[Federal Register: October 15, 2009 (Volume 74, Number 198)]
[Rules and Regulations]
[Page 52880-52885]
[DOCID:fr15oc09-5]

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 730, 734, 738, 740, 742, 744, 772 and 774

[Docket No. 080211163-9110-02]
RIN 0694-AE18

Encryption Simplification Rule: Final

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final rule.

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SUMMARY: The Bureau of Industry and Security (BIS) published the
interim final rule entitled ``Encryption Simplification'' on October 3,
2008 (73 FR 57495). This rule finalizes that rule, corrects errors
published in the October 3, 2008 interim final rule, and resolves
inconsistencies in that rule identified by the public.

DATES: Effective Dates: This rule is effective October 15, 2009.

ADDRESSES: Written comments on this final rule may be sent by e-mail to
<EMAIL_ADDRESS>Include ``Encryption rule'' in the subject
line of the message. Comments may also be submitted by mail or hand
delivery to Sharron Cook, Office of Exporter Services, Regulatory
Policy Division, Bureau of Industry and Security, Department of
Commerce, 14th St. & Pennsylvania Avenue, NW., Room 2705, Washington,
DC 20230, ATTN: Encryption rule; or by fax to<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: For questions of a general nature
contact Sharron Cook, Office of Exporter Services, Regulatory Policy
Division at<PHONE_NUMBER> or e-mail<EMAIL_ADDRESS>    For questions of a technical nature contact: The Information
Technology Division, Office of National Security and Technology
Transfer Controls at<PHONE_NUMBER> or e-mail: C. Randall Pratt at
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Background

    BIS published the interim final rule entitled ``Encryption
Simplification'' on October 3, 2008 (73 FR 57495). This rule removed
section 744.9 of the EAR, which set forth requirements for
authorization from BIS for U.S. persons to provide technical assistance
(including training) to foreign persons with the intent to aid a
foreign person in the development or manufacture outside the United
States of encryption commodities or software that, if of U.S.-origin,
would be ``EI'' controlled under ECCNs 5A002 or 5D002. Section 744.9
was added to the EAR in 1996 when jurisdiction over dual-use encryption
items was transferred from the Department of State to the Department of
Commerce. However, other parts of the EAR that referred to section
744.9 were inadvertently not removed. Therefore, this rule removes
these references in Sec.  730.5(d), Sec.  734.5(c), Sec.
736.2(b)(7)(ii), and Sec.  744.1(a)(1). In addition, other corrections
are made to harmonize with revisions made in the ``Encryption
Simplification'' rule published on October 3, 2008. Some of the
revisions in this rule are the results of requests for clarification
from the public on the October 3 encryption simplification rule.

Part 730

    The last sentence in paragraph (d) of section 730.5 is removed,
because it makes reference to technical assistance in section 744.9,
which was removed by the October 3 encryption simplification rule.

Part 734

    Section 734.4 is amended to revise paragraphs (b)(1) and (b)(2) in
order to harmonize with the October 3 encryption simplification rule
and corrections thereto. Paragraph (b)(1)(iv) is added to conform with
the clarifications in this correction by making it clear that section
740.17(b)(4) is a separate authorization. Paragraph (b)(2) is revised
to simply state that all items classified under ECCNs 5A992, 5D992, or
5E992 are eligible for consideration under the de minimis rules.
Paragraph (c) of section 734.5 is removed because it refers to
technical assistance in section 744.9, which was

removed by the October 3 encryption simplification rule.

Part 736

    Paragraph (b)(7)(ii) of section 736.2 is removed and reserved,
because it refers to technical assistance in section 744.9, which was
removed by the October 3 encryption simplification rule.

Part 738

    Paragraph (a)(2)(ii)(B) of section 738.4 is amended by removing a
reference to the mass market review requirements in section 742.15(b)
for 5A992 and 5D992, and replacing it with an instruction that the
export may be executed under the No License Required (NLR) principle
unless the License Requirement section refers the reader to another
section of the EAR. E.g., in ECCN 5A002 the License Requirement section
not only refers the reader to the Commerce Country Chart in Supplement
No. 1 of part 738, but it also refers the reader to section 742.15 of
the EAR to determine license requirements.

Part 740

    Section 740.17(b)(1)-(3): paragraph (b) is changed for clarity,
transparency, and simplification of language authorizing export after
review. Authorization language to Supplement 3 countries under the
subparagraphs of (b)(1) was complex and confusing to exporters. Under
the reorganization of License Exception ENC, there is no need to
exclude exports to countries listed in Supplement 3 from authorization
under paragraphs (b)(2) and (b)(3). Such exclusions are removed here.
Once a review has been submitted, Paragraph (b)(1)(i) is intended to
authorize immediate export to the Supplement 3 countries of all
encryption items (except ``cryptanalytic items'' to ``government end-
users''). After the review is complete, all items except technology and
Open Cryptographic Interfaces (OCIs) are authorized by paragraphs
(b)(2), (b)(3), or (b)(4). As the language has been revised, four sets
of authorization language will cover almost all items authorized for
export and reexport. The four authorizations will be:

(a) and (b)(1)(i) technology and OCI;
(a) and (b)(2) ENC restricted commodities and software;
(a) and (b)(3) ENC unrestricted commodities and software; and
(b)(4) ENC commodities and software as described.

Prior to the implementation of this final rule, paragraph (b)(4)
authorized immediate export under (b)(2) or (b)(3) for source code and
key length limited items. However, with the authorization under (b)(4),
it was no longer clear that (b)(2) items were not authorized for
immediate export to ``government end-users'' outside the Supplement 3
countries. The added language implemented by this rule makes clear that
this continues to be true. Products that would not be authorized for
permanent export to certain ``government end-users'' should not be
authorized for temporary export to those end-users.
    This rule revises section 740.17(b)(1)(i) of the EAR to remove the
phrase ``(excluding source code),'' because BIS has received a number
of inquires from the public who are confused by this phrase appearing
in this paragraph. This paragraph describes exports and reexports to
government end-users and non-government end-users located in a country
listed in Supplement No. 3 of section 740.17 of the EAR that are
eligible for License Exception ENC once a review request is registered
with BIS, including commodities and software that are pending review
(under section 742.15(b)) for mass market treatment (ECCNs 5A992.c and
5D992.c). Encryption source code is not eligible for such mass market
treatment. This is what the phrase ``(excluding source code)'' refers
to. Although this phrase only refers to software that is pending review
for mass market treatment (under section 742.15(b)), and thus does not
pertain to any other License Exception ENC-eligible encryption source
code (e.g., as described in section 740.17(b)(2)(ii)), it has
nonetheless proven confusing and so is being removed.
    This rule revises section 740.17(b)(4) to fix an incorrect citation
and clarify concerning what is authorized by each subsection of
paragraph (b)(4). Paragraph (b)(4) should contain specific
authorization language like all other License Exception ENC paragraphs.
The addition of the introductory sentence accomplishes this. The second
sentence makes it clear that paragraph (b)(4)(ii) does not authorize
subsequent export from the United States of the foreign developed
products.
    This rule adds text to sections 740.17(b)(4)(ii) and 742.15(b)(2)
to provide clarification to the regulated community that foreign
products developed with or incorporating U.S.-origin encryption source
code authorized for export under License Exception TSU (section
740.13(e)) that are subject to the EAR are also excluded from review
requirements and that after a mass market review request is submitted,
there is no waiting period for export to certain end-users as
authorized by sections 740.17(a) and 740.17(b)(1)(i), or for certain
encryption items as authorized by section 740.17(b)(1)(ii).
    This rule also makes slight editorial corrections to sections
740.9(c)(3), 740.13(d)(2), 740.17(b)(2)(ii) and 740.17(e)(1)(i)(C).

Part 742

    The second sentence in paragraph (b)(1) of section 742.15 is
revised and the fourth sentence removed to conform to the new mandatory
SNAP-R procedures (published August 21, 2008, effective October 20,
2008, 73 FR 49323) for submission of review requests.
    Supplement No. 6 to part 742 ``Guidelines for Submitting Review
Requests for Encryption Items'' is amended by removing the fourth and
fifth sentences of the introductory paragraph to harmonize with the new
mandatory SNAP-R procedures (published August 21, 2008, effective
October 20, 2008, 73 FR 49323) for submission of review requests. This
rule adds text to introductory paragraph (a), which was inadvertently
omitted in the October 3 rule, explaining that appropriate technical
information must accompany the review request. This language was in the
introductory paragraph to Supplement 6 prior to the October 3
publication. The intent was to move it to paragraph (a) where it would
be more visible. Instead it was inadvertently removed. Also, paragraph
(c)(6) is corrected to refer to ECC (elliptic curve cryptography), as
opposed to ECCN (Export Control Classification Number).

Part 744

    The fifth sentence in paragraph (a)(1) of section 744.1 of the EAR
is removed, because it refers to section 744.9, which was removed by
the October 3 encryption simplification rule.

Part 772

    Exporters have been confused by the Nota Bene to the ``personal
area network'' (PAN) definition. This rule deletes some of the text in
that note for clarity. In one of the deleted sentences, the words
``enterprise'' and ``long range'' in the absence of a specific 30 meter
range limitation could be read to include intermediate-range devices.
What is authorized by section 740.17(b)(4)(iii) are certain ``PAN''
items with nominal operating ranges not exceeding 30 meters. This rule
deletes other text where the language could also be misunderstood to
describe items clearly not eligible for section 740.17(b)(4)(iii)
treatment. ``PAN'' items are not necessarily eligible for section

740.17(b)(4)(iii). Eliminating the confusing examples should help the
public understand why a ``data capable wireless telephone'', for
example, is not eligible for section 740.17(b)(4)(iii) self-
classification.
    In addition, this rule revises the Nota Bene for the term
``ancillary cryptography'' by making editorial clarifications, as well
as adding a footnote to clarify that for the purpose of this
definition, the term `transportation systems' does not include any
Automatic Identification System (AIS)/Vessel Traffic Service (VTS).
Secure AIS/VTS and their maritime applications are not considered
``ancillary cryptography''.

Supplement No. 1 to Part 774--Commerce Control List

    ECCN 5B002 is amended by adding License Exception ENC to the
License Exception section to clarify that this ECCN may be considered
for License Exception ENC eligibility.
    ECCN 5E002 is amended by adding License Exception ENC to the
License Exception section to clarify that this ECCN may be considered
for License Exception ENC eligibility.
    ECCN 5E992 is amended by inserting ``according to the General
Technology Note'' into the heading to more clearly define the scope of
this ECCN.
    Although the Export Administration Act expired on August 20, 2001,
the President, through Executive Order 13222 of August 17, 2001, 3 CFR,
2001 Comp., p. 783 (2002), as extended by the Notice of August 13, 2009
(74 Fed. Reg. 41,325 (August 14, 2009)), has continued the Export
Administration Regulations in effect under the International Emergency
Economic Powers Act.

Rulemaking Requirements

    1. This final correction rule has been determined to be significant
for purposes of Executive Order 12866.
    2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with a collection of information subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.) (PRA), unless that collection of information displays a currently
valid Office of Management and Budget (OMB) Control Number. This rule
involves two collections of information subject to the PRA. One of the
collections has been approved by OMB under control number 0694 0088,
``Multi Purpose Application,'' and carries a burden hour estimate of 58
minutes for a manual or electronic submission. The other collection has
been approved by OMB under control number 0694-0104, ``Commercial
Encryption Items Under the Jurisdiction of the Department of
Commerce,'' and carries a burden hour estimate of 7 hours for a manual
or electronic submission. Send comments regarding these burden
estimates or any other aspect of these collections of information,
including suggestions for reducing the burden, to Jasmeet Seehra, OMB
Desk Officer, by e-mail at<EMAIL_ADDRESS>or by fax to (202) 395-
7285; and to the Office of Administration, Bureau of Industry and
Security, Department of Commerce, 14th and Pennsylvania Avenue, NW.,
Room 6622, Washington, DC 20230.
    3. This rule does not contain policies with Federalism implications
as that term is defined under Executive Order 13132.
    4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military and foreign affairs
function of the United States (5 U.S.C. 553(a)(1)). Further, no other
law requires that a notice of proposed rulemaking and an opportunity
for public comment be given for this final rule. Because a notice of
proposed rulemaking and an opportunity for public comment are not
required to be given for this rule under the Administrative Procedure
Act or by any other law, the analytical requirements of the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.) are not applicable. Therefore,
this correction regulation is issued in final form. Although there is
no formal comment period, public comments on this regulation are
welcome on a continuing basis. Comments should be submitted to Sharron
Cook, Office of Exporter Services, Bureau of Industry and Security,
Department of Commerce, 14th and Pennsylvania Ave., NW., Room 2705,
Washington, DC 20230.

List of Subjects

15 CFR Part 730

    Administrative practice and procedure, Advisory committees,
Exports, Reporting and recordkeeping requirements, Strategic and
critical materials.

15 CFR Part 734

    Administrative practice and procedure, Exports, Inventions and
patents, Research Science and technology.

15 CFR Parts 738 and 772

    Exports.

15 CFR Part 740

    Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.

15 CFR Part 742

    Exports, Terrorism.

15 CFR Part 744

    Exports, Reporting and recordkeeping requirements, Terrorism.

15 CFR Part 774

    Exports, Reporting and recordkeeping requirements.

0
Accordingly, parts 730, 734, 738, 740, 742, 744, 772, and 774 of the
Export Administration Regulations (15 CFR parts 730-774) are amended as
follows:

PART 730--[AMENDED]

0
1. The authority citation for part 730 continues to read as follows:

    Authority:  50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 7420; 10 U.S.C. 7430(e); 22 U.S.C. 287c; 22 U.S.C. 2151
note; 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 30 U.S.C. 185(s),
185(u); 42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C.
app. 466c; 50 U.S.C. app. 5; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210;
E.O. 11912, 41 FR 15825, 3 CFR, 1976 Comp., p. 114; E.O. 12002, 42
FR 35623, 3 CFR, 1977 Comp., p. 133; E.O. 12058, 43 FR 20947, 3 CFR,
1978 Comp., p. 179; E.O. 12214, 45 FR 29783, 3 CFR, 1980 Comp., p.
256; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12854,
58 FR 36587, 3 CFR, 1993 Comp., p. 179; E.O. 12918, 59 FR 28205, 3
CFR, 1994 Comp., p. 899; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp.,
p. 950; E.O. 12947, 60 FR 5079, 3 CFR, 1995 Comp., p. 356; E.O.
12981, 60 FR 62981, 3 CFR, 1995 Comp., p. 419; E.O. 13020, 61 FR
54079, 3 CFR, 1996 Comp., p. 219; E.O. 13026, 61 FR 58767, 3 CFR,
1996 Comp., p. 228; E.O. 13099, 63 FR 45167, 3 CFR, 1998 Comp., p.
208; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 13224,
66 FR 49079, 3 CFR, 2001 Comp., p. 786; E.O. 13338, 69 FR 26751, May
13, 2004; Notice of August 13, 2009, 74 FR 41,325 (August 14, 2009);
November 10, 2008, 73 FR 67097 (November 12, 2008).

Sec.  730.5  [Amended]

0
2. Section 730.5 is amended by removing the last sentence in paragraph
(d).

PART 734--[AMENDED]

0
3. The authority citation for part 734 continues to read as follows:

    Authority:  50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13020, 61
FR 54079, 3 CFR, 1996 Comp., p. 219; E.O. 13026, 61 FR 58767, 3 CFR,
1996 Comp., p.

228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of
August 13, 2009, 74 FR 41,325 (August 14, 2009); November 10, 2008,
73 FR 67097 (November 12, 2008).

0
4. Section 734.4 is amended by:
0
a. Revising paragraphs (b)(1)(ii), and (b)(1)(iii);
0
b. Adding a new paragraph (b)(1)(iv); and
0
c. Revising paragraph (b)(2) and the note to paragraph (b) to read as
follows:

Sec.  734.4  De Minimis U.S. Content.

* * * * *
    (b) * * *
    (1) * * *
    (ii) Authorized for License Exception ENC by BIS after a review
pursuant to Sec.  740.17(b)(3) of the EAR;
    (iii) Authorized for License Exception ENC by BIS after a review
pursuant to Sec.  740.17(b)(2), and the foreign made product will not
be sent to any destination in Country Group E:1 in Supplement No. 1 to
part 740 of the EAR; or
    (iv) Authorized for License Exception ENC pursuant to Sec.
740.17(b)(4).
    (2) U.S. origin encryption items classified under ECCNs 5A992,
5D992, or 5E992.

    Note to paragraph (b):  See supplement No. 2 to this part for de
minimis calculation procedures and reporting requirements.

* * * * *

Sec.  734.5  [Amended]

0
5. Section 734.5 is amended by removing paragraph (c).

PART 738--[AMENDED]

0
6. The authority citation for part 738 continues to read as follows:

    Authority:  50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 7420; 10 U.S.C. 7430(e); 22 U.S.C. 287c; 22 U.S.C. 3201 et
seq.; 22 U.S.C. 6004; 30 U.S.C. 185(s), 185(u); 42 U.S.C. 2139a; 42
U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C. app. 466c; 50 U.S.C. app. 5;
22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 13026, 61 FR 58767, 3
CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp.,
p. 783; Notice of August 13, 2009, 74 FR 41,325 (August 14, 2009).

0
7. Section 738.4 is amended by revising paragraph (a)(2)(ii)(B) to read
as follows:

Sec.  738.4  Determining whether a license is required.

    (a) * * *
    (2) * * *
    (ii) * * *
    (B) If no, a license is not required based on the particular Reason
for Control and destination. Provided that General Prohibitions Four
through Ten do not apply to your proposed transaction and the License
Requirement section does not refer you to any other part of the EAR to
determine license requirements. For example, any applicable review
requirements described in Sec.  742.15(b) of the EAR must be met for
certain mass market encryption items to effect your shipment using the
symbol ``NLR.'' Proceed to parts 758 and 762 of the EAR for information
on export clearance procedures and recordkeeping requirements. Note
that although you may stop after determining a license is required
based on the first Reason for Control, it is best to work through each
applicable Reason for Control. A full analysis of every possible
licensing requirement based on each applicable Reason for Control is
required to determine the most advantageous License Exception available
for your particular transaction and, if a license is required,
ascertain the scope of review conducted by BIS on your license
application.
* * * * *

PART 740--[AMENDED]

0
8. The authority citation for part 740 continues to read as follows:

    Authority:  50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 7201 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp.,
p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice
of August 13, 2009, 74 Fed. Reg. 41325 (August 14, 2009).

Sec.  740.9  [Amended]

0
9. Section 740.9 is amended by revising the citation ``742.15(b)(2)''
to read ``742.15(b)'' in paragraph (c)(3).

0
10. Section 740.13 is amended by revising the last two sentences of
paragraph (d)(2) to read as follows:

Sec.  740.13  Technology and Software--Unrestricted (TSU).

* * * * *
    (d) * * *
    (2) Exclusions. * * * (Once such mass market encryption software
has been reviewed by BIS and released from ``EI'' and ``NS'' controls
pursuant to Sec.  742.15(b) of the EAR, it is controlled under ECCN
5D992.c and is thus outside the scope of License Exception TSU.) See
Sec.  742.15(b) of the EAR for exports and reexports of mass market
encryption products controlled under ECCN 5D992.c.
* * * * *

0
11. Section 740.17 is amended by:
0
a. Removing the phrase ``(excluding source code)'' from paragraph
(b)(1)(i);
0
b. Revising paragraph (b)(1)(ii);
0
c. Revising the introductory paragraph to (b)(2);
0
d. Removing the phrase ``encryption source code that is not otherwise
eligible'' and adding the phrase ``encryption source code is not
otherwise eligible'' in its place in paragraph (b)(2)(ii);
0
e. Removing the phrase ``Supplement No. 3 to this part or'' in
paragraph (b)(3);
0
f. Adding a new first sentence to paragraph (b)(4) introductory text;
0
g. Revising paragraph (b)(4)(ii); and
0
h. Adding a comma after ``open cryptographic interface'', and removing
the phrase ``exported to a foreign developer'' and adding the phrase
``to a foreign developer'' in its place in paragraph (e)(1)(i)(C).
    The revisions and additions read as follows:

Sec.  740.17  Encryption Commodities, Software and Technology (ENC).

* * * * *
    (b) * * *
    (1) * * *
    (ii) Export and reexport to countries not listed in Supplement No.
3 of this part. License Exception ENC authorizes the export and
reexport of the following commodities and software (except certain
exports and reexports to ``government end-users'' as further described
in paragraph (b)(2) of this section, or any ``open cryptographic
interface'' item):
* * * * *
    (2) Review required with 30 day wait (non-``government end-users''
only). Thirty (30) days after your review request is registered with
BIS in accordance with paragraph (d) of this section and subject to the
reporting requirements in paragraph (e) of this section, License
Exception ENC authorizes the export or reexport of the following
commodities and software to ``government end-users'' located or
headquartered in a country listed in Supplement 3 to this part, and
also to non-``government end-users'' located in a country not listed in
Country Group E:1 of Supplement No. 1 to part 740 of the EAR:
* * * * *
    (4) Items excluded from review requirements. License Exception ENC
authorizes the export and reexport of the commodities and software
described in this paragraph (b)(4) without review (for encryption
reasons) by BIS, except that paragraph (b)(4)(ii) of this section does
not authorize exports from the United States of foreign products
developed with or incorporating U.S.-origin encryption source code,
components, or toolkits.
* * * * *
    (ii) Foreign products developed with or incorporating U.S.-origin
encryption

source code, components, or toolkits. Foreign products developed with
or incorporating U.S.-origin encryption source code, components or
toolkits that are subject to the EAR, provided that the U.S.-origin
encryption items have previously been reviewed and authorized by BIS
(or else authorized for export under License Exception TSU upon meeting
the notification requirements of section 740.13(e) of the EAR, without
need for further review) and the cryptographic functionality has not
been changed. Such products include foreign-developed products that are
designed to operate with U.S. products through a cryptographic
interface.
* * * * *

PART 742--[AMENDED]

0
12. The authority citation for part 742 continues to read as follows:

    Authority:  50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22 U.S.C. 7201 et seq.; 22
U.S.C. 7210; Sec 1503, Pub. L. 108-11, 117 Stat. 559; E.O. 12058, 43
FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR,
1993 Comp., p. 608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p.
950; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222,
66 FR 44025, 3 CFR, 2001 Comp., p. 783; Presidential Determination
2003-23 of May 7, 2003, 68 FR 26459, May 16, 2003; Notice of August
13, 2009, 74 Fed. Reg. 41,325 (August 14, 2009); November 10, 2008,
73 FR 67097 (November 12, 2008).

0
13. Section 742.15 is amended by:
0
a. Revising the second sentence and removing the fourth sentence in
paragraph (b)(1); and
0
b. Adding a Note in parentheses after the first sentence in paragraph
(b)(2).
    The revision and addition read as follows:

Sec.  742.15  Encryption items.

* * * * *
    (b) * * *
    (1) Procedures for requesting review. * * * Review requests must be
submitted to BIS in accordance with Sec. Sec.  748.1 and 748.3 of the
EAR. See paragraph (r) of Supplement No. 2 to part 748 of the EAR for
special instructions about this submission. Submissions to the ENC
Encryption Request Coordinator should be directed to the mailing
address indicated in Sec.  740.17(e)(1)(ii) of the EAR. BIS will notify
you if there are any questions concerning your request for review
(e.g., because of missing or incompatible support documentation). * * *
    (2) Action by BIS. * * * (Note that once a mass market review
request is submitted, there is no waiting period for export or reexport
under License Exception ENC to certain end users as authorized by
Sec. Sec.  740.17(a) and (b)(1)(i), or for certain items as authorized
by Sec.  740.17(b)(1)(ii), while the mass market request is pending
review with BIS.) * * *
* * * * *

0
14. Supplement No. 6 to part 742 is amended by:
0
a. Revising the introductory text;
0
b. Adding paragraph (a) introductory text; and
0
c. Revising the acronym ``ECCN'' to read ``ECC'' in paragraph (c)(6).
    The revision and addition read as follows:

Supplement No. 6 to Part 742--Guidelines for Submitting Review Requests
for Encryption Items

    Review requests for encryption items must include all of the
documentation described in this supplement and be submitted to BIS
in accordance with Sec. Sec.  748.1 and 748.3 of the EAR. To ensure
that your review request is properly routed, insert the phrase
``Mass market encryption'', ``License Exception ENC'' or ``Other
Encryption'' (whichever is applicable) in Block 9 (Special Purpose)
of the application form and place an ``X'' in the box marked
``Classification Request'' in Block 5 (Type of Application)--Block 5
does not provide a separate item to check for the submission of
encryption review requests. Failure to properly complete these items
may delay consideration of your review request.
    In addition, you must send a copy of your review request and all
support documents to: Attn: ENC Encryption Request Coordinator, 9800
Savage Road, Suite 6940, Fort Meade, MD 20755-6000.
    If you intend to rely on the 30 day registration provisions of
the regulations, express mail certification of these documents is
needed.
    (a) For all review requests of encryption items, you must
provide brochures or other documentation or specifications related
to the technology, commodity or software, relevant product
descriptions, architecture specifications, and as necessary for the
technical review, source code. In addition, you must provide the
following information in a cover letter accompanying your review
request:
* * * * *

PART 744--[AMENDED]

0
15. The authority citation for part 744 continues to read as follows:

    Authority:  50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22 U.S.C. 7201 et seq.; 22
U.S.C. 7210; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179;
E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59
FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 12947, 60 FR 5079, 3 CFR,
1995 Comp., p. 356; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13099, 63 FR 45167, 3 CFR, 1998 Comp., p. 208; E.O. 13222,
66 FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 13224, 66 FR 49079, 3
CFR, 2001 Comp., p. 786; Notice of August 13, 2009, 74 FR 41,325
(August 14, 2009); November 10, 2008, 73 FR 67097 (November 12,
2008).

Sec.  744.1  [Amended]

0
16. Section 744.1 is amended by removing the fifth sentence in
paragraph (a)(1).

PART 772--[AMENDED]

0
17. The authority citation for part 772 continues to read as follows:

    Authority:  50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August
13, 2009, 74 FR 41,325 (August 14, 2009).

0
18. In section 772.1 the definition for ``ancillary cryptography'' is
amended by revising the Nota Bene (N.B.) and the definition for
``personal area network'' is amended by revising the Nota Bene to read
as follows:

Sec.  772.1  Definitions of terms as used in the Export Administration
Regulations (EAR).

* * * * *
    ``Ancillary cryptography''. * * *

    N.B. Examples of commodities and software that perform
``ancillary cryptography'' are items specially designed and limited
to: Piracy and theft prevention for software, music, etc.; games and
gaming; household utilities and appliances; printing, reproduction,
imaging and video recording or playback (but not videoconferencing);
business process modeling and automation (e.g., supply chain
management, inventory, scheduling and delivery); industrial,
manufacturing or mechanical systems (including robotics, other
factory or heavy equipment, and facilities systems controllers, such
as fire alarms and HVAC); automotive, aviation and other
transportation systems.\1\ Commodities and software included in this
description are not limited to wireless communication and are not
limited by range or key length.

    \1\ For the purpose of this definition, the term
``transportation systems'' does not include any Automatic
Identification System (AIS)/Vessel Traffic Service (VTS). Secure
AIS/VTS and their maritime applications are not considered
``ancillary cryptography''.
---------------------------------------------------------------------------

* * * * *
    ``Personal area network''. * * *

    N.B. ``Personal area network'' items include but are not limited
to items designed to comply with the Institute of Electrical and
Electronic Engineers (IEEE) 802.15.1 standard, class 2 (10 meters)
and class 3 (1 meter), but not class 1 (100 meters) items. IEEE
802.15.1 class 2 and class 3 devices include hands-free headsets,
wireless mice, keyboards and printers, bar code scanners and game
console wireless controllers, as well as devices or software for
transfer of files between devices using Object Exchange (OBEX).
* * * * *

PART 774--[AMENDED]

0
19. The authority citation for part 774 continues to read as follows:

    Authority:  50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 7420; 10 U.S.C. 7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et
seq., 22 U.S.C. 6004; 30 U.S.C. 185(s), 185(u); 42 U.S.C. 2139a; 42
U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C. app. 466c; 50 U.S.C. app. 5;
22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 13026, 61 FR 58767, 3
CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp.,
p. 783; Notice of August 13, 2009, 74 FR 41,325 (August 14, 2009).

0
20. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5 Telecommunications and ``Information Security'', Part 2
Information Security, Export Control Classification Number (ECCN) 5B002
is amended by revising the License Exception section to read as
follows:

    5B002 Information Security--test, inspection and ``production''
equipment.
* * * * *

License Exceptions

    LVS: N/A
    GBS: N/A
    CIV: N/A
    ENC: Yes for certain EI controlled equipment, see Sec.  740.17
of the EAR for eligibility.
* * * * *

0
21. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5 Telecommunications and ``Information Security'', Part 2
Information Security, Export Control Classification Number (ECCN) 5E002
is amended by revising the License Exception section to read as
follows:

    5E002 ``Technology'' according to the General Technology Note
for the ``development'', ``production'' or ``use'' of equipment
controlled by 5A002 or 5B002 or ``software'' controlled by 5D002.
* * * * *

License Exceptions

    CIV: N/A
    TSR: N/A
    ENC: Yes for certain EI controlled technology, see Sec.  740.17
of the EAR for eligibility.
* * * * *

0
22. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5 Telecommunications and ``Information Security'', Part 2
Information Security, Export Control Classification Number (ECCN) 5E992
is amended by revising the Heading to read as follows:

    5E992 ``Information Security'' ``technology'' according to the
General Technology Note, not controlled by 5E002.
* * * * *

    Dated: October 7, 2009.
Matthew S. Borman,
Acting Assistant Secretary for the Bureau of Industry and Security.
[FR Doc. E9-24697 Filed 10-14-09; 8:45 am]

BILLING CODE 3510-33-P


[Federal Register Volume 84, Number 177 (Thursday, September 12, 2019)]
[Notices]
[Page 48150]
[FR Doc No: 2019-19766]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2019-N-4069]

Science Board to the Food and Drug Administration Advisory
Committee; Notice of Meeting

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA) announces a forthcoming
public advisory committee meeting of the Science Board to the Food and
Drug Administration. The Science Board provides advice to the
Commissioner of Food and Drugs and other appropriate officials on
specific, complex scientific and technical issues important to FDA and
its mission, including emerging issues within the scientific community.
Additionally, the Science Board provides advice to the Agency on
keeping pace with technical and scientific developments including in
regulatory science, input into the Agency's research agenda, and on
upgrading its scientific and research facilities and training
opportunities. It will also provide, where requested, expert review of
Agency sponsored intramural and extramural scientific research
programs. The meeting will be open to the public.

DATES: The meeting will be held on October 7, 2019, from 9 a.m. to 2:30
p.m.

ADDRESSES: FDA White Oak Campus, 10903 New Hampshire Ave., Bldg. 31
Conference Center, the Great Room (Rm. 1503, section C), Silver Spring,
MD 20993. For those unable to attend in person, the meeting will also
be webcast. The link for the webcast is available at https://collaboration.fda.gov/scienceboard2019/. Answers to commonly asked
questions including information regarding special accommodations due to
a disability, visitor parking, and transportation may be accessed at:
https://www.fda.gov/AdvisoryCommittees/AboutAdvisoryCommittees/ucm408555.htm.

FOR FURTHER INFORMATION CONTACT: Rakesh Raghuwanshi, Office of the
Chief Scientist, Office of the Commissioner, Food and Drug
Administration, 10903 New Hampshire Ave., Bldg. 1, Rm. 3309, Silver
Spring, MD 20993,<PHONE_NUMBER><EMAIL_ADDRESS>or FDA
Advisory Committee Information Line, 1-800-741-8138<PHONE_NUMBER> in
the Washington, DC area). A notice in the Federal Register about last
minute modifications that impact a previously announced advisory
committee meeting cannot always be published quickly enough to provide
timely notice. Therefore, you should always check the Agency's website
at https://www.fda.gov/AdvisoryCommittees/default.htm and scroll down
to the appropriate advisory committee meeting link, or call the
advisory committee information line to learn about possible
modifications before coming to the meeting.

SUPPLEMENTARY INFORMATION:
    Agenda: The Science Board will hear a response from the Center for
Biologics Evaluation and Research (CBER) to the recommendations made by
the Science Board's review of CBER's research program. The Science
Board will also discuss whether there are any relevant published
scientific studies that have become available since the 2011 Foods
Advisory Committee meeting that changes the state of knowledge
regarding any connection between children's consumption of foods
containing certified color additives and hyperactivity or other
behavioral effects.
    FDA intends to make background material available to the public no
later than 2 business days before the meeting. If FDA is unable to post
the background material on its website prior to the meeting, the
background material will be made publicly available at the location of
the advisory committee meeting, and the background material will be
posted on FDA's website after the meeting. Background material is
available at https://www.fda.gov/AdvisoryCommittees/Calendar/default.htm. Scroll down to the appropriate advisory committee meeting
link.
    Procedure: Interested persons may present data, information, or
views, orally or in writing, on issues pending before the committee.
Written submissions may be made to the contact person on or before
September 30, 2019. Oral presentations from the public will be
scheduled between approximately 2:30 p.m. and 3:30 p.m. Those
individuals interested in making formal oral presentations should
notify the contact person and submit a brief statement of the general
nature of the evidence or arguments they wish to present, the names and
addresses of proposed participants, and an indication of the
approximate time requested to make their presentation on or before
September 23, 2019. Time allotted for each presentation may be limited.
If the number of registrants requesting to speak is greater than can be
reasonably accommodated during the scheduled open public hearing
session, FDA may conduct a lottery to determine the speakers for the
scheduled open public hearing session. The contact person will notify
interested persons regarding their request to speak by September 26,
2019.
    Persons attending FDA's advisory committee meetings are advised
that the Agency is not responsible for providing access to electrical
outlets.
    FDA welcomes the attendance of the public at its advisory committee
meetings and will make every effort to accommodate persons with
disabilities. If you require accommodations due to a disability, please
contact Rakesh Raghuwanshi at least 7 days in advance of the meeting.
    FDA is committed to the orderly conduct of its advisory committee
meetings. Please visit our website at https://www.fda.gov/AdvisoryCommittees/AboutAdvisoryCommittees/ucm111462.htm for procedures
on public conduct during advisory committee meetings.
    Notice of this meeting is given under the Federal Advisory
Committee Act (5 U.S.C. app. 2).

    Dated: September 6, 2019.
Lowell J. Schiller,
Principal Associate Commissioner for Policy.
[FR Doc. 2019-19766 Filed 9-11-19; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register Volume 76, Number 151 (Friday, August 5, 2011)]
[Notices]
[Page 47573]
[FR Doc No: 2011-19938]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Notice of Effectiveness of Exempt Wholesale Generator Status

------------------------------------------------------------------------
                                                            Docket Nos.
------------------------------------------------------------------------
Bayonne Energy Center, LLC..............................     EG11-80-000
Long Island Solar Farm, LLC.............................     EG11-81-000
Evergreen Gen Lead, LLC.................................     EG11-82-000
Alta Wind IV Owner Lessor A.............................     EG11-83-000
Alta Wind IV Owner Lessor B.............................     EG11-84-000
Alta Wind IV Owner Lessor C.............................     EG11-85-000
Alta Wind IV Owner Lessor D.............................     EG11-86-000
Sherbino II Wind Farm LLC...............................     EG11-87-000
Tanner Street Generation, LLC...........................     EG11-88-000
Inversiones E[oacute]licasEolicas, S. de R. L. de C.V...      FC11-6-000
------------------------------------------------------------------------

    Take notice that during the month July 2011, the status of the
above-captioned entities as Exempt Wholesale Generators or Foreign
Utility Companies became effective by operation of the Commission's
regulations. 18 CFR 366.7(a).

    Dated: August 1, 2011.
Kimberly D. Bose,
Secretary.
[FR Doc. 2011-19938 Filed 8-4-11; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 211 (Monday, November 2, 2015)]
[Notices]
[Pages 67443-67446]
[FR Doc No: 2015-27796]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-76277; File No. SR-NYSE-2015-48]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing of Proposed Rule Change Deleting Rule 410B Governing
Reporting Requirements for Off-Exchange Transactions

 October 27, 2015.
    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 October 16, 2015, 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,
II, and III below, which Items have been prepared by the self-
regulatory organization. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

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

    The Exchange proposes to delete Rule 410B governing reporting
requirements for off-Exchange transactions. The text of the proposed
rule change is available on the Exchange's Web site at www.nyse.com, at
the principal office of the Exchange, and at the Commission's Public
Reference Room.

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

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

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

1. Purpose
    The Exchange proposes to delete Rule 410B, which sets forth certain
regulatory reporting requirements for member or member organizations
effecting off-Exchange transactions in Exchange listed securities that
are not reported to the Consolidated Tape, and to make conforming
amendments to Rule 9217 to delete a reference to Rule 410B.
Background
Rule 410B
    Currently, Rule 410B requires members or member organizations to
report to the Exchange transactions in NYSE-listed securities effected
for the account of a member or member organization, or for the account
of a customer of a member or member organization, that are not reported
to the Consolidated Tape. Reports prepared pursuant to the Rule must
contain the following information:
     Time and date of the transaction;
     stock symbol of the listed security;
     number of shares;
     price;
     marketplace where the transaction was executed;
     an indication whether the transaction was a buy (B), sell
(S) or cross (C);
     an indication whether the transaction was executed as
principal or agent; and
     the name of the contra-side broker-dealer to the trade.\4\
---------------------------------------------------------------------------

    \4\ See Rule 410B.
---------------------------------------------------------------------------

    Rule 410B was adopted in 1992. At the time, transactions in NYSE-
listed stocks effected outside of business hours or in foreign markets
were not reported to the Consolidated Tape and, with the exception of
program trading information, were not reported to the Exchange. The
Exchange (then the New York Stock Exchange, Inc.) believed that ``all
transactions in NYSE-listed stocks that are not reported to the
Consolidated Tape should be reported to the Exchange in order to
provide an accurate record of overall trading activity in NYSE-listed
stocks.'' \5\ The Rule 410B reporting requirement would thus ``augment
and enhance'' the Exchange's ability to ``surveil for and investigate,
among other matters, insider trading, frontrunning and manipulative
activities'' and ``provide a more complete audit trail and depiction of
member trading in each NYSE-listed stock, which should facilitate
surveillance by the Exchange in NYSE-listed stocks.'' \6\
---------------------------------------------------------------------------

    \5\ See Securities Exchange Act Release No. 31358 (October 26,
1992), 57 FR 1294 (January 6, 1992) (SR-NYSE-91-45) (``Rule 410B
Approval Order'').
    \6\ See id., 57 FR at 1294.
---------------------------------------------------------------------------

    Despite the significant changes to the marketplace and the
regulatory landscape in the ensuing decades, Rule 410B has not been
substantively amended since it was adopted.\7\
---------------------------------------------------------------------------

    \7\ Rule 410B was amended in 2007 in connection with a filing
updating the definition of program trading in Rule 80A.40(b) to make
conforming changes to the rule. See Securities Exchange Act Release
No. 55793 (May 22, 2007), 72 FR 29567 (May 29, 2007) (SR-NYSE-2007-
34).
---------------------------------------------------------------------------

Changes to Regulatory Landscape
    On July 30, 2007, the NASD, NYSE, and NYSE Regulation, Inc. (``NYSE
Regulation'') consolidated their member firm regulation operations to
create the Financial Industry Regulatory Authority, Inc. (``FINRA''),
and entered into a plan to allocate to FINRA regulatory responsibility
for common rules and common members (``17d-2

Agreement'').\8\ In 2008, the parties also entered into a plan to
allocate regulatory responsibility over common NYSE members to NYSE
Regulation for surveillance, investigation, and enforcement of insider
trading with respect to NYSE-listed stocks, among others, irrespective
of where the relevant trading occurred (the ``Insider Trading
Plan'').\9\ On June 14, 2010, FINRA was retained to perform the
residual market surveillance and enforcement functions that had, up to
that point, been performed by NYSE Regulation.\10\ In January 2011, the
SEC approved an amendment to the Insider Trading Plan whereby FINRA
also assumed responsibility for performing the insider trading-related
market surveillance and enforcement functions previously conducted by
NYSE Regulation for its U.S. equities and options markets.\11\
---------------------------------------------------------------------------

    \8\ See Securities Exchange Act Release No. 56148 (July 26,
2007), 72 FR 42146 (August 1, 2007) (File No. 4-544) (Notice of
Filing and Order Approving and Declaring Effective a Plan for the
Allocation of Regulatory Responsibilities). In 2007, the parties
also entered into a Regulatory Services Agreement (``RSA''), whereby
FINRA was retained to perform certain regulatory services for non-
common rules.
    \9\ See Securities Exchange Act Release No. 58536 (September 12,
2008), 73 FR 54646 (September 22, 2008) (File No. 4-566). See also
Securities Exchange Act Release No. 58806 (October 17, 2008), 73 FR
63216 (October 23, 2008) (File No. 4-566).
    \10\ See note 8, supra; Securities Exchange Act Release No.
62355 (June 22, 2010), 75 FR 36729 (June 28, 2010) (SR-NYSE-2010-
46); Securities Exchange Act Release No. 62354 (June 22, 2010), 75
FR 36730 (June 28, 2010) (SR-NYSEAmex-2010-57).
    \11\ See Securities Exchange Act Release No. 63750 (January 21,
2011), 76 FR 4948 (January 27, 2011) (File No. 4-566).
---------------------------------------------------------------------------

Changes in Trade Reporting and Regulatory Reporting
    In 1998, FINRA (then the NASD) established the Order Audit Trail
System (OATS), as an integrated audit trail of order, quote, and trade
information for OTC equity securities and equity securities listed and
traded on The Nasdaq Stock Market, Inc. (``Nasdaq'').\12\ In 2010, in
order to enhance the scope of the order audit trail in the U.S. equity
markets following the creation of FINRA, FINRA Rules 7410 through 7470
(the ``OATS Rules'') were amended to extend the recording and reporting
requirements to all NMS stocks, as that term is defined in Rule
600(b)(47) of Regulation NMS,\13\ including NYSE-listed securities. The
Exchange adopted the OATS Rules in 2011.\14\ FINRA may utilize the
information it collects pursuant to the OATS Rules to perform its
regulatory functions.
---------------------------------------------------------------------------

    \12\ See Securities Exchange Act Release No. 39729 (March 6,
1998), 63 FR 12559 (March 13, 1998) (SR-NASD-97-56).
    \13\ See Securities Exchange Act Release No. 63311 (November 12,
2010), 75 FR 70757 (November 18, 2010) (SR-FINRA-2010-044) (``OATS
Extension Approval Order''). By capturing OATS information for all
NMS stocks, FINRA noted that it would be able to expand its existing
surveillance patterns to conduct more comprehensive cross-market
surveillance in furtherance of the Exchange's outsourcing of its
surveillance and other regulatory functions to FINRA. See id. at
70758. The Commission observed extending OATS to all NMS stocks was
calculated to ``enhance FINRA's market surveillance and
investigative capabilities'' and in turn ``enhance FINRA's oversight
of the U.S. equities markets.'' Id.
    \14\ See Securities Exchange Act Release No. 65523 (October 7,
2011), 76 FR 64154 (October 17, 2011) (SR-NYSE-2011-49). The
Commission noted that member and member organizations that are also
FINRA members (``Dual Members'') need only report OATS information
to FINRA once to meet both the FINRA and NYSE OATS requirements. See
id. at 64155. Further, the Commission noted that NYSE member
organizations that were not members of FINRA were also members of
NASDAQ (this is still the case today, see note 21, infra), and, as
such, were subject to certain OATS obligations for proprietary
trading firms under the NASDAQ Rule 6950 Series that were
``substantially similar'' to the NASDAQ OATS requirements for the
same firms. See id. OATS information for NYSE-only member firms is
available for FINRA to utilize for regulatory purposes.
---------------------------------------------------------------------------

    Rule 410B also predates the establishment of a FINRA Trade
Reporting Facility (``TRF''). FINRA Rule 6110 requires FINRA members to
report transactions in NMS stocks \15\ effected ``otherwise than on or
through a national securities exchange.'' \16\ Pursuant to FINRA Rules
6310A and 6310B, FINRA members may use either the FINRA/NYSE TRF or
FINRA/Nasdaq TRF to report such off-Exchange transactions.\17\ FINRA
members using these TRFs to report off-Exchange transactions are in
turn subject to FINRA Rule 7230B, which imposes transaction information
reporting requirements similar to Rule 410B.\18\ As a result, Dual
Members must report off-Exchange transactions to a TRF and submit
substantially similar reports to the NYSE and FINRA.
---------------------------------------------------------------------------

    \15\ As defined in Rule 600(b)(47) of SEC Regulation NMS.
    \16\ See FINRA Rule 6110. See generally FINRA Rule 6300A and
7200A Series (FINRA/Nasdaq TRF) and 6300B and 7200B Series (FINRA/
NYSE TRF). Transactions in non-NMS stocks such as OTC Markets
securities, ADRs, Canadian issues, foreign securities and non-
exchange-listed DPP securities and transactions in Restricted Equity
Securities pursuant to Securities Act Rule 144A are governed by the
FINRA Rule 6620 and 7300 Series and must be reported to FINRA's OTC
Reporting Facility or ORF. FINRA's rules expressly provide that
certain types of transactions need not to be reported for
publication or regulatory purposes, including transactions in
foreign equity securities executed on and reported to a foreign
securities exchange or executed OTC in a foreign country and
reported to that country's securities regulator. See Trade Reporting
Frequently Asked Questions, Section 500, Q/A500:1 & Section 701, Q/
A701.1, available at http://www.finra.org/industry/trade-reporting-faq.
    \17\ See FINRA Rules 6300A & 6300B.
    \18\ See Rule 7230B. Specifically, the following information
must be submitted for each transaction: (1) Security Identification
Symbol of the eligible security (SECID); (2) number of shares or
bonds; (3) unit price, excluding commissions, mark-ups or mark-
downs; (4) time of execution expressed in hours, minutes and seconds
based on Eastern Time in military format, unless another provision
of FINRA rules requires that a different time be included on the
report; (5) a symbol indicating whether the party submitting the
trade report represents the Reporting Member (denoted as the
Executing Party or ``EPID'') side or the Non-Reporting Party
(denoted as the Contra Party or ``CPID'') side; (6) a symbol
indicating whether the transaction is a buy, sell or cross, and if
applicable, a symbol indicating that the transaction is a sell short
or sell short exempt trade from the Reporting Member perspective or
contra side perspective, irrespective of whether the contra side is
a member; (7) a symbol indicating whether the trade is as principal,
riskless principal, or agent; (8) reporting side Clearing Broker (if
other than normal Clearing Broker); (9) reporting side executing
broker in the case of a give up agreement, as defined in Rule
6380B(g); (10) contra side executing broker; (11) contra side
Introducing Broker in the case of a give up agreement, as defined in
Rule 6380B(g); and (12) contra side Clearing Broker (if other than
normal Clearing Broker). For any transaction for which a member has
recording and reporting obligations under Rules 7440 and 7450, the
trade report must include an order identifier, meeting such
parameters as may be prescribed by FINRA, assigned to the order that
uniquely identifies the order for the date it was received. See Rule
7440(b)(1).
---------------------------------------------------------------------------

Proposed Rule Change
    The Exchange proposes to delete Rule 410B in its entirety. Rule
410B is a regulatory rule intended to enhance audit trail quality and
improve surveillance and investigation of violative activities such as
market manipulation and insider trading. As noted above, since 2010,
surveillance and enforcement responsibilities across markets have been
consolidated at FINRA, which conducts cross-market surveillances on the
Exchange's behalf utilizing various data sources, including extensive
trade and other information that FINRA collects pursuant to its rules.
This trade information includes reports of off-exchange transactions.
All of the Exchange's member organizations, with only nine exceptions,
are members of FINRA and, as such, must report all off-exchange
transactions to FINRA, including transactions away from the NYSE that
are not reported to the Consolidated Tape. This information is
essentially duplicative of the Rule 410B reports the Exchange currently
supplies to FINRA. The one exception would be transactions in dually
listed securities executed on and reported to a foreign securities
exchange, which is not required to be reported because such trades are
executed ``on or through an exchange.'' \19\ The Exchange believes

such trades pose little regulatory risk and, given that no other
exchange has a rule comparable to Rule 410B, notes that such trades are
also not being reported to other equities exchanges. The Exchange
therefore believes that the rationale underlying the exclusion of these
foreign on-exchange trades in dually listed securities from its
reporting requirements should apply equally to NYSE-listed securities
in the absence of Rule 410B. Finally, only a handful of firms currently
account for all of the Rule 410B activity, all of whom are also FINRA
members.\20\ Rule 410B is thus no longer necessary, and deleting it
would eliminate essentially duplicative reporting of off-Exchange
transactions by Dual Members.
---------------------------------------------------------------------------

    \19\ See Trade Reporting Frequently Asked Questions, Section
701, Q/A701.1, available at http://www.finra.org/industry/trade-reporting-faq. See generally note 17, supra.
    \20\ Rule 410B Weekly Reports submitted to the SEC in July and
August 2015 reveal that only five firms, all also FINRA members,
accounted for all of the Rule 410B trading activity. Further, the
list of firms that have in the past submitted Rule 410B reports does
not include any non-FINRA members.
---------------------------------------------------------------------------

    The Exchange does not believe that eliminating the Rule 410B
reporting requirement for the small number of NYSE-only members \21\
would pose any significant regulatory risk. None of these firms has
ever submitted a Rule 410B report. As noted above, a smaller number of
Dual Member firms (five) account for all of the recent Rule 410B
trading activity.\22\ The Exchange believes that retaining a reporting
requirement for firms that have never triggered the requirement serves
no useful regulatory or other purpose. NYSE-only members would remain
subject to federal and Exchange books and records requirements.\23\
Information about any trades away from the Exchange by these firms
should thus available for regulatory review if needed.
---------------------------------------------------------------------------

    \21\ These nine non-FINRA member firms do not have any public
customers and are also members of Nasdaq. Under Exchange rules,
member organizations must be a member of FINRA or another registered
securities exchange. See Rule 2(b)(i).
    \22\ See note 19, supra.
    \23\ See 17 CFR 240.17a-3, 17 CFR 240.17a-4 & Rule 440.
---------------------------------------------------------------------------

    For the foregoing reasons, the Exchange believes that Rule 410B
should be deleted in its entirety.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\24\ in general, and furthers the
objectives of Section 6(b)(5) of the Act,\25\ in particular, because it
is designed to prevent fraudulent and manipulative acts and practices,
promote just and equitable principles of trade, remove impediments to
and perfect the mechanism of a free and open market and a national
market system, and protect investors and the public interest.
---------------------------------------------------------------------------

    \24\ 15 U.S.C. 78f(b).
    \25\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    In particular, the Exchange believes that eliminating Rule 410B
would remove impediments to and perfect the mechanism of a free and
open market and a national market system by eliminating duplicative
reporting by Dual Members of information those firms already provide to
FINRA. The Exchange believes that eliminating Rule 410B reporting would
not be inconsistent with the public interest and the protection of
investors because FINRA would continue to receive information from Dual
Members about off-Exchange transactions for incorporation in its cross-
market surveillances. Further, the Exchange believes that eliminating
Rule 410B reporting would not be inconsistent with the public interest
and the protection of investors because the small number of NYSE-only
firms that would no longer be subject to the reporting requirement have
never submitted a report under the Rule.
    The Exchange further believes that deleting corresponding
references to Rule 410B in another rule would remove impediments to and
perfects the mechanism of a free and open market by reducing potential
confusion and adding transparency and clarity to the Exchange's rules,
thereby ensuring that members, regulators and the public can more
easily navigate and understand the Exchange's rulebook.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The proposed rule change is
not intended to address competitive issues, but rather it is designed
to eliminate obsolete and duplicative regulatory reporting.

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

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

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

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSE-2015-48 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2015-48. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549 on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing will also be available
for inspection and copying at the NYSE's principal office and on its
Internet Web site at www.nyse.com. 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-NYSE-2015-48 and should be submitted on
or before November 23, 2015.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\26\
---------------------------------------------------------------------------

    \26\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-27796 Filed 10-30-15; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register: October 6, 2010 (Volume 75, Number 193)]
[Notices]
[Page 61721-61724]
[DOCID:fr06oc10-61]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

September 23, 2010.
    Take notice that the Commission received the following electric
corporate filings:

    Docket Numbers: EC10-101-000.
    Applicants: Hatchet Ridge Wind, LLC.
    Description: Hatchet Ridge Wind, LLC submits application approval
of a proposed sale- leaseback under section 203 of the Federal Power
Act.
    Filed Date: 09/22/2010.
    Accession Number: 20100923-0201.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

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

    Docket Numbers: ER10-1151-002.
    Applicants: AmerenEnergy Resources Generating Company.
    Description: AmerenEnergy Resources Generating Company submits
tariff filing per 35: AERG Correction to Baseline to be effective 5/3/
2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5165.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2168-001.
    Applicants: Pacific Gas and Electric Company.
    Description: Pacific Gas and Electric Company submits tariff filing
per 35: Compliance Filing to Revise Collinsville LGIA to be effective
10/9/2010.
    Filed Date: 09/17/2010.
    Accession Number: 20100917-5138.
    Comment Date: 5 p.m. Eastern Time on Friday, October 8, 2010.

    Docket Numbers: ER10-2710-001.
    Applicants: PJM Interconnection, LLC.
    Description: PJM Interconnection, LLC submits tariff filing per 35:
PJM Tariffs--Baseline Amendment of OATT, OA and RAA to be effective N/
A.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5018.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2713-001.
    Applicants: PJM Interconnection, LLC.
    Description: PJM Interconnection, LLC submits tariff filing per 35:
PJM Rate Schedules--Baseline Amendment to be effective N/A.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5021.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2746-001.
    Applicants: PJM Interconnection, LLC.
    Description: PJM Interconnection, LLC submits tariff filing per 35:
PJM Interregional Tariffs--Baseline Amendment to be effective N/A.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5019.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2854-000.
    Applicants: ConocoPhillips Company.
    Description: ConocoPhillips Company submits tariff filing per
35.12: Baseline to be effective 9/22/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5147.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2855-000.
    Applicants: Georgia Power Company.
    Description: Georgia Power Company submits tariff filing per 35.12:
Baseline Filing to be effective 9/22/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5152.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2856-000.
    Applicants: Ocean State Power II.
    Description: Ocean State Power II submits tariff filing per 35.12:
Ocean State Power II FERC Electric Tariff to be effective 11/22/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5163.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2857-000.
    Applicants: Gulf Power Company.
    Description: Gulf Power Company submits tariff filing per 35.12:
Baseline Filing to be effective 9/22/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5164.
    Comment Date: 5 p.m .Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2858-000.
    Applicants: Midwest Independent Transmission System Operator, Inc.
    Description: Midwest Independent Transmission System Operator, Inc.
submits tariff filing per 35.13(a)(2)(iii): 09-22-10 Attachment CC
revisions to be effective 11/21/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5166.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2859-000.
    Applicants: Mississippi Power Company.
    Description: Mississippi Power Company submits tariff filing per
35.12: Baseline Filing to be effective 9/22/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5167.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2860-000.
    Applicants: TC Ravenswood, LLC.
    Description: TC Ravenswood, LLC submits tariff filing per 35.12: TC
Ravenswood, LLC Market-Based Sale of Capacity, Energy and Ancillary
Services to be effective 11/22/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5168.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2861-000.
    Applicants: Fountain Valley Power, LLC.
    Description: Fountain Valley Power, LLC submits tariff filing per
35.12: Baseline MBR Tariff Filing of Fountain Valley Power, LLC to be
effective 9/23/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5169.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2862-000.
    Applicants: Harbor Cogeneration Company, LLC.
    Description: Harbor Cogeneration Company, LLC submits tariff filing
per 35.12: Baseline MBR Tariff Filing of Harbor Cogeneration Company,
LLC to be effective 9/23/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5170.

    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2863-000.
    Applicants: Las Vegas Cogeneration II, LLC.
    Description: Las Vegas Cogeneration II, L.L.C. submits tariff
filing per 35.12: Baseline MBR Tariff Filing of Las Vegas Cogeneration
II, LLC to be effective 9/23/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5171.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2864-000.
    Applicants: Las Vegas Cogeneration Limited Partnership.
    Description: Las Vegas Cogeneration Limited Partnership submits
tariff filing per 35.12: Baseline MBR Tariff Filing of Las Vegas
Cogeneration Limited Partnership to be effective 9/23/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5172.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2865-000.
    Applicants: TransCanada Energy Sales Ltd.
    Description: TransCanada Energy Sales Ltd. submits tariff filing
per 35.12: TransCanada Energy Sales Ltd. Rate Schedule FERC No. 1 to be
effective 11/22/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5173.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2866-000.
    Applicants: SWG Colorado, LLC.
    Description: SWG Colorado, LLC submits tariff filing per 35.12:
Baseline MBR Tariff Filing of SWG Colorado, LLC to be effective 9/23/
2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5174.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2867-000.
    Applicants: Valencia Power, LLC.
    Description: Valencia Power, LLC submits tariff filing per 35.12:
Baseline MBR Tariff Filing of Valencia Power, LLC to be effective 9/23/
2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5175.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2868-000.
    Applicants: TransCanada Hydro Northeast Inc.
    Description: TransCanada Hydro Northeast Inc. submits tariff filing
per 35.12: TransCanada Hydro Northeast Inc. Rate Schedule FERC No. 1 to
be effective 11/22/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5176.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2869-000.
    Applicants: Midwest Independent Transmission System Operator, Inc.
    Description: Midwest Independent Transmission System Operator, Inc.
submits tariff filing per 35.13(a)(2)(iii): Module B Cross Border Out
to be effective 11/22/2010.
    Filed Date: 09/22/2010.
    Accession Number: 20100922-5177.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 13, 2010.

    Docket Numbers: ER10-2870-000.
    Applicants: TransCanada Power Marketing Ltd.
    Description: TransCanada Power Marketing Ltd. submits Second
Revised Sheet No. 1, to be effective 11/22/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5000.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2871-000.
    Applicants: Keystone Power LLC.
    Description: Keystone Power LLC submits its baseline tariff, FERC
Electric Tariff No. 1, Volume No. 1, to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5001.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2872-000.
    Applicants: TransCanada Maine Wind Development Inc.
    Description: TransCanada Maine Wind Development Inc. submits Second
Revised Sheet No 1, to be effective 11/22/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5002.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2873-000.
    Applicants: Lexington Power & Light, LLC.
    Description: Lexington Power & Light, LLC submits Petition for
Acceptance of Initial Tariff, Waivers and Blanket Authorization.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-0205.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2874-000.
    Applicants: Echelon Investments Inc.
    Description: Echelon Investments Inc submits Petition for Approval
of Initial Market-Based Rate Tariff and Certain Blanket Authority and
Waivers.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-0204.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2875-000.
    Applicants: Keystone Power LLC.
    Description: Keystone Power LLC submits tariff filing per 35.12:
Keystone Power FERC Electric Tariff to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5017.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2876-000.
    Applicants: Louisiana Generating LLC.
    Description: Louisiana Generating LLC submits tariff filing per
35.12: Louisiana Generating FERC Electric Tariff to be effective 9/23/
2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5022.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2877-000.
    Applicants: Cobb Electric Membership Corporation.
    Description: Cobb Electric Membership Corporation submits tariff
filing per 35.12: Cobb Electric Baseline Tariff filing to be effective
9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5047.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2878-000.
    Applicants: Middleton Power LLC.
    Description: Middleton Power LLC submits tariff filing per 35.12:
Middleton Power FERC Electric Tariff to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5056.
    Comment Date: 5 p.m.Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2879-000.
    Applicants: Montville Power LLC.
    Description: Montville Power LLC submits tariff filing per 35.12:
Montville Power FERC Electric Tariff to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5058.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2880-000.
    Applicants: NEO Freehold LLC.
    Description: NEO Freehold LLC submits tariff filing per 35.12: NEO
Freehold FERC Electric Tariff to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5068.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2881-000.
    Applicants: Alabama Power Company.
    Description: Alabama Power Company submits its Tariff Title (Tariff

Database)--Market Based Rate Tariff, Volume No 4, to be effective 9/23/
2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5069.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2882-000.
    Applicants: Southern Power Company.
    Description: Southern Power Company submits tariff filing per
35.12: Baseline Filing to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5074.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2883-000.
    Applicants: Mississippi Power Company.
    Description: Mississippi Power Company submits tariff filing per
35.12: Baseline Filing to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5075.
    Comment Date: 5 p.m .Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2884-000.
    Applicants: Georgia Power Company.
    Description: Georgia Power Company submits tariff filing per 35.12:
Baseline Filing to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5076.
    Comment Date: 5 p.m .Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2885-000.
    Applicants: Gulf Power Company.
    Description: Gulf Power Company submits tariff filing per 35.12:
Baseline Filing to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5077.
    Comment Date: 5 p.m .Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2886-000.
    Applicants: Southern Turner Cimarron I, LLC.
    Description: Southern Turner Cimarron I, LLC submits tariff filing
per 35.12: Baseline Filing to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5080.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2888-000.
    Applicants: Norwalk Power LLC.
    Description: Norwalk Power LLC submits tariff filing per 35.12:
Norwalk Power FERC Electric Tariff to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5091.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2895-000.
    Applicants: Bear Swamp Power Company LLC.
    Description: Bear Swamp Power Company LLC submits tariff filing per
35.12: Bear Swamp Power Company LLC Market-Based Rate Tariff to be
effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5096.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2896-000.
    Applicants: NRG Energy Center Dover LLC.
    Description: NRG Energy Center Dover LLC submits tariff filing per
35.12: NRG Energy Center Dover FERC Electric Tariff to be effective 9/
23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5108.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2897-000.
    Applicants: Krayn Wind LLC.
    Description: Krayn Wind LLC submits tariff filing per 35.12: Krayn
Wind LLC Market Based Rate Baseline eTariff Filing to be effective 9/
23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5122.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2898-000.
    Applicants: Utility Contract Funding II, LLC.
    Description: Utility Contract Funding II, LLC submits tariff filing
per 35.12: Baseline to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5123.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2899-000.
    Applicants: South Eastern Electric Development Corp.
    Description: South Eastern Electric Development Corp. submits
tariff filing per 35.12: Baseline to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5124.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2900-000.
    Applicants: South Eastern Generating Corp.
    Description: South Eastern Generating Corp. submits tariff filing
per 35.12: Baseline to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5125.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2901-000.
    Applicants: Brookfield Energy Marketing Inc.
    Description: Brookfield Energy Marketing Inc. submits tariff filing
per 35.12: Brookfield Energy Marketing Inc. Baseline Market-Based Rate
Tarriff to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5126.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2902-000.
    Applicants: Brookfield Energy Marketing US LLC.
    Description: Brookfield Energy Marketing US LLC submits tariff
filing per 35.12: Brookfield Energy Marketing US LLC Baseline Market-
Based Rate Tariff to be effective 9/23/2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5129.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Docket Numbers: ER10-2903-000.
    Applicants: PacifiCorp.
    Description: PacifiCorp submits tariff filing per 35.13(a)(2)(iii):
BPA Long Term Firm Point to Point (Lost Creek) to be effective 9/8/
2010.
    Filed Date: 09/23/2010.
    Accession Number: 20100923-5130.
    Comment Date: 5 p.m. Eastern Time on Thursday, October 14, 2010.

    Any person desiring to intervene or to protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and Sec.
385.214) on or before 5 p.m. Eastern time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously intervened in the
same docket. Protests will be considered by the Commission in
determining the appropriate action to be taken, but will not serve to
make protestants parties to the proceeding. Anyone filing a motion to
intervene or protest must serve a copy of that document on the
Applicant. In reference to filings initiating a new proceeding,
interventions or protests submitted on or before the comment deadline
need not be served on persons other than the Applicant.
    As it relates to any qualifying facility filings, the notices of
self-certification [or self-recertification] listed above, do not
institute a proceeding regarding qualifying facility status. A notice
of self-certification [or self-recertification] simply provides
notification that the entity making the filing has determined the
facility named in the notice meets the applicable criteria to be a
qualifying facility. Intervention and/or protest do not lie in dockets
that are qualifying facility self-certifications or self-
recertifications. Any person seeking to

challenge such qualifying facility status may do so by filing a motion
pursuant to 18 CFR 292.207(d)(iii). Intervention and protests may be
filed in response to notices of qualifying facility dockets other than
self-certifications and self-recertifications.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://
www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St., NE., Washington, DC 20426.
    The filings in the above proceedings are accessible in the
Commission's eLibrary system by clicking on the appropriate link in the
above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive e-mail notification
when a document is added to a subscribed docket(s). For assistance with
any FERC Online service, please e-mail<EMAIL_ADDRESS>or
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Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2010-25089 Filed 10-5-10; 8:45 am]
BILLING CODE 6717-01-P