.21 per contract side options transaction fee for index options
(including MNX and NDX options); (iii) $0.05 per contract side options
comparison fee; (iv) $0.05 per contract side options floor brokerage
fee; and (v) an options licensing fee for certain ETF and index option
products ranging from $0.20 per contract side to $0.05 per contract
side depending on the particular ETF or index option.\4\ These are the
same fees charged to specialists and registered option traders
(``ROTs'') for transactions executed on the Exchange. The Exchange does
not charge for the execution of Satisfaction Orders sent through the
Linkage.
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    \4\ See the Options Licensing Fee section of the Amex Options
Fee Schedule available at http://www.amex.com.

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    As was the case in the original pilot program and subsequent
extensions, the Exchange believes that the existing fees currently
charged to Exchange specialists and ROTs should also apply to
executions resulting from Linkage Orders.
    Based on the experience to date, the Exchange believes that an
extension of the pilot program for one (1) year until July 31, 2007 is
appropriate.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b)(4) of the Act \5\ regarding the equitable allocation
of reasonable dues, fees and other charges among exchange members and
other persons using exchange facilities.
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    \5\ 15 U.S.C. 78f(b)(4).
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B. Self-Regulatory Organization's Statement on Burden on Competition

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

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

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

III. 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 e-mail to<EMAIL_ADDRESS>Please include

File Number SR-Amex-2006-62 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-Amex-2006-62. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml
). Copies of the submission, all subsequent amendments, all

written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for inspection and
copying in the Commission's Public Reference Room. Copies of the filing
also will be available for inspection and copying at the principal
office of the Exchange. All

comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-Amex-2006-62 and should be
submitted on or before August 15, 2006.

IV. Commission's Findings and Order Granting Accelerated Approval of
the Proposed Rule Change

    After careful consideration, the Commission finds that the proposed
rule change is consistent with the requirements of the Act and the
rules and regulations thereunder applicable to a national securities
exchange,\6\ and, in particular, the requirements of Section 6(b) of
the Act \7\ and the rules and regulations thereunder. The Commission
finds that the proposed rule change is consistent with Section 6(b)(4)
of the Act, \8\ which requires that the rules of the Exchange provide
for the equitable allocation of reasonable dues, fees and other charges
among its members and other persons using its facilities. The
Commission believes that the extension of the Linkage fee pilot until
July 31, 2007 will give the Exchange and the Commission further
opportunity to evaluate whether such fees are appropriate.
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    \6\ In approving this proposal, the Commission has considered
the proposed rule's impact on efficiency, competition, and capital
formation. 15 U.S.C. 78c(f).
    \7\ 15 U.S.C. 78f(b).
    \8\ 15 U.S.C. 78f(b)(4).
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    The Commission finds good cause, pursuant to Section 19(b)(2) of
the Act,\9\ for approving the proposed rule change prior to the
thirtieth day after publication of notice thereof in the Federal
Register. The Commission believes that granting accelerated approval of
the proposed rule change will preserve the Exchange's existing pilot
program for Linkage fees without interruption as the Exchange and the
Commission further consider the appropriateness of Linkage fees.
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    \9\ 15 U.S.C. 78s(b)(2).
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V. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\10\ that the proposed rule change (SR-Amex-2006-62) is hereby
approved on an accelerated basis for a pilot period to expire on July
31, 2007.
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    \10\ Id.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\11\
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    \11\ 17 CFR 200.30-3(a)(12).
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Nancy M. Morris,
Secretary.
[FR Doc. E6-11795 Filed 7-24-06; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 86, Number 192 (Thursday, October 7, 2021)]
[Rules and Regulations]
[Pages 55689-55692]
[FR Doc No: 2021-21915]

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SECURITIES AND EXCHANGE COMMISSION

17 CFR Parts 232 and 239

[Release Nos. 33-10984; 34-93056; 39-2540; IC-34376]

Adoption of Updated EDGAR Filer Manual, Form ID Amendments

AGENCY: Securities and Exchange Commission.

ACTION: Final rule.

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SUMMARY: The Securities and Exchange Commission (``Commission'') is
adopting amendments to Volumes I and II of the Electronic Data
Gathering, Analysis, and Retrieval system (``EDGAR'') Filer Manual
(``Filer Manual'') and related rules and forms. The EDGAR system was
upgraded on September 20, 2021.

DATES: Effective date: October 7, 2021. The incorporation by reference
of the EDGAR Filer Manual is approved by the Director of the Federal
Register as of October 7, 2021.

FOR FURTHER INFORMATION CONTACT: For questions regarding the amendments
to Volumes I and II of the Filer Manual and related rules, please
contact Rosemary Filou, Deputy Director and Chief Counsel, or Daniel
Chang, Senior Special Counsel, in the EDGAR Business Office at (202)
551-3900. For questions concerning the updates to Forms 24F-2, N-RN, N-
CEN, or N-PORT, please contact Heather Fernandez in the Division of
Investment Management at<PHONE_NUMBER>. For questions concerning the
changes to Form X-17A-5, please contact Rose Wells, Senior Counsel, in
the Division of Trading and Markets at<PHONE_NUMBER>. For questions
concerning submission form types SBS DISPUTE NOTICE and SBS DISPUTE
NOTICE/A, please contact Andrew Bernstein, Senior Special Counsel, in
the Division of Trading and Markets at<PHONE_NUMBER>. For questions
regarding the changes to submission form types D, D/A, or 424I, please
contact Chris Windsor, Senior Special Counsel, in the Division of
Corporation Finance at<PHONE_NUMBER>. For questions concerning the
taxonomies or schemas, please contact the Office of Structured
Disclosure in the Division of Economic and Risk Analysis at (202) 551-
5494.

SUPPLEMENTARY INFORMATION: We are adopting an updated EDGAR Filer
Manual, Volume I: ``General Information,'' Version 39 (September 2021)
and Volume II: ``EDGAR Filing,'' Version 59 (September 2021),
amendments to 17 CFR 232.301 (``Rule 301 of Regulation S-T''); and
amendments to Form ID (referenced in 17 CFR 239.63, 17 CFR 269.7, and
17 CFR 274.402). The updated Filer Manual volumes are incorporated by
reference into the Code of Federal Regulations.

I. Background

    The Filer Manual contains technical specifications needed for
filers to make submissions on EDGAR. Filers must comply with the
applicable provisions of the Filer Manual in order to assure

the timely acceptance and processing of filings made in electronic
format.\1\ Filers should consult the Filer Manual in conjunction with
our rules governing mandated electronic filings when preparing
documents for electronic submission.
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    \1\ See Rule 301 of Regulation S-T.
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II. Amendments to Volume I of the Filer Manual and Form ID

    Volume I of the EDGAR Filer Manual provides that new filers must
request EDGAR access by submitting Form ID.\2\ Form ID will be revised
to include a privacy notice that will supplement the general Privacy
Act Notice available at SEC.gov by providing more detailed information
tailored to Form ID.\3\
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    \2\ Form ID, uniform application for access codes to file on
EDGAR (referenced in 17 CFR 239.63, 249.446, 269.7, and 274.402).
Form ID requests limited identity information regarding the
applicant, e.g., name, address and telephone number.
    \3\ See the SEC's Privacy Act Notice available at www.sec.gov/privacy.htm. Among other things, the privacy notice in Form ID will
include the authority that authorizes the solicitation of
information, the principal purpose for which the information is to
be used, the routine uses which may be made of the information, and
the effects of not providing the requested information.
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    Form ID will also be revised to clarify that information provided
on the form may become publicly available. Form ID requires new filers
to provide mailing, business, and contact addresses; telephone numbers
for those addresses; and their email address. It is not uncommon for
individual filers or small business owners to list personal telephone
numbers and home addresses on Form ID. Although Form ID submissions are
not publicly posted, some information from Form ID is made public and
some information may be automatically incorporated in other filings.\4\
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    \4\ In particular, the filer's mailing and business addresses
are generally posted on EDGAR as header information for most
filings.
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    Separately, Volume I will be amended to alert filers that the staff
may request that filers provide relevant documents to support requests
to change a company name. Currently, Volume I requires that filers
maintain current company information in EDGAR. Changes to a filer's
company name are manually reviewed by SEC staff. Requesting that filers
provide documents supporting name changes will further the integrity of
EDGAR by helping assure that company names on accounts are accurate.

III. EDGAR System Changes and Associated Modifications to Volume II of
the EDGAR Filer Manual

    EDGAR is being updated in Release 21.3, and corresponding
amendments to Volume II of the Filer Manual will be made to reflect
these changes, as described below.\5\
---------------------------------------------------------------------------

    \5\ EDGAR Release 21.3 will be deployed on or about September
20, 2021. EDGAR Release 21.2 was deployed on June 21, 2021.
---------------------------------------------------------------------------

    On April 8, 2020, the Commission adopted rules to modify the
registration, communications, and offering processes for business
development companies (``BDCs'') and other closed-end investment
companies under the Securities Act of 1933.\6\ As part of the
rulemaking, the Commission amended 17 CFR 230.424, 230.456, and 230.457
(Securities Act rules 424, 456, and 457), as well as Forms S-1, S-3, F-
1, and F-3 to permit issuers of certain continuously offered, exchange-
traded products that share a number of similarities to exchange-traded
funds, but are not registered under the Investment Company Act, to
elect to register an offering of an indeterminate amount of securities
and to pay registration fees in a manner consistent with mutual funds
and exchange-traded funds. Accordingly, EDGAR Release 21.3 will add new
submission form type 424I to permit these filers to register an
offering of ``Exchange-Traded Vehicle Securities,'' with registration
fees due annually on a net basis.
---------------------------------------------------------------------------

    \6\ See Securities Offering Reform for Closed-End Investment
Companies, Release 33-10771 (Apr. 8, 2020) [85 FR 33290 (June 1,
2020)].
---------------------------------------------------------------------------

    As part of that same rulemaking, the Commission adopted a
requirement that filings on Form 24F-2 be submitted in a structured
format. EDGAR Release 21.3 will introduce a Pilot phase for filing Form
24F-2 in a structured format.
    On November 2, 2020, the Commission adopted a new rule and amended
an existing rule and forms to provide an updated, comprehensive
approach to the regulation and use of derivatives and certain other
transactions by mutual funds (other than money market funds), exchange-
traded funds, registered closed-end funds, and BDCs (collectively
``funds'').\7\ To implement these changes, EDGAR Release 21.3 will add
new submission form types N-RN and N-RN/A (formerly known as N-LIQUID
and N-LIQUID/A) to allow funds to report certain information
confidentially to the Commission. EDGAR Release 21.3 will also revise
submission form types N-CEN, N-CEN/A, NPORT-P, NPORT-P/A, NPORT-NP, and
NPORT-NP/A to allow funds to report certain information regarding
derivatives and other transactions.
---------------------------------------------------------------------------

    \7\ See Use of Derivatives by Registered Investment Companies
and Business Development Companies, Release No. IC-34084 (Nov. 2,
2020) [85 FR 83162 (Dec. 21, 2020)].
---------------------------------------------------------------------------

    On September 19, 2019, the Commission adopted recordkeeping,
reporting, and notification requirements applicable to security-based
swap dealers (``SBSDs'') and major security-based swap participants
(``MSBSPs''), securities count requirements applicable to certain
SBSDs, and additional recordkeeping requirements applicable to broker-
dealers to account for their security-based swap and swap
activities.\8\ Accordingly, EDGAR Release 21.3 will update EDGAR to
allow reports on Form X-17A-5 to be filed by two new categories of
registrants (SBSDs and MSBSPs).
---------------------------------------------------------------------------

    \8\ See Recordkeeping and Reporting Requirements for Security-
Based Swap Dealers, Major Security-Based Swap Participants, and
Broker-Dealers, Release No. 34-87005 (Sept. 19, 2019) [84 FR 68550
(Dec. 16, 2019)].
---------------------------------------------------------------------------

    On December 18, 2019, the Commission adopted rules requiring the
application of specific risk mitigation techniques to portfolios of
uncleared security-based swaps.\9\ To implement one of these rules,
which relates to the requirement to reconcile outstanding securities-
based swap transactions, EDGAR Release 21.3 will add new submission
form types SBS DISPUTE NOTICE and SBS DISPUTE NOTICE/A to allow SBSDs
and MSBSPs to provide the Commission with notices of certain valuation
disputes with their counterparties.
---------------------------------------------------------------------------

    \9\ See Risk Mitigation Techniques for Uncleared Security-Based
Swaps, Release No. 34-87782 (Dec. 18, 2019) [85 FR 6359 (Feb. 2,
2020)].
---------------------------------------------------------------------------

    On November 2, 2020, the Commission amended rules and forms to
simplify, harmonize, and improve certain aspects of the exempt offering
framework to promote capital formation while preserving or enhancing
important investor protections.\10\ To implement these rules, EDGAR
Release 21.3 will increase the Total Offering Amount in ``Item 13:
Offering and Sales Amounts'' from a maximum of $5 million to $10
million if any ``Rule 504'' (17 CFR 230.504) item is selected on
submission form types D and D/A.
---------------------------------------------------------------------------

    \10\ See Facilitating Capital Formation and Expanding Investment
Opportunities by Improving Access to Capital in Private Markets,
Release No. 33-10884 (Nov. 2, 2020) [86 FR 3496 (Jan. 14, 2021)].
---------------------------------------------------------------------------

    Also, the following updates will be made to Volume II of EDGAR
Filer Manual:
     EDGAR will no longer accept the IFRS-2019 Taxonomy. Please
see https://www.sec.gov/info/edgar/

edgartaxonomies.shtml for a complete list of supported standard
Taxonomies in EDGAR.\11\
---------------------------------------------------------------------------

    \11\ Currently, taxonomies supported by EDGAR include USGAAP
2021, USGAAP 2020, SRT 2020, IFRS 2021, IFRS 2020, and IFRS 2019.
---------------------------------------------------------------------------

     EDGAR will no longer use the description ``Taiwan,
Province of China'' for Taiwan and will only use the term ``Taiwan''
without a following modifier, in compliance with the U.S. Government's
Geopolitical Entities, Names, and Codes Standard. The state/country
list of values for all XML Schemas will be updated to reflect this
change.
     EDGAR will be updated to accept the SBSE-C Certification
form immediately after receiving the SBSE registration forms SBSE,
SBSE-A and SBSE-BD.
    EDGAR Release 21.3 will also make general functional updates that
do not require changes to the Filer Manual. In particular:
     The EDGAR Filer Management, EDGAR Filing, and EDGAR Online
Forms Management websites will be updated to eliminate support for
Internet Explorer and add support for Microsoft Edge, in accord with
the SEC's move to Edge generally.
     The three websites will also be revised to include a
general privacy notice, similar to the more detailed privacy notice
that will be included in Form ID discussed in Section II.\12\ The
general privacy notice will link to the Privacy Act Notice available at
SEC.gov and to guidance for filers regarding how to remove personally
identifiable information (PII) inadvertently included in EDGAR
filings.\13\
---------------------------------------------------------------------------

    \12\ See supra note 3 and accompanying text. These websites
currently contain an EDGAR Privacy Notice, but that notice has been
superseded by the SEC's Privacy Act Notice available at www.sec.gov/privacy.htm.
    \13\ See the SEC's Privacy Act Notice available at www.sec.gov/privacy.htm; Correct, withdraw, or delete a filing available at
https://www.sec.gov/edgar/filer-information/how-do-i#list_ref_3.
---------------------------------------------------------------------------

IV. Amendments to Rule 301 of Regulation S-T

    Along with the adoption of the updated Filer Manual, we are
amending Rule 301 of Regulation S-T to provide for the incorporation by
reference into the Code of Federal Regulations of the current
revisions. This incorporation by reference was approved by the Director
of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR
part 51.
    The updated EDGAR Filer Manual is available at https://www.sec.gov/edgar/filer-information/current-edgar-filer-manual. Typically, the
EDGAR Filer Manual is also available for website viewing and printing
in the Commission's Public Reference Room, 100 F Street NE, Room 1580,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Operating conditions may limit access to the
Commission's Public Reference Room.

V. Administrative Law Matters

    Because the Filer Manual, and form and rule amendments, relate
solely to agency procedures or practice and do not substantially alter
the rights and obligations of non-agency parties, publication for
notice and comment is not required under the Administrative Procedure
Act (``APA'').\14\ It follows that the amendments do not require
analysis under requirements of the Regulatory Flexibility Act \15\ or a
report to Congress under the Small Business Regulatory Fairness
Act.\16\
---------------------------------------------------------------------------

    \14\ 5 U.S.C. 553(b)(A).
    \15\ 5 U.S.C. 601 through 612.
    \16\ 5 U.S.C. 804(3)(C).
---------------------------------------------------------------------------

    The effective date for the updated Filer Manual and related rule
amendments is October 7, 2021. In accordance with the APA,\17\ we find
that there is good cause to establish an effective date less than 30
days after publication of these rules. The Commission believes that
establishing an effective date less than 30 days after publication of
these rules is necessary to coordinate the effectiveness of the updated
Filer Manual with the related system upgrades.
---------------------------------------------------------------------------

    \17\ 5 U.S.C. 553(d)(3).
---------------------------------------------------------------------------

VI. Statutory Basis

    We are adopting the amendments to Regulation S-T and Form ID under
the authority in Sections 6, 7, 8, 10, and 19(a) of the Securities Act
of 1933,\18\ Sections 3, 12, 13, 14, 15, 15B, 23, and 35A of the
Securities Exchange Act of 1934,\19\ Section 319 of the Trust Indenture
Act of 1939,\20\ and Sections 8, 30, 31, and 38 of the Investment
Company Act of 1940.\21\
---------------------------------------------------------------------------

    \18\ 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
    \19\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78o-4, 78w, and 78ll.
    \20\ 15 U.S.C. 77sss.
    \21\ 15 U.S.C. 80a-8, 80a-29, 80a-30, and 80a-37.
---------------------------------------------------------------------------

List of Subjects

17 CFR Part 232

    Incorporation by reference, Reporting and recordkeeping
requirements, Securities.

17 CFR Part 239

    Reporting and recordkeeping requirements, Securities.

Text of the Amendments

    In accordance with the foregoing, title 17, chapter II of the Code
of Federal Regulations is amended as follows:

PART 232--REGULATION S-T--GENERAL RULES AND REGULATIONS FOR
ELECTRONIC FILINGS

0
1. The general authority citation for part 232 continues to read as
follows:

    Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77s(a), 77z-3,
77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll, 80a-6(c),
80a-8, 80a-29, 80a-30, 80a-37, 7201 et seq.; and 18 U.S.C. 1350,
unless otherwise noted.
* * * * *

0
2. Section 232.301 is revised to read as follows:

Sec.  232.301  EDGAR Filer Manual.

    Filers must prepare electronic filings in the manner prescribed by
the EDGAR Filer Manual, promulgated by the Commission, which sets forth
the technical formatting requirements for electronic submissions. The
requirements for becoming an EDGAR Filer and updating company data are
set forth in the updated EDGAR Filer Manual, Volume I: ``General
Information,'' Version 39 (September 2021). The requirements for filing
on EDGAR are set forth in the updated EDGAR Filer Manual, Volume II:
``EDGAR Filing,'' Version 59 (September 2021). All of these provisions
have been incorporated by reference into the Code of Federal
Regulations, which action was approved by the Director of the Federal
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. You must
comply with these requirements in order for documents to be timely
received and accepted. The EDGAR Filer Manual is available at https://www.sec.gov/edgar/filer-information/current-edgar-filer-manual.
Typically, the EDGAR Filer Manual is also available for website viewing
and printing in the Commission's Public Reference Room, 100 F Street
NE, Washington, DC 20549, on official business days between the hours
of 10 a.m. and 3 p.m. Operating conditions may limit access to the
Commission's Public Reference Room. You can also inspect the document
at the National Archives and Records Administration (NARA). For
information on the availability of this material at NARA, email
<EMAIL_ADDRESS>or go to: https://www.archives.gov/federal-register/cfr/ibr-locations.html.

PART 239--FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933

0
3. The general authority citation for part 239 continues to read as
follows:

    Authority: 15 U.S.C. 77c, 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3,
77sss, 78c, 78l, 78m,78n, 78o(d), 78o-7 note, 78u-5, 78w(a), 78ll,
78mm, 80a-2(a), 80a-3, 80a-8, 80a-9, 80a-10, 80a-13, 80a-24, 80a-26,
80a-29, 80a-30, and 80a-37; and sec. 107, Pub. L. 112-106, 126 Stat.
312, unless otherwise noted.
* * * * *

0
4. Form ID (referenced in Sec. Sec.  239.63, 249.446, 269.7, and
274.402) is amended by revising the page titled ``General
Instructions'' to read as follows:

    Note:  The text of Form ID does not, and the amendments will
not, appear in the Code of Federal Regulations.

Form ID

Uniform Application for Access Codes to File on EDGAR

* * * * *

General Instructions

* * * * *

Privacy Act Statement

    Authorities: The information is sought pursuant to 15 U.S.C. 77a et
seq., 15 U.S.C. 77aaa et seq., 78a et seq., 80a-1 et seq., and 17 CFR
232.10.
    Purpose: The information solicited on this form will be used to
determine whether to allow applicants to make filings on EDGAR, and,
where access is granted, to establish and maintain the filer's EDGAR
account.
    Routine Uses: Uses for the information collected can be found in
the System of Records Notice SEC-33: General Information Technology
Records. See https://www.sec.gov/about/privacy/sorn/sec-33_sec_general_information_technology_records.pdf.
    Disclosure: Providing this information is voluntary. Failure to
provide the information requested on this form, however, may affect the
determination whether to allow applicants to make filings on EDGAR.
    Please note that information submitted on Form ID may become
public.
* * * * *

    By the Commission.

    Dated: September 20, 2021.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2021-21915 Filed 10-6-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 83, Number 246 (Wednesday, December 26, 2018)]
[Notices]
[Pages 66338-66340]
[FR Doc No: 2018-27785]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. DOT-OST-2018-0210]

Notice of Request for Comments: V2X Communications

AGENCY: Office of the Secretary, Department of Transportation (DOT).

ACTION: Notice of request for comment.

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SUMMARY: Over the past several years, the Department of Transportation
and its operating administrations have engaged in numerous activities
related to connected vehicles, including vehicle-to-vehicle (V2V),
vehicle-to-infrastructure (V2I), and vehicle-to-pedestrian (V2P)
communications, collectively referred to as ``V2X'' communications.
Recently, there have been developments in core aspects of the
communication technologies that could be associated with V2X. This
notice requests comment on how these developments impact both V2X in
general and the Department's role in encouraging the integration of
V2X.

DATES: You should submit your comments within 30 days after the date of
publication in the Federal Register. See the SUPPLEMENTARY INFORMATION
section on ``Public Participation,'' below, for more information about
written comments.

ADDRESSES: Comments should refer to the docket number above and be
submitted by one of the following methods:
     Federal Rulemaking Portal: http://www.regulations.gov.
Follow the online instructions for submitting comments.
     Mail: Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue SE, West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery: 1200 New Jersey Avenue SE, West Building
Ground Floor, Room W12-140, Washington, DC, between 9 a.m. and 5 p.m.
ET, Monday through Friday, except Federal Holidays.
    Instructions: For detailed instructions on submitting comments and
additional information on the rulemaking process, see the Public
Participation heading of the SUPPLEMENTARY INFORMATION section of this
document. Note that all comments received will be posted without change
to http://www.regulations.gov, including any personal information
provided.
    Privacy Act: Except as provided below, all comments received into
the docket will be made public in their entirety. The comments will be
searchable by the name of the individual submitting the comment (or
signing the comment, if submitted on behalf of an associations,
business, labor union, etc.). You should not include information in
your comment that you do not want to be made public. You may review
DOT's complete Privacy Act Statement in the Federal Register published
on April 11, 2000 (65 FR 19477-78) or at https://www.transportation.gov/privacy.
    Docket: For access to the docket to read background documents or
comments received, go to http://www.regulations.gov or to the street
address listed above. Follow the online instructions for accessing the
dockets.

FOR FURTHER INFORMATION CONTACT: Please contact us at
<EMAIL_ADDRESS>or Sujeesh Kurup<PHONE_NUMBER>) for policy issues or
Timothy Mullins<PHONE_NUMBER>) for legal issues.

SUPPLEMENTARY INFORMATION: Over the past several years, the Department
of Transportation (Department or DOT) and its operating administrations
have engaged in numerous activities related to connected vehicles,
which generally encompass vehicle-to-vehicle (V2V), vehicle-to-
infrastructure (V2I), and vehicle-to-pedestrian (V2P) communications,
collectively known as ``V2X.'' These activities are based on the
Department's view that V2X technologies have the potential for
significant safety and mobility benefits, both on their own and as
complementary technologies when combined with in-vehicle sensors
supporting the integration of automated vehicles and other innovative
applications such as platooning.
    The agency's connected vehicle activities have primarily centered
on utilizing Dedicated Short-Range Communications (DSRC), which is
consistent with the longstanding and current Federal Communications
Commission (FCC) allocation of the 5.9 GHz radiofrequency band, as
discussed below. Most prominently, the National Highway Traffic Safety
Administration (NHTSA), an operating administration of DOT, issued a
notice of proposed rulemaking (NPRM) to mandate V2V communications for
new light-duty vehicles and to standardize the format and performance
requirements of V2V messages.\1\ The NPRM identified DSRC as the
primary communication medium, but also included provisions for other
mediums if they could meet certain ``performance and interoperability
requirements, which are based on the capabilities of today's DSRC-based
V2V communications.'' \2\ In addition to the NHTSA NPRM, the
Department, State and local governments, and industry are taking many
other actions in developing and deploying V2X technologies. For
example, General Motors recently announced that it will be expanding
DSRC-based V2X deployment on future Cadillac vehicles, following-up the
first U.S. production V2X deployment in the 2017 Cadillac CTS,\3\ and
Toyota announced it would begin offering DSRC-based V2V technology on
selected models beginning in 2021.\4\
---------------------------------------------------------------------------

    \1\ NHTSA, ``Federal Motor Vehicle Safety Standards; V2V
Communication,'' 82 FR 3854 (Jan. 12, 2017).
    \2\ Id. at 3881.
    \3\ General Motors, ``Cadillac to Expand Super Cruise Across
Entire Lineup,'' Jun. 6, 2018, available at https://media.gm.com/media/cn/en/gm/news.detail.html/content/Pages/news/cn/en/2018/June/0606_Cadillac-Lineup.html.
    \4\ Toyota, ``Toyota and Lexus to Launch Technology to Connect
Vehicles and Infrastructure in the U.S. in 2021,'' Apr. 6, 2018,
available at https://corporatenews.pressroom.toyota.com/releases/toyota+and+lexus+to+launch+technology+connect+vehicles+infrastructure+in+u+s+2021.htm.
---------------------------------------------------------------------------

    There has also been considerable progress by State and local
governments in deploying V2X technology, in addition to DOT-funded
deployment programs, such as the Ann Arbor Connected Vehicle
Environment, Connected Vehicle Pilots Program, and the Advanced
Transportation and Congestion Management Technologies Deployment
Program. All told, the Department understands that by the end of 2018,
there will be more than 18,000 vehicles deployed with aftermarket DSRC-
based V2X communications devices and more than 1,000 infrastructure V2X
devices installed at intersections and along roadways in 25 States.
Significant work has also been done on the development of the
``Security Credential Management System'' (SCMS) for V2X
communications, both by the Department and industry partners
(specifically, the Crash Avoidance Metrics Partnership, LLC (CAMP)),
and other private sector organizations.
    In addition, there have been developments in core aspects of the
communication technologies needed for V2X, which have raised questions
about how the Department can best ensure that the safety and mobility
benefits of connected vehicles are achieved without interfering with
the rapid technological innovations occurring in both the automotive
and telecommunications industries.
    First, there has been progress in both Cellular-V2X (C-V2X) and
``5G'' communications, both of which may, or may not, offer both
advantages and disadvantages over DSRC. C-V2X is based on the LTE (4G)
``release 14''

standards issued by the 3rd Generation Partnership Project (3GPP) \5\
and is being explored by chip manufacturers.\6\ Also referred to as
``LTE C-V2X,'' it is being evaluated by some auto manufacturers as an
alternative to DSRC.\7\ Standards organizations are also developing the
next generation of cellular communications, generally called ``5G,''
including ``New Radio C-V2X'' (or NR C-V2X), which will focus on
enhanced V2X services in the following four areas: (i) Vehicles
Platooning; (ii) Advanced Driving; (iii) Extended Sensors; and (iv)
Remote Driving.\8\ Requirements for 5G-based NR C-V2X are expected to
be solidified by December of 2019.\9\
---------------------------------------------------------------------------

    \5\ For details on C-V2X, see 3GPP, ``Release 14,'' http://www.3gpp.org/release-14. For industry development of C-V2X
definitions, see SAE, CV2X Direct Communication Task Force, https://www.sae.org/works/committeeHome.do?comtID=TEV5GDC.
    \6\ Qualcomm: https://www.qualcomm.com/invention/5g/cellular-v2xHuawei: https://www.huawei.com/en/press-events/news/2018/6/Huawei-v2x-strategy-RSU-launch.
    \7\ http://5gaa.org/news/5gaa-audi-ford-and-qualcomm-showcase-c-v2x-direct-communications-interoperability-to-improve-road-safety-2/.
    \8\ https://portal.3gpp.org/desktopmodules/Specifications/SpecificationDetails.aspx?specificationId=3108.
    \9\ http://www.3gpp.org/ftp/Information/presentations/presentations_2018/RAN80_webinar_summary(brighttalk)extended.pdf.
---------------------------------------------------------------------------

    Second, in response to interest on the part of certain stakeholders
for additional spectrum to support Wi-Fi services and applications, the
FCC released an NPRM in February 2013 to amend the Commission's rules
governing the operation of Unlicensed National Information
Infrastructure (U-NII) devices in the 5 GHz band. This NPRM sought
public comment on whether the 5.9 GHz band allocated for DSRC might be
shared with unlicensed devices--and principally Wi-Fi devices.\10\ On
June 7, 2016, FCC issued a ``Refresh of the Record'' for this NPRM
asking for additional input as well as prototype devices that would
support testing of sharing concepts.\11\ To assess the feasibility of
certain sharing concepts, the Department collaborated with FCC and the
National Telecommunications and Information Administration (NTIA) in
developing a three-phase spectrum sharing test plan, which remains
ongoing.\12\ In addition to these activities, there is the related
question of whether the existing spectrum framework, focused upon DSRC,
should be revised to allow alternative technologies, including those
discussed above, to use the relevant spectrum band for transportation
purposes.
---------------------------------------------------------------------------

    \10\ See FCC, ``Unlicensed National Information Infrastructure
(U-NII) Devices in the 5 GHz Band,'' 78 FR 21320 (Apr. 10, 2013).
    \11\ See FCC, ``Unlicensed National Information Infrastructure
(U-NII) Devices in the 5 GHz Band,'' 81 FR 36501 (Jun. 7, 2016).
    \12\ See FCC, Public Notice, ``The Commission Seeks To Update
and Refresh the Record in the `Unlicensed National Information
Infrastructure (U-NII) Devices in the 5 GHz Band' Proceeding,'' Jun.
1, 2016, available at https://docs.fcc.gov/public/attachments/FCC-16-68A1.pdf; see also FCC, ``U-NII-4-to-DSRC EMC Test and
Measurement Plan, Phase I: FCC Laboratory Tests,'' Oct. 7, 2016,
available at https://transition.fcc.gov/oet/fcclab/DSRC-Test-Plan-10-05-2016.pdf; FCC, U-NII-4 Prototype Device Testing Open House
Summary,'' Oct. 21, 2016, available at https://transition.fcc.gov/oet/fcclab/U-NII-4-DSRC-Open-House-Oct-21-2016-Summary.pdf; DOT,
``USDOT Spectrum Sharing Analysis Plan: Effects of Unlicensed-
National Information Infrastructure (U-NII) Devices on Dedicated
Short-Range Communications (DSRC),'' Dec. 2017, available at https://www.its.dot.gov/research_archives/connected_vehicle/dsrc_testplan.htm.
---------------------------------------------------------------------------

    In light of these developments, the Department is interested in
learning more about recent developments in V2X technologies. In
particular, the Department wants to hear from stakeholders, and the
public generally, whether focusing on DSRC as the primary means of V2V
communications is consistent with recent technological developments, as
well as with the Department's general desire to remain technologically
neutral and avoid interfering with the many innovations in
transportation and telecommunication technologies. If technological
developments support the use of alternatives to DSRC, the Department
would also need to know how to ensure that these alternative
technologies are interoperable with each other and DSRC.
    We believe the below questions may help guide commenters, but
commenters are also free to provide their views on the general issues
surrounding V2X communications. To the extent possible, please provide
data, technical information, or other evidence to support your
comments.
    1. Please provide information on what existing or future
technologies could be used for V2X communications, including, but not
limited to, DSRC, LTE C-V2X and 5G New Radio. What are the advantages
and disadvantages of each technology? What is the timeframe for
deployment of technologies not yet in production? Please provide data
supporting your position.
    2. Of the V2X communications technologies previously discussed, at
present only DSRC is permitted to be used in the 5.9 GHz spectrum band
for transportation applications. If that allocation were to be changed
to allow any communication technology for transportation applications,
could DSRC and other technologies (e.g., C-V2X, 5G or any future
technology) operate in the same spectrum band or even the same channel
without interference? Why or why not? If there are any technical
challenges to achieving this goal, what are they and how can they be
overcome?
    3. To what extent is it technically feasible for multiple V2X
communications technologies and protocols to be interoperable with one
another? Why or why not? Can this be done in a way that meets the
performance requirements for safety of life applications, as they were
discussed in the V2V NPRM? What additional equipment would be needed to
achieve interoperability or changes in standards and specifications?
What is the projected cost of any necessary changes? How soon can these
changes and equipment prototypes be available for testing?
    4. To what extent is it technically feasible for different
generations of the same V2X communications technologies and protocols
to be interoperable with one another? Why or why not? Can this be done
in a way that meets the performance requirements for safety of life
applications? What additional equipment or changes in standards and
specifications would be needed to achieve interoperability? What is the
projected cost of any necessary changes?
    5. Even if they are interoperable across different technologies and
generations of the same technology, would there be advantages if a
single communications protocol were to be used for V2V safety
communications? What about other V2X safety applications, such as those
involving V2I and V2P communications?
    6. How would the development of alternative communication
technologies affect other V2I and V2P communications, such as those
supporting mobility or environmental applications? Do these
applications have the same or different interoperability issues as V2V
safety communications? Do different V2X applications (e.g., platooning)
have different communication needs, particularly latency?
    7. Do different communication technologies present different issues
concerning physical security (i.e., how to integrate alternative
communication technologies into vehicle systems), message security
(i.e., SCMS design or other approaches), or other issues such as
cybersecurity or privacy? Would these concerns be affected if multiple
but still interoperable communication technologies are used rather than
one?
    8. How could communications technologies (DSRC, C-V2X, 5G or some
other technology) be leveraged to

support current and emerging automated vehicle applications? Will
different communication technologies be used in different ways? How?
    9. How could deployments, both existing and planned, assess
communications needs and determine which technologies are most
appropriate and whether and how interoperability could be achieved?

Public Participation

How do I prepare and submit comments?

    Your comments must be written and in English. To ensure that your
comments are filed correctly in the docket, please include the docket
number of this document in your comments.
    Please submit one copy (two copies if submitting by mail or hand
delivery) of your comments, including the attachments, to the docket
following the instructions given above under ADDRESSES. Please note, if
you are submitting comments electronically as a PDF (Adobe) file, we
ask that the documents submitted be scanned using an Optical Character
Recognition (OCR) process, thus allowing the agency to search and copy
certain portions of your submissions.

How do I submit confidential business information?

    Any submissions containing Confidential Information must be
delivered to OST in the following manner:
     Submitted in a sealed envelope marked ``confidential
treatment requested'';
     Accompanied by an index listing the document(s) or
information that the submitter would like the Departments to withhold.
The index should include information such as numbers used to identify
the relevant document(s) or information, document title and
description, and relevant page numbers and/or section numbers within a
document; and
     Submitted with a statement explaining the submitter's
grounds for objecting to disclosure of the information to the public.
    OST also requests that submitters of Confidential Information
include a non-confidential version (either redacted or summarized) of
those confidential submissions in the public docket. In the event that
the submitter cannot provide a non-confidential version of its
submission, OST requests that the submitter post a notice in the docket
stating that it has provided OST with Confidential Information. Should
a submitter fail to docket either a non-confidential version of its
submission or to post a notice that Confidential Information has been
provided, we will note the receipt of the submission on the docket,
with the submitter's organization or name (to the degree permitted by
law) and the date of submission.

Will the agency consider late comments?

    U.S. DOT will consider all comments received before the close of
business on the comment closing date indicated above under DATES. To
the extent possible, the agency will also consider comments received
after that date.

How can I read the comments submitted by other people?

    You may read the comments received at the address given above under
COMMENTS. The hours of the docket are indicated above in the same
location. You may also see the comments on the internet, identified by
the docket number at the heading of this notice, at http://www.regulations.gov.

    Issued in Washington, DC on December 12, 2018, under authority
delegated at 49 U.S.C. 1.25a.
Finch Fulton,
Deputy Assistant Secretary for Transportation Policy.
[FR Doc. 2018-27785 Filed 12-21-18; 8:45 am]
 BILLING CODE 4910-9X-P


[Federal Register Volume 76, Number 43 (Friday, March 4, 2011)]
[Notices]
[Pages 12178-12180]
[FR Doc No: 2011-4900]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-63983; File No. SR-NASDAQ-2011-032]

Self-Regulatory Organizations; The NASDAQ Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Offer Market Data to the Public at No Charge

February 25, 2011.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that, on February 24, 2011, The NASDAQ Stock Market LLC (the
``Exchange'' or ``NASDAQ'') filed with the Securities and Exchange

Commission (the ``Commission'') the proposed rule change as described
in Items I, II, and III below, which Items have been prepared by
NASDAQ. 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.
---------------------------------------------------------------------------

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

    NASDAQ is filing this proposed rule change to identify in NASDAQ
Options Market (``NOM'') rules the proprietary data feeds of NOM market
information that NASDAQ makes available at no charge. The text of the
proposed rule change is available at http://nasdaq.cchwallstreet.com/,
at NASDAQ's principal office, and at the Commission's Public Reference
Room.

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

    In its filing with the Commission, 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 aspects of such
statements.

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

1. Purpose
    Chapter VI, Section 1(a)(3) of the NOM Rules currently states that
the NOM trading system includes ``a data feed(s) that can be used to
display without attribution to Participants' MPIDs Displayed Orders on
both the bid and offer side of the market for price levels then within
the Nasdaq Options Market using the minimum price variation applicable
to that security.'' NASDAQ is proposing to modify Section 1(a)(3) to
specify the names and content of the four data feeds that NASDAQ makes
available without charge containing market information related to
trading on NOM.
    First, NASDAQ ITCH to Trade Options or ``ITTO'' is a data feed that
provides quotation information for individual orders on the NOM book,
last sale information for trades executed on NOM, and Order Imbalance
Information as set forth in NOM Rules Chapter VI, Section 8. ITTO is
the options equivalent of the NASDAQ TotalView/ITCH data feed that
NASDAQ offers under NASDAQ Rule 7023 with respect to equities traded on
NASDAQ. As with TotalView, members use ITTO to ``build'' their view of
the NOM book by adding individual orders that appear on the feed, and
subtracting individual orders that are executed. The Order Imbalance
Information disseminated via ITTO is described in more detail below.
    Best of NASDAQ Options or ``BONO'' is a data feed that provides the
NOM Best Bid and Offer and last sale information for trades executed on
NOM. The NOM Best Bid and Offer and last sale information are identical
to the information that NOM sends the Options Price Regulatory [sic]
Authority (``OPRA'') and which OPRA disseminates via the consolidated
data feed for options. BONO is the options equivalent of the NASDAQ
Basic data feed offered for equities under NASDAQ Rule 7047.
    NASDAQ Options Depth at Price or ``DAP'' is a data feed that
provides aggregate quotation information for each price level of
trading interest on the NOM book, last sale data for trades executed on
NOM, and Order Imbalance Information as set forth in NOM Rules Chapter
VI, Section 8. The summary of interest at each price level is useful to
members that seek to add or remove liquidity at various depths of the
NOM book but that do not build a book in the manner described above
with respect to ITTO.
    Finally, NASDAQ Options Net Order Imbalance or ``NOIView'' is a
data feed that provides Order Imbalance Information as set forth in NOM
Rules Chapter VI, Section 8. Members use NOIView to participate
effectively in the NOM Opening Cross. It includes the following
information: (1) A Current Reference Price'' [sic] which describes the
trading interest on the NOM book at a given moment; (2) the number of
contracts of eligible trading interest that are paired at the Current
Reference Price; (3) the size of any order imbalance; (4) the buy/sell
direction of any Imbalance; and (5) indicative prices at which the
Nasdaq Opening Cross would occur if the Nasdaq Opening Cross were to
occur at that time. NOIView is available in conjunction with the ITTO
and DAP feeds described above.
2. Statutory Basis
    Nasdaq believes that the proposed rule change is consistent with
the provisions of Section 6 of the Act,\3\ in general and with Sections
6(b)(5) of the Act,\4\ in particular in that 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 regulating, clearing, settling, processing
information with respect to, and 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.
---------------------------------------------------------------------------

    \3\ 15 U.S.C. 78f.
    \4\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    In adopting Regulation NMS, the Commission granted self-regulatory
organizations and broker-dealers increased authority and flexibility to
offer new and unique market data to the public. It was believed that
this authority would expand the amount of data available to consumers,
and also spur innovation and competition for the provision of market
data. Nasdaq believes that this proposal is in keeping with those
principles by promoting increased transparency through the
dissemination of more useful proprietary data and also by clarifying
its availability to market participants.
    Additionally, NASDAQ is making a voluntary decision to make this
data available. NASDAQ is not required by the Exchange Act in the first
instance to make the data available, unlike the best bid and offer
which must be made available under the Act. NASDAQ chooses to make the
data available as proposed in order to improve market quality, to
attract order flow, and to increase transparency. Once this filing
becomes effective, NASDAQ will be required to continue making the data
available until such time as NASDAQ changes its rule.

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

    NASDAQ does not believe that the proposed rule change will result
in any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act, as amended. To the contrary,
offering voluntary and free data feeds promotes competition among
trading platforms by advertising available trading interest and
enabling NOM to attract additional liquidity.

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

    Written comments were neither solicited nor received.

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

    The proposed rule change is effective upon filing pursuant to
Section 19(b)(3)(A) of the Act \5\ and paragraph (f)(6) of Rule 19b-4
thereunder,\6\ in that the proposed rule change: (i) Does not
significantly affect the protection of investors or the public
interest; (ii) does not impose any significant burden on competition;
and (iii) does not become operative for 30 days after the date of the
filing, or such shorter time as the Commission may designate if
consistent with the protection of investors and the public interest;
provided the self-regulatory organization has given the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and 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.
---------------------------------------------------------------------------

    \5\ 15 U.S.C. 78s(b)(3)(A).
    \6\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    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 e-mail to<EMAIL_ADDRESS>Please include
File Number SR-NASDAQ-2011-032 on the subject line.

Paper Comments

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

    All submissions should refer to File Number SR-NASDAQ-2011-032.
This file number should be included on the subject line if e-mail is
used. To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/rules/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 a.m. and 3 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 Number SR-
NASDAQ-2011-032 and should be submitted on or before March 25, 2011.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\7\
---------------------------------------------------------------------------

    \7\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-4900 Filed 3-3-11; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 88, Number 220 (Thursday, November 16, 2023)]
[Notices]
[Pages 78808-78809]
[FR Doc No: 2023-25304]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2023-0195]

Hours of Service of Drivers: Reiman Corp.; Application for
Exemption

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), Department
of Transportation (DOT).

ACTION: Notice of application for exemption; request for comments.

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

SUMMARY: FMCSA announces a request from Reiman Corp. for an exemption
from certain hours-of-service (HOS) regulations. Reiman Corp.'s drivers
transport latex embedded cement for use at highway construction sites.
Reiman Corp. requests that it be allowed to operate under the same
hours-of-service exception provided for ``specially trained drivers of
commercial motor vehicles that are specially constructed to service oil
wells.'' FMCSA requests public comment on the applicant's request for
exemption.

DATES: Comments must be received on or before December 18, 2023.

ADDRESSES: You may submit comments identified by Federal Docket
Management System Number (FDMS) FMCSA-2023-0195 by any of the following
methods:
     Federal eRulemaking Portal: www.regulations.gov. See the
Public Participation and Request for Comments section below for further
information.
     Mail: Docket Operations, U.S. Department of
Transportation, 1200 New Jersey Avenue SE, West Building, Ground Floor,
Washington, DC 20590-0001.
     Hand Delivery or Courier: West Building, Ground Floor,
1200 New Jersey Avenue SE, between 9 a.m. and 5 p.m. E.T., Monday
through Friday, except Federal holidays.
     Fax:<PHONE_NUMBER>.
    Each submission must include the Agency name and the docket number
(FMCSA-2023-0195) for this notice. Note that DOT posts all comments
received without change to www.regulations.gov, including any personal
information included in a comment. Please see the Privacy Act heading
below.

    Docket: For access to the docket to read background documents or
comments, go to www.regulations.gov at any time or visit the ground
level of the West Building, 1200 New Jersey Avenue SE, Washington, DC
20590-0001 between 9 a.m. and 5 p.m., ET, Monday through Friday, except
Federal holidays. To be sure someone is there to help you, please call
(202) 366-9317 or<PHONE_NUMBER> before visiting Dockets Operations.
    Privacy Act: In accordance with 49 U.S.C. 31315(b), DOT solicits
comments from the public to better inform its exemption process. DOT
posts these comments, including any personal information the commenter
provides, to www.regulations.gov, as described in the system of records
notice DOT/ALL-14 FDMS, which can be reviewed under the ``Department
Wide System of Records Notices'' at https://www.transportation.gov/individuals/privacy/privacy-act-system-records-notices. The comments
are posted without edit and are searchable by the name of the
submitter.

FOR FURTHER INFORMATION CONTACT: Ms. Pearlie Robinson, FMCSA Driver and
Carrier Operations Division; Office of Carrier, Driver and Vehicle
Safety Standards;<PHONE_NUMBER> or [email protected]. If you have
questions on viewing or submitting material to the docket, contact
Dockets Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Public Participation and Request for Comments

    FMCSA encourages you to participate by submitting comments and
related materials.

Submitting Comments

    If you submit a comment, please include the docket number for this
notice (FMCSA-2023-0195), indicate the specific section of this
document to which the comment applies, and provide a reason for
suggestions or recommendations. You may submit your comments and
material online or by fax, mail, or hand delivery, but please use only
one of these means. FMCSA recommends that you include your name and a
mailing address, an email address, or a phone number in the body of
your document so the Agency can contact you if it has questions
regarding your submission.
    To submit your comment online, go to www.regulations.gov and put
the docket number ``FMCSA-2023-0195'' in the ``Keyword'' box, and click
``Search.'' Next, sort the results by ``Posted (Newer-Older),'' choose
the first notice listed, click the ``Comment'' button, and type your
comment into the text box on the following screen. Choose whether you
are submitting your comment as an individual or on behalf of a third
party and then submit. If you submit your comments by mail or hand
delivery, submit them in an unbound format, no larger than 8\1/2\ by 11
inches, suitable for copying and electronic filing. If you submit
comments by mail and would like to know that they reached the facility,
please enclose a stamped, self-addressed postcard or envelope. FMCSA
will consider all comments and material received during the comment
period.

II. Legal Basis

    FMCSA has authority under 49 U.S.C. 31136(e) and 31315(b) to grant
exemptions from certain Federal Motor Carrier Safety Regulations. FMCSA
must publish a notice of each exemption request in the Federal Register
(49 CFR 381.315(a)). The Agency must provide the public an opportunity
to inspect the information relevant to the application, including any
safety analyses that have been conducted. The Agency must provide an
opportunity for public comment on the request.
    The Agency reviews safety analyses and public comments submitted
and determines whether granting the exemption would likely achieve a
level of safety equivalent to, or greater than, the level that would be
achieved by the current regulation (49 CFR 381.305). The decision of
the Agency must be published in the Federal Register (49 CFR
381.315(b)) with the reasons for denying or granting the application
and, if granted, the name of the person or class of persons receiving
the exemption, and the regulatory provision from which the exemption is
granted. The notice must also specify the effective period and explain
the terms and conditions of the exemption. The exemption may be renewed
(49 CFR 381.300(b)).

III. Applicant's Request

    Reiman Corp. indicated that it is involved in the construction of
highway roads and bridges. Reiman Corp. requests an exemption from
certain HOS regulations because it considers its operations similar to
oilfield operations exempted in 49 CFR 391.5(d)(2), including that its
drivers are specially trained to operate vehicles that are specially
designed to transport specific products with vehicle-mounted equipment.
The requested exemption would allow Reiman Corp.'s drivers to record
waiting time at construction sites as ``off-duty'' for purposes of
Sec. Sec.  395.8 and 395.15. Further, waiting time would not be
included in calculating the 14-hour period in Sec.  395.3(a)(2).
However, Reiman Corp.'s specially trained drivers would not be eligible
to use the short-haul operation provisions of Sec.  395.1(e)(1) if the
company were granted this exemption.
    A copy of Reiman Corp.'s application for exemption is included in
the docket for this notice.

IV. Request for Comments

    In accordance with 49 U.S.C. 31315(b), FMCSA requests public
comment from all interested persons on Reiman Corp.'s application for
an exemption from certain HOS regulations in 49 CFR part 395. All
comments received before the close of business on the comment closing
date indicated at the beginning of this notice will be considered and
will be available for examination in the docket at the location listed
under the Addresses section of this notice. Comments received after the
comment closing date will be filed in the public docket and will be
considered to the extent practicable. In addition to late comments,
FMCSA will continue to file, in the public docket, relevant information
that becomes available after the comment closing date. Interested
persons should continue to examine the public docket for new material.

Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2023-25304 Filed 11-15-23; 8:45 am]
BILLING CODE 4910-EX-P


[Federal Register Volume 79, Number 47 (Tuesday, March 11, 2014)]
[Notices]
[Page 13732]
[FR Doc No: 2014-05204]

=======================================================================
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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

Application of Harris Aircraft Services, Inc. for Commuter Air
Carrier Authority

AGENCY: Department of Transportation.

ACTION: Notice of Order to Show Cause (Order 2014-3-2); Docket DOT-OST-
2013-0089.

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

SUMMARY: The Department of Transportation is directing all interested
persons to show cause why it should not issue an order finding Harris
Aircraft Services, Inc., fit, willing, and able, and awarding it
commuter air carrier authority to conduct scheduled commuter service.

DATES: Persons wishing to file objections should do so no later than
March 18, 2014.

ADDRESSES: Objections and answers to objections should be filed in
Docket DOT-OST-2013-0089 and addressed to Docket Operations, (M-30,
Room W12-140), U.S. Department of Transportation, 1200 New Jersey
Avenue SE., Washington, DC 20590, and should be served upon the parties
listed in Attachment A to the order.

FOR FURTHER INFORMATION CONTACT: Barbara Snoden, Air Carrier Fitness
Division (X-56, Room W86-471), U.S. Department of Transportation, 1200
New Jersey Avenue SE., Washington, DC 20590,<PHONE_NUMBER>.

    Dated: March 4, 2014.
Susan L. Kurland,
Assistant Secretary for Aviation and International Affairs.
[FR Doc. 2014-05204 Filed 3-10-14; 8:45 am]
BILLING CODE 4910-9X-P


[Federal Register: December 4, 2007 (Volume 72, Number 232)]
[Notices]
[Page 68149-68150]
[DOCID:fr04de07-59]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 12905-000]

BPUS Generation Development, LLC; Notice of Application Accepted
for Filing and Soliciting Motions To Intervene, Protests, and Comments

November 26, 2007.
    Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection:
    a. Type of Application: Preliminary Permit.
    b. Project No.: 12905-000.
    c. Date filed: July 30, 2007.
    d. Applicant: BPUS Generation Development, LLC.
    e. Name of Project: Emsworth Locks & Dam Hydroelectric Project.
    f. Location: Ohio River in Allegheny County, Pennsylvania. It would
use the U.S. Army Corps of Engineers' Emsworth Locks & Dam.
    g. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791(a)-825(r).
    h. Applicant Contact: Mr. Jeffrey M. Auser, P.E., BPUS Generation
Development, LLC, 225 Greenfield Parkway, Suite 201, Liverpool, NY
13088,<PHONE_NUMBER>.
    i. FERC Contact: Robert Bell,<PHONE_NUMBER>.
    j. Deadline for filing comments, protests, and motions to
intervene: 60 days from the issuance date of this notice.
    All documents (original and eight copies) should be filed with:
Kimberly D. Bose, Secretary, Federal Energy Regulatory Commission, 888
First Street, NE., Washington, DC 20426. Comments, protests, and
interventions may be filed electronically via the Internet in lieu of
paper; see 18 CFR 385.2001(a)(1)(iii) and the instructions on the
Commission's Web site under the ``e-Filing'' link. The Commission
strongly encourages electronic filings. Please include the project
number (P-12905-000) on any comments or motions filed.
    The Commission's Rules of Practice and Procedure require all
intervenors filing documents with the Commission to serve a copy of
that document on each person in the official service list for the
project. Further, if an intervenor files comments or documents with the
Commission relating to the merits of an issue that may affect the
responsibilities of a particular resource agency, they must also serve
a copy of the document on that resource agency.
    k. Description of Project: The proposed project using the U.S. Army
Corps of Engineers' Emsworth Locks & Dam and operated in a run-of-river
mode would consist of: (1) A new 200-foot-long, 200-foot-wide, 50-foot-
high concrete powerhouse; (2) a new intake channel and tailrace channel
on the southern bank of the main channel, on Neville Island directly
opposite the existing locks structure; (3) five turbine/generator units
with a combined installed capacity of 32.7 megawatts; (4) a new 11,500-
foot-long aboveground transmission line extending from the switchyard
near the powerhouse to an interconnection point with an existing
transmission line located southwest of the powerhouse; and (5)
appurtenant facilities. The proposed Emsworth Locks & Dam Project would
have an average annual generation of 141.3 gigawatt-hours.
    l. This filing is available for review at the Commission in the
Public Reference Room or may be viewed on the Commission's Web site at
http://www.ferc.gov using the ``eLibrary'' link. Enter the docket

number excluding the last three digits in the docket number field to
access the document. For assistance, call toll-free 1-866-208-3676 or
e-mail<EMAIL_ADDRESS>For TTY, call<PHONE_NUMBER>. A copy
is also available for inspection and reproduction at the address in
item h above.
    m. Competing Preliminary Permit--Anyone desiring to file a
competing application for preliminary permit for a proposed project
must submit the competing application itself, or a notice of intent to
file such an application, to the Commission on or before the specified
comment date for the particular application (see 18 CFR 4.36).
Submission of a timely notice of intent allows an interested person to
file the competing preliminary permit application no later than 30 days
after the specified comment date for the particular application. A
competing preliminary permit application must conform with 18 CFR 4.30
and 4.36.
    n. Competing Development Application--Any qualified development
applicant desiring to file a competing development application must
submit to the Commission, on or before a specified comment date for the
particular application, either a competing development application or a
notice of intent to file such an application. Submission of a timely
notice of intent to file a development application allows an interested
person to file the competing application no later than 120 days after
the specified comment date for the particular application. A competing
license

application must conform with 18 CFR 4.30 and 4.36.
    o. Notice of Intent--A notice of intent must specify the exact
name, business address, and telephone number of the prospective
applicant, and must include an unequivocal statement of intent to
submit, if such an application may be filed, either a preliminary
permit application or a development application (specify which type of
application). A notice of intent must be served on the applicant(s)
named in this public notice.
    p. Proposed Scope of Studies Under Permit--A preliminary permit, if
issued, does not authorize construction. The term of the proposed
preliminary permit would be 36 months. The work proposed under the
preliminary permit would include economic analysis, preparation of
preliminary engineering plans, and a study of environmental impacts.
Based on the results of these studies, the Applicant would decide
whether to proceed with the preparation of a development application to
construct and operate the project.
    q. Comments, Protests, or Motions To Intervene--Anyone may submit
comments, a protest, or a motion to intervene in accordance with the
requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211,
.214. In determining the appropriate action to take, the Commission
will consider all protests or other comments filed, but only those who
file a motion to intervene in accordance with the Commission's Rules
may become a party to the proceeding. Any comments, protests, or
motions to intervene must be received on or before the specified
comment date for the particular application.
    r. Filing and Service of Responsive Documents--Any filings must
bear in all capital letters the title ``COMMENTS'', ``NOTICE OF INTENT
TO FILE COMPETING APPLICATION'', ``COMPETING APPLICATION'',
``PROTEST'', and ``MOTION TO INTERVENE'', as applicable, and the
Project Number of the particular application to which the filing
refers. Any of the above-named documents must be filed by providing the
original and the number of copies provided by the Commission's
regulations to: The Secretary, Federal Energy Regulatory Commission,
888 First Street, NE., Washington, DC 20426. An additional copy must be
sent to Director, Division of Hydropower Administration and Compliance,
Federal Energy Regulatory Commission, at the above-mentioned address. A
copy of any notice of intent, competing application or motion to
intervene must also be served upon each representative of the Applicant
specified in the particular application.
    s. Agency Comments--Federal, State, and local agencies are invited
to file comments on the described application. A copy of the
application may be obtained by agencies directly from the Applicant. If
an agency does not file comments within the time specified for filing
comments, it will be presumed to have no comments. One copy of an
agency's comments must also be sent to the Applicant's representatives.

Kimberly D. Bose,
Secretary.
[FR Doc. E7-23436 Filed 12-3-07; 8:45 am]

BILLING CODE 6717-01-P