Current Respirator Classes Corresponding to Old Respirators Including Changes/Restrictions for Use of Old Respirators (APFs from NIOSH's 2004 Respirator Selection Logic)

                           Current Respirator Class

                              Old Respirator Type

                                      APF

           Any Changes/Restrictions for Use of Old Respirator Types
Any pressure-demand supplied-air respirator equipped with a full facepiece.

Category 19C Type C supplied-air respirator operated in pressure demand or other positive pressure mode and equipped with a full facepiece.
2,000
No changes or restrictions.
Any continuous flow supplied-air respirator equipped with a tight-fitting facepiece (half or full facepiece).
Category 19C Type C supplied-air respirator operated in pressure demand or continuous flow mode and equipped with a tight-fitting facepiece.
50
No changes or restrictions.
Any continuous flow supplied-air respirator equipped with a hood or helmet.

Category 19C Type C supplied-air respirator operated in pressure demand or continuous flow mode and equipped with a hood or helmet or tight-fitting facepiece.
25
No changes or restrictions.
Any air-purifying full facepiece respirator equipped with N-100, R-100, or P-100 filter(s).

Category 21C air-purifying respirator equipped with a full facepiece and high efficiency particulate filters.
50
Particulate filters are now only approved as N/R/P series filters and older high efficiency (HEPA)/ Dust Mist (DM)/ Dust Fume Mist (DFM) filters should not be used.[1] They are now approved under the 84A schedule.
Any powered air-purifying respirator (PAPR) equipped with a tight-fitting facepiece (half or full facepiece) and a high-efficiency filter.
Category 21C powered air-purifying respirator equipped with a tight-fitting facepiece and high efficiency particulate filters
50
PAPR filters are now only approved as HE filters and older HEPA/DM/DFM filters should not be used.
Any powered air-purifying respirator equipped with a hood or helmet and a high efficiency  filter.

Category 21C powered air-purifying respirator equipped with a loose-fitting hood or helmet and high efficiency particulate filters.
25
PAPR filters are now only approved as HE filters and older HEPA/DM/DFM filters should not be used.
Any air-purifying full facepiece respirator equipped with N-100, R-100, or P-100 filter(s).

Category 21C air-purifying respirator equipped with a high efficiency particulate filter including disposable respirators.
50
Particulate filters are now only approved as N/R/P series filters and older HEPA/DM/DFM filters should not be used. [1]  They are now approved under the 84A schedule.
Any air-purifying full facepiece respirator equipped with appropriate gas/vapor cartridges in combination with an N-100, R-100 or P-100 filter or an appropriate canister incorporating an N-100, P-100 or R-100 filter.

Category 23C air-purifying respirator equipped with a full facepiece and combination cartridges approved for paints, lacquers, and enamels. (Approval label may preclude use for some paints, lacquers, or enamels.)

50
Particulate filters are now only approved as N/R/P series filters and older HEPA/DM/DFM filters or paint spray respirators should not be used. [1]  They are now approved under the 84A schedule.
Any powered air-purifying respirator with a tight-fitting facepiece (half or full facepiece) equipped with appropriate gas/vapor cartridges in combination with a high-efficiency filter or an appropriate canister incorporating a high-efficiency filter.
Category 23C powered air-purifying respirator equipped with a tight-fitting facepiece and combination cartridges approved for paints, lacquers, and enamels. (Approval label may preclude use for some paints, lacquers, or enamels.)
50
There is no change to the schedule for this class; however, only HE filters may be used on PAPRs.
Any powered air-purifying respirator with a loose-fitting hood or helmet that is equipped with an appropriate gas/vapor cartridge in combination with a high-efficiency particulate filter.

Category 23C powered air-purifying respirator equipped with a loose-fitting hood or helmet and combination cartridges approved for paints, lacquers, and enamels. (Approval label may preclude use for some paints, lacquers, or enamels.)
25
There is no change to the schedule for this class; however, only HE filters may be used on PAPRs.
Any air-purifying full facepiece respirator equipped with appropriate gas/vapor cartridges in combination with an N-100, R-100 or P-100 filter or an appropriate canister incorporating an N-100, P-100 or R-100 filter.
Category 23C air-purifying respirator equipped with combination cartridges approved for paints, lacquers, and enamels, including disposable respirators. (Approval label may preclude use for some paints, lacquers, or enamels.)
50
The schedule that these would be approved under is 84A.
Any air-purifying full facepiece respirator equipped with appropriate gas/vapor cartridges or gas mask (canister respirator).
Category 23C air-purifying respirator equipped with a full facepiece and organic gas/vapor cartridges.
50
Gas mask configurations are approved under schedule 14G.
Any powered air-purifying respirator equipped with a tight-fitting facepiece (half or full facepiece) and appropriate gas/vapor cartridges or canisters.
Category 23C powered air-purifying respirator equipped with a tight-fitting facepiece and organic gas/vapor cartridges.
50

No changes or restrictions
Any powered air-purifying respirator with a loose-fitting hood or helmet equipped with appropriate gas/vapor cartridges.
Category 23C powered air-purifying respirator equipped with a loose-fitting hood or helmet and organic gas/vapor cartridges.
25

No changes or restrictions
Any powered air-purifying respirator equipped with a tight-fitting facepiece (half or full facepiece) and appropriate gas/vapor cartridges or canisters
Category 23C air-purifying respirator equipped with organic gas/vapor cartridges, including disposable respirators
50
No changes or restrictions

1  Because both the 99% and 95% filters outperform the DM and DFM filter classes, there may be situations where the 99% or 95% filters are an appropriate substitute for a HEPA filter.
If you are currently using a DFM or DM filter:
 In a work setting free of oil aerosols, the minimally protective filter would be an N-95.
 In a work setting that may contain or does contain oil aerosols, the minimally protective filter would be an R-95 or P-95.
If you are currently using a HEPA filter:
 In a work setting free of oil aerosols, an N-100 filter would be protective.
 In a work setting that contains or may contain oil aerosols, an R-100 or P-100 filter would be protective.


Boulder Valley Women's Health Center City and Co. of Broomfield Family Planning Program Stout Street Clinic Mountain Family Health Center Community Health Services Inc. Family Planning Program Delta Co. Health Dept. Family Planning Program Denver Children's Hospital Family Planning Program Denver Health and Hospitals STD Clinic Denver Health and Hospitals Westwood Clinic El Paso Co. Dept. of Health and Environment Women's Clinic Elbert Co. Nursing Service Elbert Co. Nursing Service Family Planning Program Gunnison Co. Nursing Service Family Planning Program Jefferson Co. Dept. of Health and Environment Jefferson Co. Dept. of Health and Environment Mountain Resource Center Cheyenne Co. Nursing Service Family Planning Clinic Kit Carson Co. Nursing Service Family Planning Program Kit Carson Co. Nursing Service Flagler Family Planning Program Lincoln Co. Nursing Service Family Planning Program Lake Co. Nursing Service Family Planning Program Larimer Co. Dept. of Health and Environment Larimer Co. Dept. of Health and Environment Larimer Co. Dept. of Hlth and Env Family Planning Program Mesa Co. Health Dept. Family Planning Program Montrose Co. Nursing Service Montrose Co. Nursing Service Family Planning Program Northeast Colorado Health Dept.

Northeast Colorado Health Dept.

Northeast Colorado Health Dept.

Northeast Colorado Health Dept.

Northeast Colorado Health Dept.

Northeast Colorado Health Dept.

Northeast Colorado Health Dept. Family Planning Program Northwest Colorado Visiting Nurses Northwest Colorado Visiting Nurses Family Planning Program Pueblo City and Co. Hlth Dept. Family Planning Program Rio Blanco Co. Nursing Service Rio Blanco Co. Nursing Service Family Planning Program San Juan Basin Health Dept.

San Juan Basin Health Dept. Family Planning Program San Miguel Co. Nursing Service San Miguel Co. Nursing Service Family Planning Program Summit Co. Middle School Clinic Summit Co. Nursing Service Family Planning Program Summit High School Clinic Teller Co. Pub Health and Environment Teller Co. Public Health and Env Family Planning Program Tricounty Health Dept.

Tricounty Health Dept.

Tricounty Health Dept. Tricounty Health Dept.

Tricounty Health Dept.

Alamosa Family Medicine Center Cesar E. Chavez Medical Center Durango Primary Care Fremont Family Medicine Center Guadalupe Health Center La Junta VWHS Mancos Valley Health Center Moffat Family Medicine Center Rio Grande Medical Center Rocky Ford Clinic San Luis Health Clinic Weld Co. South Clinic SW Weld Co. Services Building Weld Co. Dept. Public Hlth and Env Family Planning Program Beaverhead FP Bridger Clinic Inc.

Bridger Clinic Inc.

Community Health Partners Family Planning Services Gallatin Community Clinic Butte Family Planning Butte Silver Bow Health Dept.

Butte Silver Bow Community Health Ctr.

Deer Lodge Co. Family Planning Jefferson Co. Family Planning Boulder Medical Clinic Jefferson Co. FP Services Jefferson Co. Health Dept. Powell Co. Family Planning Central MT Family Planning Wheatland Co. Family Planning Bair Memorial Clinic Custer Co. Family Planning Powder River FP Powder River Medical Clinic Dawson Co. Family Planning Fallon Co. Family Planning Community Health Richland Co. Family Planning Co. Health Dept.

Browning Blackfeet FP Clinic East Glacier Columbia Falls FP Montana Peaks Bldg Flathead Co. Family Planning Hill Co. Family Planning Hill Co.

Phillips Co. Family Planning IMPP of Billings E Planned Parenthood of Billings IMPP of Billings W Planned Parenthood of Billings IMPP of Great Falls Planned Parenthood of Gt Falls Cooperative Health Center IMPP of Helena Planned Parenthood of Helena IMPP of Missoula Planned Parenthood of Missoula Lake Co. Family Planning Sanders Co. Health Dept. Family Planning Clinic Lincoln Co. Family Planning Ravalli Co. Public Health Nursing Dept. Ravalli Co. FP Central Valley Family Planning James River Correctional Facility Valley City State Univ. Community Action Partnership, Inc.

Scranton Satellite Custer Family Planning Center Standing Rock Reservation Fargo Cass Family Planning First District Family Planning Lake Region Family Planning Rugby Satellite Clinic Spirit Lake Satellite Clinic Lisbon Satellite Clinic Richland Co. Family Planning Crosby Satellite Stanley Satellite Upper Missouri Family Planning Watford City Satellite Grafton Satellite Clinic Valley Health Brown Co. Community Health Center Mitchell Family Planning Pierre Area Family Planning Bell Medical Service Vermillion Family Planning Yankton Family Planning Downtown Women's Health Ob Gyn Ltd Watertown Family Medical Alcester Medical Center Elk Point Community Health Clinic Urban Indian Health Urban Indian Health Urban Indian Health Family Health Education Services Blanding Clinic San Juan Health Care College of Eastern Utah Color Country Ephraim Medical Clinic Garfield Memorial Clinic Midtown Community Health Center Moab Medical Center Planned Parenthood Logan Planned Parenthood Ogden Planned Parenthood Park City Planned Parenthood Salt Lake Planned Parenthood Utah Valley Planned Parenthood West Valley San Juan Health Care Southwest Health Dept.

Albany Co. Family Planning Casper College Casper Natrona Co. Public Health City Co. Health Dept. Tri Co. Medical Center Family Planning of the Big Horns Health Services of Campbell Co.

Northwest Wyoming Family Planning Northwest Wyoming Family Planning Washakie Family Planning Washakie Family Planning Services Washakie Family Planning Services Western Wyoming Family Planning Western Wyoming Family Planning Western Wyoming Family Planning Western Wyoming Family Planning Western Wyoming Family Planning Western Wyoming Family Planning Western Wyoming Family Planning Western Wyoming Family Planning Western Wyoming Family Planning Western Wyoming Family Planning 2855 Valmont Rd. Boulder CO 6 Garden Cntr Broomfield CO 2100 Broadway Denver CO 1905 Blake St. Ste. 203 Glenwood SpringsCO 405 Castle Creek Rd. Number 6 Aspen CO 255 West Sixth St. Delta CO 1056 East 19th Ave. Denver CO 605 Bannock St. # 161, MC 2600 Denver CO 4320 West Alaska Ave. Denver CO 301 South Union Blvd. Colorado Springs CO P. O. Box 293 Simla CO 205 Comanche Kiowa CO 225 North Pine St. Ste. E Gunnison CO 260 South Kipling St. Family Planning Program Lakewood CO 6303 Wadsworth Byp Arvada CO 10875 US Hwy. 285 Ste. D 202 Conifer CO 615 North 5th West Cheyenne Wells CO 252 South 14th St. Burlington CO 305 Pawnee Flagler CO 820 First St. Limon CO 112 West 5th St. Leadville CO 1601 Brodie Ave. Estes Park CO 205 East Sixth St. Loveland CO 1525 Blue Spruce Dr. Fort Collins CO 510 29 1/ 2 Rd. Grand Junction CO 851 Main St. Nucla CO 1845 South Townsend Montrose CO 126 Main Akron CO 228 West Railroad Fort Morgan CO 127 East Denver Ste. C Holyoke CO 325 Ceder Sedgwick City Courthouse Julesburg CO 215 South Main St. Yuma CO 340 Birch Wray CO 700 Columbine Sterling CO 940 Central Park Dr. Ste. 101 Steamboat SpringCO 745 Russell St. Craig CO 151 Central Main St. Pueblo CO 345 Market St. Meeker CO 209 East Main St. Rangely CO 502 South 8th St. Pagosa Springs CO 281 Sawyer Dr. Durango CO P. O. Box 496 Norwood CO 333 West Colorado Ave. Ste. 315 Telluride CO 0158 County Rd. 1030 Frisco CO 37 County Rd. 1005 Frisco CO 16201 Hwy. 9 Frisco CO 112 North A St. Cripple Creek CO 11505 Hwy. 24 Divide CO 15400 East 14th Pl. Ste. 309 Aurora CO 101 Third St. Castle Rock CO 4201 East 72nd Ave. Commerce City CO 4857 South Broadway Englewood CO 10190 Bannock St. Ste. 100 Northglenn CO 1710 First St. Alamosa CO 186 North Hurt St. Center CO 375 E. Park Ave. Ste 103 Durango CO 602 Yale Pl. Canon City CO 10th St. and Dahlia Antonito CO 1100 Carson Ave. La Junta CO 111 E Railroad Ave. Mancos CO 545 Moffat Way Moffat CO 95a West First Ave. Monte Vista CO 903 South 12th St. Rocky Ford CO North Hwy. 159 San Luis CO 4209 Weld County Rd. 24 Longmont CO 1555 N 17th Ave. Greeley CO 90 Hwy. 91 South Dillon MT 300 N Wilson St. Ste. 2001 Bozeman MT 300 N Willson St. Ste. 2001 Bozeman MT 126 South Main St. Livingston MT 111 South Tracy Ave. Bozeman MT 25 W Front St. Butte MT 445 Centennial St. Butte MT 115 West Commercial St. Anaconda MT 214 S Main St. Boulder MT P. O. Box 872 Boulder MT 305 Milwaukee St. Deer Lodge MT 505 West Main St. Ste. 418 Lewistown MT 530 Third North West St. P. O. Box 2911 Harlowton MT 1010 Main St. Courthouse Annex Miles City MT Box 210 Rte. Broadus MT 207 W Bell St. Glendive MT 202 S 4th St. W P. O. Box 820 Baker MT 221 5th St. SW Sidney MT 201 1st Ave. N E P. O. Box 547 Browning MT 123 6th St. West Columbia Falls MT 1035 1st Ave. W Kalispell MT Courthouse 315 4th St. P. O. Box 166 Havre MT 105 S 2nd St. East P. O. Box 241 Malta MT 721 N 29th St. Billings MT 1844 Broadwater Ave. No 4 Billings MT 211 9th St. South St. Great Falls MT 1930 Ninth Ave. Helena MT 1500 Cannon St. Helena MT 219 E Main St. Missoula MT 802 Main St. Ste. A Polson MT 1111 Main St. P. O. Box 519 Thompson Falls MT 421 Montana St. P. O. Box 765 Libby MT 205 Bedford St. Ste. L Hamilton MT 310 10th St. SE P. O. Box 880 Jamestown ND 2521 Cir. Dr. Jamestown ND Valley City ND 202 East Villard Dickinson ND Main St. Scranton ND 549 Airport Rd. Bismarck ND Standing Rock ND 401 Third Ave. North Fargo ND 801 11th Ave. SW Box 1268 Minot ND 524 4th Ave. No 9 Devils Lake ND 240 SE Hwy. 2 Rugby ND Blue Bldg. Box 217 Fort Totten ND 403 Elm St. Lisbon ND 413 Third Ave. North Wahpeton ND 300 Main St. Box 69 Crosby ND Memorial Bldg. Box 925 Stanley ND 507 University Ave. Williston ND 201 West 5th St. Box 1066 Watford City ND 638 Cooper Grafton ND 1551 28th Ave. S Grand Forks ND 402 South Main St. Aberdeen SD 909 South Miller Mitchell SD 302 East Dakota Pierre SD 801 3rd St. SW Desmet SD 414 East Clark Julian Hall Vermillion SD 904 West 23rd St. Ste. 1 Yankton SD 401 East 8th St. Ste. 23 Sioux Falls SD 216 West 2nd St. S Brookings SD 703 South Broadway Watertown SD 104 West 2nd St. P. O. Box 468 Alcester SD 204 East Main St. Elk Point SD 122 East Dakota Ave. Pierre SD 320 South 3rd Ave. Sioux Falls SD 1315 6th Ave. SE Aberdeen SD 930 10th St. Spearfish SD 804 N 400 W Blanding UT 451 E 400 N Price UT 595 S Bluff St. St George UT 525 N Main St. Ephraim UT 200 N 400 E Panguitch UT 670 28th St. Ogden UT 38 W 300 S Moab UT Clock Tower Plaza 550 North Main 117 Logan UT 4387 Harrison Blvd. Ste. D8 Ogden UT 1670 Bonanaza Dr. Park City UT 654 S 900 E Salt Lake City UT 1842 South Columbia La. Orem UT 1906 West 3600 South West Valley City UT 364 W 100 N Monticello UT 285 W Tavernacle St George UT 769 North 4th St. Laramie WY 125 College Dr. Casper WY 475 South Spruce Casper WY 100 Central Ave. Cheyenne WY 117 East 4th St. Pine Bluffs WY 128 South Thurmond St. Sheridan WY 201 West Lakeway St. Ste. 414 Gillette WY 1231 Rumsey St. Cody WY 246 North Hamilton St. Powell WY 417 South 2nd St. Greybull WY 1007 Robertson St. Worland WY 141 Pioneer Dr. St. Rm. 57 Thermopolis WY 450 North 2nd St. Rm. 350 Lander WY 128 East Owen St. Lyman WY 619 Hennick St. Pinedale WY 617 West Pine St. Rawlins WY 325 West Main St. Riverton WY 809 Thompson St. Ste. A Rock Springs WY 453 Washington St. Afton WY 350 City View Dr. Ste. 102 Evanston WY 160 East Simpson St. Jackson WY 925 Sage St. Kemmerer WY 80301 1374 ( 303) 440 9320 80020 ( 720) 887 2291 80205 ( 303) 293 2219 81601 ( 970) 945 2840 81611 1557 ( 970) 920 5424 81416 ( 970) 874 2183 80218 ( 303) 861 6133 80204 4507 ( 303) 436 7248 80219 ( 720) 956 2936 80910 ( 719) 545 8514 80835 0293 ( 303) 621 3144 80117 0201 ( 303) 621 3144 81230 ( 970) 641 7910 80226 ( 303) 239 7121 80003 ( 303) 239 7121 80433 ( 303) 239 7121 80810 ( 719) 767 5616 80807 0070 ( 719) 346 7158 80815 ( 719) 346 7158 80828 ( 719) 346 7158 80461 0626 ( 719) 486 0118 80517 ( 970) 498 6761 80537 ( 970) 498 6761 80524 ( 970) 498 6761 81504 ( 970) 248 6909 81424 0039 ( 970) 864 7319 81401 ( 970) 252 7053 80720 ( 970) 522 3741 80701 ( 970) 867 4918 80737 ( 970) 522 3741 80737 ( 970) 522 3741 80759 ( 970) 522 3741 80758 ( 970) 522 3741 80751 0316 ( 970) 522 3741 80487 ( 970) 879 1632 81625 2019 ( 970) 824 8233 81003 4297 ( 719) 583 4432 81641 ( 970) 878 4003 81648 0916 ( 970) 675 8866 81147 ( 970) 264 2409 81301 ( 970) 247 5702 81423 0496 ( 970) 728 4289 81435 0949 ( 970) 728 4289 80443 ( 970) 668 4175 80443 ( 970) 668 4175 80443 ( 970) 668 4175 80813 0959 ( 719) 687 6416 80814 ( 719) 687 6416 80011 5828 ( 303) 255 6242 80104 ( 303) 255 6242 80022 1488 ( 303) 255 6242 80110 6806 ( 303) 255 6242 80260 ( 303) 255 6242 81101 ( 719) 587 1163 81125 ( 719) 587 1163 81301 4209 ( 719) 587 1163 81212 81120 ( 719) 587 1163 81050 ( 719) 587 1163 81328 ( 719) 587 1163 81143 ( 719) 587 1163 81144 ( 719) 587 1163 81067 ( 719) 587 1163 81152 ( 719) 587 1163 80504 ( 970) 304 6420 80631 ( 970) 304 6420 59725 ( 406) 683 4771 59715 ( 406) 587 0681 59715 ( 406) 587 0681 59047 ( 406) 222 1111 59715 ( 406) 585 1360 59701 ( 406) 497 5080 59701 ( 406) 723 4075 59711 ( 406) 563 7863 59632 ( 406) 225 4201 59632 ( 406) 287 3249 59722 ( 406) 846 2420 59457 ( 406) 538 8811 59036 ( 406) 632 4835 59301 ( 406) 874 3440 59317 ( 406) 436 2297 59330 ( 406) 377 2935 59313 ( 406) 778 2824 59270 ( 406) 433 6913 59417 ( 406) 338 7808 59912 ( 406) 758 5756 59901 ( 406) 751 8150 59501 0166 ( 406) 265 5481 59538 ( 406) 654 2521 59101 ( 406) 248 3636 59102 ( 406) 656 9914 59401 ( 406) 454 3432 59601 ( 406) 443 7676 59601 ( 406) 443 7676 59802 ( 406) 728 5561 59860 3227 ( 406) 883 7288 59873 ( 406) 827 6931 59923 ( 406) 293 6291 59840 ( 406) 375 6259 58401 ( 701) 252 8130 58401 ( 701) 252 8130 58702 ( 701) 252 8130 58601 ( 701) 227 0131 58653 ( 701) 227 0131 58504 ( 701) 255 3535 58538 ( 701) 255 3535 58102 4811 ( 701) 241 1383 58702 ( 701) 852 1376 58301 ( 701) 662 7046 58368 ( 701) 662 7046 58335 ( 701) 662 7046 58054 ( 701) 683 5823 58075 ( 701) 642 7735 58730 ( 701) 965 6813 58784 ( 701) 628 2951 58801 ( 701) 577 3763 58854 ( 701) 842 3449 58237 ( 701) 775 4251 58201 ( 701) 775 4251 57401 4127 ( 605) 626 2628 57301 ( 605) 995 8040 57501 3133 ( 605) 773 4937 57231 ( 605) 854 3455 57069 ( 605) 677 5278 57078 ( 605) 665 8838 57103 ( 605) 334 5099 57006 ( 605) 692 8684 57201 ( 605) 882 1852 57001 ( 605) 934 2122 57025 ( 605) 356 3317 57501 ( 605) 224 8841 57104 ( 605) 339 0420 57401 ( 605) 225 1538 57783 ( 605) 642 6337 84511 3417 ( 801) 532 1586 84501 ( 801) 532 1586 84770 ( 801) 532 1586 84627 ( 801) 532 1586 84759 ( 801) 532 1586 84403 ( 801) 532 1586 84532 ( 801) 532 1586 84321 ( 801) 532 1586 84403 ( 801) 532 1586 84068 ( 801) 532 1586 84102 ( 801) 532 1586 84097 ( 801) 532 1586 84119 ( 801) 532 1586 84535 ( 801) 532 1586 84770 ( 801) 532 1586 82072 ( 307) 745 5364 82601 ( 307) 268 2263 82601 ( 307) 235 9280 82007 ( 307) 633 4040 82082 ( 307) 245 3252 82801 ( 307) 672 7054 82717 ( 307) 682 8110 82414 ( 307) 527 5174 82435 ( 307) 754 5023 82426 ( 800) 870 2249 82401 ( 307) 347 3278 82443 ( 307) 864 4679 82520 ( 307) 332 1073 82937 ( 800) 789 9520 82941 0517 ( 307) 367 4133 82435 ( 307) 324 9395 82501 ( 307) 856 7212 82901 ( 307) 362 6813 83110 ( 800) 789 9520 82930 ( 307) 789 9520 83001 ( 307) 732 1694 83101 ( 800) 789 9520


[Federal Register Volume 83, Number 10 (Tuesday, January 16, 2018)]
[Notices]
[Pages 2251-2252]
[FR Doc No: 2018-00498]

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

SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-170, OMB Control No. 3235-0167]

Proposed Collection; Comment Request

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

Extension:
    Form 15

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collection of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of

Management and Budget for extension and approval.
    Form 15 (17 CFR 249.323) is a certification of termination of a
class of security under Section 12(g) or notice of suspension of duty
to file reports pursuant to Sections 13 and 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78a et seq.). We estimate that
approximately 1,302 issuers file Form 15 annually and it takes
approximately 1.5 hours per response to prepare for a total of 1,953
annual burden hours (1.5 hours per response x 1,302 responses).
    Written comments are invited on: (a) Whether this proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden imposed by the collection of information; (c) ways to
enhance the quality, utility, and clarity of the information collected;
and (d) ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    Please direct your written comment to Pamela Dyson, Director/Chief
Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 100 F Street NE, Washington, DC 20549 or send an email
to: [email protected].

    Dated: January 9, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-00498 Filed 1-12-18; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 87, Number 35 (Tuesday, February 22, 2022)]
[Notices]
[Pages 9634-9635]
[FR Doc No: 2022-03698]

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

DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Docket ID: FEMA-2021-0013; OMB No. 1660-0002]

Agency Information Collection Activities: Proposed Collection;
Comment Request; Disaster Assistance Registration

AGENCY: Federal Emergency Management Agency, Department of Homeland
Security.

ACTION: 30-Day notice of renewal and request for comments.

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

SUMMARY: The Federal Emergency Management Agency (FEMA) will submit the
information collection abstracted below to the Office of Management and
Budget for review and clearance in accordance with the requirements of
the Paperwork Reduction Act of 1995. The submission will describe the
nature of the information collection, the categories of respondents,
the estimated burden (i.e., the time, effort and resources used by
respondents to respond) and cost, and the actual data collection
instruments FEMA will use. This notice seeks comments concerning
Disaster Assistance Registration, COVID-19 Funeral Assistance
Registration, and Disaster Assistance Individuals and Households
Program (IHP) Occupancy & Ownership Documentation.

DATES: Comments must be submitted on or before March 24, 2022.

ADDRESSES: Written comments and recommendations for the proposed
information collection should be sent within 30 days of publication of
this notice to www.reginfo.gov/public/do/PRAMain. Find this particular
information collection by selecting ``Currently under 30-day Review--
Open for Public Comments'' or by using the search function.

FOR FURTHER INFORMATION CONTACT: Requests for additional information or
copies of the information collection should be made to Director,
Information Management Division, 500 C Street SW, Washington, DC 20472,
email address [email protected] or
Brian Thompson, Supervisory Program Specialist, FEMA, Recovery
Directorate at<PHONE_NUMBER> or [email protected].

SUPPLEMENTARY INFORMATION: The Robert T. Stafford Disaster Relief and
Emergency Assistance Act (Pub. L. 93-288) (the Stafford Act), as
amended, is the legal basis for FEMA to provide financial assistance
and services to individuals who apply for disaster assistance benefits
in the event of a Federally-declared disaster. Regulations in Title 44
of the Code of Federal Regulations, Subpart D, ``Federal Assistance to
Individuals and Households,'' implement the policy and procedures set
forth in section 408 of the Stafford Act. This program provides
financial assistance and, if necessary, direct assistance to eligible
individuals and households who, as a direct result of a major disaster,
have necessary expenses and serious needs that are unable to be met
through other means. Individuals and households may apply for
assistance (Registration Intake) under the Individuals and Households
Program (IHP) in person, via telephone, or internet. FEMA provides
financial assistance under the Other Needs Assistance provision of the
IHP to individuals or households affected by a major disaster to meet
disaster-related funeral expenses under Section 408(e)(1) of the Robert
T. Stafford Disaster Relief and Emergency Assistance Act (Stafford
Act), Public Law 93-288, as amended.
    Historically, the agency has utilized a combination of public and
commercial validation of ownership and or occupancy, which impacts
eligibility for Housing Assistance and some forms of Other Needs
Assistance. This update applies to the proposed expansion of the
acceptable documentation applicants can submit to FEMA to verify the
occupancy and/or ownership of their primary residence and establish
eligibility for disaster assistance.
    This proposed information collection previously published in the
Federal Register on November 5, 2021, at 86 FR 61283 with a 60-day
public comment period. No comments were received. The purpose of this
notice is to notify the public that FEMA will submit the information
collection abstracted below

to the Office of Management and Budget for review and clearance.

Collection of Information

    Title: Disaster Assistance Registration.
    Type of Information Collection: Extension, without change, of a
currently approved information collection number.
    OMB Number: 1660-0002.
    FEMA Forms: FEMA Form FF-104-FY-21-123 (formerly 009-0-1T
(English)), Tele-Registration, Disaster Assistance Registration; FEMA
Form FF-104-FY-21-123-A (formerly 009-0-1T (Spanish)), Tele-
Registration, Registro Para Asistencia De Desatre; FEMA Form FF-104-FY-
21-123-COVID-FA (formerly 009-0-1T-COVID-FA (English)), Tele-
Registration, COVID-19 Funeral Assistance; FEMA Form FF-104-FY-21-125
(formerly 009-0-1Int (English)), internet, Disaster Assistance
Registration; FEMA Form FF-104-FY-21-125-A (formerly 009-0-2Int
(Spanish)), internet, Registro Para Asistencia De Desastre; FEMA Form
FF-104-FY-21-122 (formerly 009-0-1 (English)), Paper Application/
Disaster Assistance Registration; FEMA Form FF-104-FY-21-122-A
(formerly 009-0-2 (Spanish)), Solicitud en Papel/Registro Para
Asistencia De Desastre; FEMA Form FF-104-FY-21-128 (formerly 009-0-3
(English)), Declaration and Release; FEMA Form FF-104-FY-21-128-A
(formerly 009-0-4 (Spanish)), Declaraci[oacute]n Y Autorizaci[oacute]n;
FEMA Form FF-104-FY-21-127 (formerly 009-0-5 (English)), Manufactured
Housing Unit Revocable License and Receipt for Government Property;
FEMA Form FF-104-FY-21-127-A (formerly 009-0-6 (Spanish)), Las Casas
Manufacturadas Unidad Licencia Revocable y Recibo de la Propiedad del
Gobierno; Requests for Information (RFI).
    Abstract: The forms in this collection are used to obtain pertinent
information to provide financial assistance, and if necessary, direct
assistance to eligible individuals and households who, as a direct
result of a disaster or emergency, have uninsured or under-insured,
necessary or serious expenses they are unable to meet. This extension,
without change, will also support the continued ability to provide
COVID-19 Funeral Assistance to individuals who are responsible for a
deceased individual's funeral expenses and the expansion of the
acceptable documentation applicants can submit to FEMA to verify the
occupancy and/or ownership of their primary residence and establish
eligibility for disaster assistance.
    Affected Public: Individuals or Households.
    Estimated Number of Respondents: 2,043,134.
    Estimated Number of Responses: 2,043,134.
    Estimated Total Annual Burden Hours: 642,031.
    Estimated Total Annual Respondent Cost: $25,199,718.
    Estimated Respondents' Operation and Maintenance Costs: $0.
    Estimated Respondents' Capital and Start-Up Costs: $0.
    Estimated Total Annual Cost to the Federal Government:
$283,701,377.

Comments

    Comments may be submitted as indicated in the ADDRESSES caption
above. Comments are solicited to (a) evaluate whether the proposed data
collection is necessary for the proper performance of the agency,
including whether the information shall have practical utility; (b)
evaluate the accuracy of the agency's estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used; (c) enhance the quality, utility, and
clarity of the information to be collected; and (d) minimize the burden
of the collection of information on those who are to respond, including
through the use of appropriate automated, electronic, mechanical, or
other technological collection techniques or other forms of information
technology, e.g., permitting electronic submission of responses.

Maile Arthur,
Deputy Director, Information Management Division, Office of the Chief
Administrative Officer, Mission Support, Federal Emergency Management
Agency, Department of Homeland Security.
[FR Doc. 2022-03698 Filed 2-18-22; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register Volume 78, Number 221 (Friday, November 15, 2013)]
[Notices]
[Pages 68901-68902]
[FR Doc No: 2013-27332]

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

Federal Aviation Administration

Notice of Intent To Release Certain Properties From All Terms,
Conditions, Reservations and Restrictions of a Quitclaim Deed Agreement
Between the City of Marianna and the Federal Aviation Administration
for the Marianna Municipal Airport, Marianna, FL

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Request for public comment.

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SUMMARY: The FAA hereby provides notice of intent to release certain
airport properties 28.18 acres at the Marianna Municipal Airport,
Marianna, FL from the conditions, reservations, and restrictions as
contained in a Quitclaim Deed agreement between the FAA and the the
City of Marianna, dated August 2, 1947. The release of property will
allow the City of Marianna to dispose of the property for other than
aeronautical purposes. The property is located at 3595 Industrial Park
Drive, Marianna, Florida 32446, in the southeastern quadrant of airport
property. The parcel is currently designated nonareonautical land. The
property will be released of its federal obligations to allow for a
swap of other property needed for aeronautical purposes. The parcel to
be received by the Airport is 57.81 acres and is located in the Runway
Protection Zone of Runway 36. The fair market value of the parcel to be
released has been determined to be $200,000. The fair market value of
the parcel to be received has been determined to be $159,000. The
Airport will also receive a benefit of enhanced safety by acquiring
Runway Protection Zone lands.
    Documents reflecting the Sponsor's request are available, by
appointment only, for inspection at the Marianna Municipal Airport and
the FAA Airports District Office.

SUPPLEMENTARY INFORMATION: Section 125 of The Wendell H. Ford Aviation
Investment and Reform Act for the 21st Century (AIR-21) requires the
FAA to provide an opportunity for public notice and comment prior to
the ``waiver'' or ``modification'' of a sponsor's Federal obligation to
use certain airport land for non-aeronautical purposes.

DATES: Comments are due on or before December 16, 2013.

ADDRESSES: Documents are available for review at Marianna Municipal
Airport, and the FAA Airports District Office, 5950 Hazeltine National
Drive, Suite 400, Orlando, FL 32822. Written

comments on the Sponsor's request must be delivered or mailed to: Bill
Farris, Program Manager, Orlando Airports District Office, 5950
Hazeltine National Drive, Suite 400, Orlando, FL 32822-5024.

FOR FURTHER INFORMATION CONTACT: Bill Farris, Program Manager, Orlando
Airports District Office, 5950 Hazeltine National Drive, Suite 400,
Orlando, FL 32822-5024.

Bart Vernace,
Manager, Orlando Airports District Office, Southern Region.
[FR Doc. 2013-27332 Filed 11-14-13; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 80, Number 166 (Thursday, August 27, 2015)]
[Rules and Regulations]
[Pages 51938-51939]
[FR Doc No: 2015-21237]

=======================================================================
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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

21 CFR Part 866

[Docket No. FDA-2015-N-2963]

Medical Devices; Immunology and Microbiology Devices;
Classification of Clostridium Difficile Toxin Gene Amplification Assay

AGENCY: Food and Drug Administration, HHS.

ACTION: Final order.

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

SUMMARY: The Food and Drug Administration (FDA) is classifying
Clostridium difficile (C. difficile) toxin gene amplification assay
into class II (special controls). The Agency is classifying the device
into class II (special controls) in order to provide a reasonable
assurance of safety and effectiveness of the device.

DATES: This order is effective September 28, 2015. The classification
was applicable April 30, 2012.

FOR FURTHER INFORMATION CONTACT: Noel Gerald, Center for Devices and
Radiological Health, Food and Drug Administration, 10903 New Hampshire
Ave., Bldg. 66, Rm. 5566, Silver Spring, MD 20993-0002,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    In accordance with section 513(f)(1) of the Federal Food, Drug, and
Cosmetic Act (the FD&C Act) (21 U.S.C. 360c(f)(1)), devices that were
not in commercial distribution before May 28, 1976 (the date of
enactment of the Medical Device Amendments of 1976), generally referred
to as postamendments devices, are classified automatically by statute
into class III without any FDA rulemaking process. These devices remain
in class III and require premarket approval, unless and until the
device is classified or reclassified into class I or II, or FDA issues
an order finding the device to be substantially equivalent, in
accordance with section 513(i) of the FD&C Act, to a predicate device
that does not require premarket approval. The Agency determines whether
new devices are substantially equivalent to predicate devices by means
of premarket notification procedures in section 510(k) of the FD&C Act
(21 U.S.C. 360(k)) and part 807 (21 CFR part 807) of the regulations.
    Section 513(f)(2) of the FD&C Act, as amended by section 607 of the
Food and Drug Administration Safety and Innovation Act (Pub. L. 112-
144), provides two procedures by which a person may request FDA to
classify a device under the criteria set forth in section 513(a)(1).
Under the first procedure, the person submits a premarket notification
under section 510(k) of the FD&C Act for a device that has not
previously been classified and, within 30 days of receiving an order
classifying the device into class III under section 513(f)(1) of the
FD&C Act, the person requests a classification under section 513(f)(2).
Under the second procedure, rather than first submitting a premarket
notification under section 510(k) of the FD&C Act and then a request
for classification under the first procedure, the person determines
that there is no legally marketed device upon which to base a
determination of substantial equivalence and requests a classification
under section 513(f)(2) of the FD&C Act. If the person submits a
request to classify the device under this second procedure, FDA may
decline to undertake the classification request if FDA identifies a
legally marketed device that could provide a reasonable basis for
review of substantial equivalence with the device or if FDA determines
that the device submitted is not of ``low-moderate risk'' or that
general controls would be inadequate to control the risks and special
controls to mitigate the risks cannot be developed.
    In response to a request to classify a device under either
procedure provided by section 513(f)(2) of the FD&C Act, FDA will
classify the device by written order within 120 days. This
classification will be the initial classification of the device.
    In accordance with section 513(f)(1) of the FD&C Act, FDA issued an
order on February 3, 2012, automatically classifying the Portrait
Toxigenic C. difficile Assay in class III, because it was not within a
type of device which was introduced or delivered for introduction into
interstate commerce for commercial distribution before May 28, 1976,
nor which was subsequently reclassified into class I or class II. On
March 2, 2012, Great Basin Scientific, Inc., submitted a request for de
novo classification of the Portrait Toxigenic C. difficile Assay under
section 513(f)(2) of the FD&C Act.
    In accordance with section 513(f)(2) of the FD&C Act, FDA reviewed
the request for de novo classification in order to classify the device
under the criteria for classification set forth in section 513(a)(1).
FDA classifies devices into class II if general controls by themselves
are insufficient to provide reasonable assurance of safety and
effectiveness, but there is sufficient information to establish special
controls to provide reasonable assurance of the safety and
effectiveness of the device for its intended use. After review of the
information submitted in the request, FDA determined that the device
can be classified into class II with the establishment of special
controls. FDA believes these special controls will provide reasonable
assurance of the safety and effectiveness of the device.
    Therefore, on April 30, 2012, FDA issued an order to the requestor
classifying the device into class II. FDA is codifying the
classification of the device by adding Sec.  866.3130.
    Following the effective date of this final classification
administrative order, any firm submitting a premarket notification
(510(k)) for a C. difficile toxin gene amplification assay will need to
comply with the special controls named in the final administrative
order.
    The device is assigned the generic name C. difficile toxin gene
amplification assay, and it is identified as a device that consists of
reagents for the amplification and detection of target sequences in C.
difficile toxin genes in fecal specimens from patients suspected of
having a C. difficile infection (CDI). The detection of clostridial
toxin genes, in conjunction with other laboratory tests, aids in the
clinical laboratory diagnosis of CDI caused by C. difficile.
    FDA has identified the following risks to health associated with
this type of device and the measures required to mitigate these risks:

           Table 1--Identified Risks and Required Mitigations
------------------------------------------------------------------------
            Identified risks                   Required mitigations
------------------------------------------------------------------------
A false positive test result for an      The FDA document entitled
 individual may lead to inappropriate     ``Class II Special Controls
 use of antibiotics for treatment.        Guideline: Toxin Gene
                                          Amplification Assays for the
                                          Detection of Clostridium
                                          difficile,'' which addresses
                                          this risk through:
                                            Specific Device Description
                                             Requirements.
                                            Performance Studies.

                                            Labeling.
A false negative test result for an      The FDA document entitled
 individual may lead to a potential       ``Class II Special Controls
 delay in treatment.                      Guideline: Toxin Gene
                                          Amplification Assays for the
                                          Detection of Clostridium
                                          difficile,'' which addresses
                                          this risk through:
                                            Specific Device Description
                                             Requirements.
                                            Performance Studies.
                                            Labeling.
Failure of the test to be used or        The FDA document entitled
 perform properly.                        ``Class II Special Controls
                                          Guideline: Toxin Gene
                                          Amplification Assays for the
                                          Detection of Clostridium
                                          difficile,'' which addresses
                                          this risk through:
                                            Labeling.
Failure to properly interpret the test   The FDA document entitled
 results.                                 ``Class II Special Controls
                                          Guideline: Toxin Gene
                                          Amplification Assays for the
                                          Detection of Clostridium
                                          difficile,'' which addresses
                                          this risk through:
                                            Labeling.
------------------------------------------------------------------------

    FDA believes that the measures set forth in the special controls
guideline entitled ``Class II Special Controls Guideline: Toxin Gene
Amplification Assays for the Detection of Clostridium difficile'' are
necessary, in addition to general controls, to mitigate the risks to
health described in table 1.
    A C. difficile toxin gene amplification assay is a prescription
device. Section 510(m) of the FD&C Act provides that FDA may exempt a
class II device from the premarket notification requirements under
section 510(k) if FDA determines that premarket notification is not
necessary to provide reasonable assurance of the safety and
effectiveness of the device. For this type of device, FDA has
determined that premarket notification is necessary to provide
reasonable assurance of the safety and effectiveness of the device.
Therefore, this type of device is not exempt from premarket
notification requirements. Persons who intend to market this type of
device must submit to FDA a premarket notification, prior to marketing
the device, which contains information about the C. difficile toxin
gene amplification assay they intend to market.

II. Environmental Impact

    The Agency has determined under 21 CFR 25.34(b) that this action is
of type that does not individually or cumulatively have a significant
effect on the human environment. Therefore, neither an environmental
assessment nor an environmental impact statement is required.

III. Paperwork Reduction Act of 1995

    This final administrative order establishes special controls that
refer to previously approved collections of information found in other
FDA regulations. These collections of information are subject to review
by the Office of Management and Budget (OMB) under the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501-3520). The collections of
information in part 807, subpart E, regarding premarket notification
submissions have been approved under OMB control number 0910-0120; the
collections of information in 21 CFR part 820 have been approved under
OMB control number 0910-0073; and the collections of information in 21
CFR parts 801 and 809 have been approved under OMB control number 0910-
0485.

List of Subjects in 21 CFR Part 866

    Biologics, Laboratories, Medical devices.

    Therefore, under the Federal Food, Drug, and Cosmetic Act and under
authority delegated to the Commissioner of Food and Drugs, 21 CFR part
866 is amended as follows:

PART 866--IMMUNOLOGY AND MICROBIOLOGY DEVICES

0
1. The authority citation for 21 CFR part 866 continues to read as
follows:

    Authority:  21 U.S.C. 351, 360, 360c, 360e, 360j, 371.

0
2. Add Sec.  866.3130 to subpart D to read as follows:

Sec.  866.3130  Clostridium difficile toxin gene amplification assay.

    (a) Identification. A Clostridium difficile toxin gene
amplification assay is a device that consists of reagents for the
amplification and detection of target sequences in Clostridium
difficile toxin genes in fecal specimens from patients suspected of
having Clostridium difficile infection (CDI). The detection of
clostridial toxin genes, in conjunction with other laboratory tests,
aids in the clinical laboratory diagnosis of CDI caused by Clostridium
difficile.
    (b) Classification. Class II (special controls). The special
controls are set forth in FDA's guideline document entitled: ``Class II
Special Controls Guideline: Toxin Gene Amplification Assays for the
Detection of Clostridium difficile; Guideline for Industry and Food and
Drug Administration Staff.'' See Sec.  866.1(e) for information on
obtaining this document.

    Dated: August 21, 2015.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2015-21237 Filed 8-26-15; 8:45 am]
 BILLING CODE 4164-01-P


[Federal Register Volume 82, Number 56 (Friday, March 24, 2017)]
[Notices]
[Page 15085]
[FR Doc No: 2017-05880]

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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

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

Extension:
    Regulation 14N and Schedule 14N, SEC File No. 270-598, OMB
Control No. 3235-0655

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget this request for extension of the previously approved
collection of information discussed below.
    Schedule 14N (17 CFR 240.14n-101) requires the filing of certain
information with the Commission by shareholders who submit a nominee or
nominees for director pursuant to applicable state law, or a company's
governing documents. Schedule 14N provides notice to the company of the
shareholder's or shareholder group's intent to have the company include
the shareholder's or shareholder group's nominee or nominees for
director in the company's proxy materials. This information is intended
to assist shareholders in making an informed voting decision with
regards to any nominee or nominees put forth by a nominating
shareholder or group, by allowing shareholders to gauge the nominating
shareholder's interest in the company, longevity of ownership, and
intent with regard to continued ownership in the company. We estimate
that Schedule 14N takes approximately 40 hours per response and will be
filed by approximately 10 issuers annually. In addition, we estimate
that 75% of the 40 hours per response (30 hours per response) is
prepared by the issuer for an annual reporting burden of 300 hours (30
hours per response x 10 responses).
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    The public may view the background documentation for this
information collection at the following Web site, www.reginfo.gov.
Comments should be directed to: (i) Desk Officer for the Securities and
Exchange Commission, Office of Information and Regulatory Affairs,
Office of Management and Budget, Room 10102, New Executive Office
Building, Washington, DC 20503, or by sending an email to:
<EMAIL_ADDRESS>and (ii) Pamela Dyson, Director/Chief
Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 100 F Street NE., Washington, DC 20549 or send an email
to<EMAIL_ADDRESS>Comments must be submitted to OMB within 30
days of this notice.

    Dated: March 21, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-05880 Filed 3-23-17; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 81, Number 221 (Wednesday, November 16, 2016)]
[Notices]
[Pages 80691-80694]
[FR Doc No: 2016-27467]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-79272; File No. SR-MIAX-2016-39]

Self-Regulatory Organizations; Miami International Securities
Exchange LLC; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change To Amend Exchange Rule 519A, Risk Protection
Monitor

November 9, 2016.
    Pursuant to the provisions of 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 October 31, 2016, Miami International
Securities Exchange LLC (``MIAX'' or ``Exchange'') filed with the
Securities and Exchange Commission (``Commission'') a proposed rule
change as described in Items I and II below, which Items have been
prepared by the Exchange. 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

    The Exchange is filing a proposal to amend Exchange Rule 519A, Risk
Protection Monitor.
    The text of the proposed rule change is available on the Exchange's
Web site at http://www.miaxoptions.com/filter/wotitle/rule_filing, at
MIAX'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
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to amend Exchange Rule 519A, Risk Protection
Monitor, to mandate the use of the Risk Protection Monitor by Members,
and to state clearly in the rule that Members may establish multiple
RPM Settings, as defined below.
Current Functionality
    Currently, using the Risk Protection Monitor, the Exchange's System
\3\ maintains a counting program (``counting program'') for each
participating Member that counts the number of orders entered and the
number of contracts traded via an order entered by a Member on the
Exchange within a specified time period that has been established by
the Member (the ``specified time period''). The maximum duration of the
specified time period is established by the Exchange and announced via
a Regulatory Circular. The current maximum duration of the specified
time period is a trading session.
---------------------------------------------------------------------------

    \3\ The term ``System'' means the automated trading system used
by the Exchange for the trading of securities. See Exchange Rule
100.

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

    Under the current rule, Members may establish an Allowable Order
Rate \4\ and/or an Allowable Contract Execution Rate.\5\ When a
Member's order is entered or when an execution of a Member's order
occurs, the System will look back over the specified time period to
determine whether the order entered or the execution that occurred
triggers the Risk Protection Monitor.\6\ Members may establish whether
the Risk Protection Monitor, when triggered, will (i) prevent the
System from receiving any new orders in all series in all classes from
the Member; or (ii) prevent the System from receiving any new orders in
all series in all classes from the Member and cancel all existing Day
orders in all series in all classes from the Member; or (iii) send a
notification that the Risk Protection Monitor has been triggered
without any further preventative or cancellation action by the
System.\7\
---------------------------------------------------------------------------

    \4\ The Allowable Order Rate is the number of orders entered
during the specific time period that has been established by the
Member.
    \5\ The Allowable Contract Execution Rate is the number of
contracts executed during the specific time period that has been
established by the Member.
    \6\ The Exchange notes that the specific time period does not
need to be the same for both the Allowable Order Rate and Allowable
Contract Execution Rate (i.e., there can be one specified time
period for Allowable Order Rate and a different specified time
period for Allowable Contract Execution Rate). In order to be
consistent in the rule, under the proposal there can also be one
Corresponding Specified Time Period (as described below) for both
the Allowable Order Rate and a different Corresponding Specified
Time Period for Allowable Contract Execution Rate. See proposed Rule
519A(b).
    \7\ See Exchange Rule 519A(a). As discussed below, the Risk
Protection Monitor will not cancel any existing Good Til Cancelled
(``GTC'') orders. GTC Orders will remain in the System available for
trading when the Risk Protection Monitor is engaged. See Rule 519A,
Interpretations and Policies .02.
---------------------------------------------------------------------------

    When engaged, the Risk Protection Monitor allows the Member to
interact with existing orders entered prior to triggering the Risk
Protection Monitor and allows the Member to continue to send cancel
messages and receive reports of executions resulting from those orders.
The Risk Protection Monitor shall remain engaged until the Member
communicates with the Exchange staff to enable the acceptance of new
orders.\8\
---------------------------------------------------------------------------

    \8\ See current Exchange Rule 519A(b). The communication from
the Member to Exchange staff can either be via email or phone.
---------------------------------------------------------------------------

The Proposal
    First, the Exchange proposes to amend current Rule 519A(a) and (b)
by consolidating the two paragraphs into one unified, cohesive
paragraph describing the Risk Protection Monitor feature, its
functionality, the ability of Members to establish and configure
multiple Risk Protection Monitor settings, and the ability of Members
to determine one of three alternative actions taken by the Risk
Protection Monitor once it is triggered.
    Proposed Rule 519A will continue to include the basic description
of the Risk Protection Monitor described above. The proposed amendments
will reflect that the Risk Protection Monitor maintains one or more
Member-configurable Allowable Order Rate settings and Allowable
Contract Execution Rate settings (collectively, ``Risk Protection
Monitor settings''). The Exchange believes that providing Members with
the ability to establish multiple Risk Protection Monitor settings
enhances Members' ability to account for sudden market movements due to
extreme market volatility, and for heightened activity in one
particular option or group of options in a particular industry or
segment of the market due to news or other factors affecting the
activity surrounding such option or options. Members may also
simultaneously account for normal or even sluggish activity in less
active options by establishing higher Risk Protection Monitor settings
and a longer specified time period during which the Risk Protection
Monitor engages the counting program.
    Amended Rule 519A(a), Voluntary Risk Protection Functionality,\9\
will also continue to include a choice of three possible outcomes for
the Member once the System triggers the Risk Protection Monitor (i.e.,
when the Risk Protection Monitor setting has been reached during the
specified time period), all of which are contained in the current rule.
Specifically, once engaged, the Risk Protection Monitor will then, as
determined by the Member: Automatically either (A) prevent the System
from receiving any new orders in all series in all classes from the
Member; (B) prevent the System from receiving any new orders in all
series in all classes from the Member and cancel all existing orders
with a time-in-force of Day in all series in all classes from the
Member; or (C) send a notification to the Member without any further
preventative or cancellation action by the System. As under the current
rule when engaged, the Risk Protection Monitor will still allow the
Member to interact with existing orders entered prior to exceeding the
Allowable Order Rate setting or the Allowable Contract Execution Rate
setting, including sending cancel order messages and receiving trade
executions from those orders. The Risk Protection Monitor will remain
engaged until the Member communicates with the Help Desk to enable the
acceptance of new orders.
---------------------------------------------------------------------------

    \9\ For clarity and ease of reference, the Exchange is proposing
to add the heading ``Voluntary Risk protection Functionality'' to
new Rule 519A(a), and the heading ``Mandatory Participation'' to new
Rule 519A(b).
---------------------------------------------------------------------------

    The Exchange believes that the ability of a Member to choose among
three outcomes once the Risk Protection Monitor is triggered enhances
the risk protections afforded to Members by the Exchange and thus
provides a tool by which Members can further use the Risk Protection
Monitor, once triggered, by tailoring the outcome to their acceptable
risk tolerance levels.
Mandatory Use of the Risk Monitor Mechanism
    In addition to the consolidation of current Rules 519A(a) and (b)
into one paragraph (new paragraph (a)), the Exchange proposes to adopt
new Rule 519A(b), Mandatory Participation, to state that Members must
establish at least one Allowable Order Rate setting with a
corresponding specified time period of not less than one second, and
not to exceed ten seconds, as established by the Exchange and
communicated to Members via Regulatory Circular (a ``Corresponding
Specified Time Period'') and at least one Allowable Contract Execution
Rate setting (with a Corresponding Specified Time Period). The Exchange
believes that establishing the Corresponding Specified Time Period
within these parameters will provide minimum and maximum guidelines for
Members, making their required use of the Risk Protection Monitor more
efficient and streamlined.
    The Risk Protection Monitor settings must be configured by the
Member such that the Risk Protection Monitor, when triggered, will
perform one of two steps set forth in proposed Rule 519A(a): Either (A)
prevent the System from receiving any new orders in all series in all
classes from the Member; or (B) prevent the System from receiving any
new orders in all series in all classes from the Member and cancel all
existing orders with a time-in-force of Day in all series in all
classes from the Member. Under the mandatory provision of proposed Rule
519A(b), the simple Member notification option included in section (C)
of proposed Rule 519A(a) would not be available.
    The purpose of this proposed provision is to mandate the use of the
Risk Protection Monitor so that Members and the investing public are
assured that the Risk Protection Monitor is active for all orders
submitted to the

Exchange. The Exchange notes that other exchanges have similar risk
protection tools and one has mandated a Member's use of similar
functionality.\10\
---------------------------------------------------------------------------

    \10\ International Securities Exchange LLC (``ISE'') Rule 714(d)
mandates the use of its Market Wide Risk Protection tool by
establishing default values that apply to members that do not submit
the required parameters, but does not establish exchange-mandated
minimum or maximum parameters. BATS BZX Exchange (``BZX'') Rule
21.16(b)(ii) lists a succession of ``Specified Engagement Triggers''
that may be set optionally by the BATS User, and thus does not
mandate the use of its Risk Monitor Mechanism.
---------------------------------------------------------------------------

    Proposed Rule 519A(b) would also state that Members may establish
additional Allowable Order Rate settings and additional Allowable
Contract Execution Rate settings, and any such additional settings may
be configured to perform the step set forth in either (A), (B), or (C)
of Rule 519(a) as described above, upon engagement of the Risk
Protection Monitor.
    As a technical matter, the Exchange proposes to amend Rule 519A,
Interpretations and Policies .01(c), to make it consistent with the
proposed amended Rule. The current Rule states that the Risk Protection
Monitor will prevent the System from receiving any new orders in all
series in all classes from the Member and, if designated by the
Member's instructions, cancel all existing Day orders in all series in
all classes from the Member. ``Day orders'' are not defined in the
Exchange's rules and therefore the Exchange proposes to replace the
term ``Day orders'' with ``orders with a time-in-force of Day.''
    The purpose of the proposed rule change is to enhance the risk
protections afforded to Members by the Exchange by mandating use of the
RPM and by permitting Members to establish multiple RPM Settings which
can be tailored to the Member's acceptable risk tolerance levels.
    The Exchange anticipates that the proposed new Risk Protection
Monitor functionality will be deployed on the Exchange beginning
November 7, 2016.
2. Statutory Basis
    MIAX believes that its proposed rule change is consistent with
Section 6(b) of the Act \11\ in general, and furthers the objectives of
Section 6(b)(5) of the Act \12\ 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 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.
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    \11\ 15 U.S.C. 78f(b).
    \12\ 15 U.S.C. 78f(b)(5).
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    The Exchange believes that Members will benefit from the proposed
mandatory use of the Risk Protection Monitor, coupled with the ability
of members to tailor their use of the Risk Protection Monitor to their
risk tolerance levels. Members are vulnerable to the risk from system
or other error or a market event, that may cause them to send a large
number of orders or receive multiple, automatic executions before they
can adjust their order exposure in the market. Without adequate risk
management tools, such as the Risk Protection Monitor, Members could
reduce the amount of order flow and liquidity that they provide to the
market. Such actions may undermine the quality of the markets available
to customers and other market participants. Accordingly, the proposed
amendments to the Risk Protection Monitor, especially its mandated use,
should instill additional confidence in Members that submit orders to
the Exchange that their risk tolerance levels are protected, and thus
should encourage such Members to submit additional order flow and
liquidity to the Exchange with the understanding that they must have
this protection, thereby removing impediments to and perfecting the
mechanisms of a free and open market and a national market system and,
in general, protecting investors and the public interest.
    In addition, providing Members with the ability to establish
multiple RPM settings provides Members with more tools to use in
managing their specific risks based on their individual risk tolerance
levels. This facilitates transactions in securities because, as noted
above, the Members will have more confidence that protections are in
place that reduce the risks from potential system errors and market
events. As a result, the modified functionality, together with the
mandated use of the Risk Protection Monitor, has the potential to
promote just and equitable principles of trade.

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. On the contrary, the
Exchange believes that the amendments to the Risk Protection Monitor
help promote competition by enabling Members to trade more aggressively
on the Exchange, with the understanding that there are multiple,
configurable risk management tools in place in the System. The Exchange
believes the proposed changes will not impose any burden on intra-
market competition because the use of the Risk Protection Monitor is
now required of all Members.
    The Exchange further believes that the proposed mandatory risk
protections should promote inter-market competition, and result in more
competitive order flow to the Exchange by protecting market
participants from system errors or market events that may cause them to
send a large number of orders or receive multiple, automatic executions
before they can adjust their order exposure in the market.

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

    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 for 30 days after the date of the filing, or such
shorter time as the Commission may designate, it has become effective
pursuant to 19(b)(3)(A) of the Act \13\ and Rule 19b-4(f)(6) \14\
thereunder.
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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)
requires a self-regulatory organization to give the Commission
written notice of its intent to file 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) normally does
not become operative prior to 30 days after the date of filing.
However, Rule 19b-4(f)(6)(iii) \15\ permits the Commission to designate
a shorter time if such action is consistent with the protection of
investors and the public interest. In its filing with the Commission,
the Exchange requests that the Commission waive the 30-day operative
delay. The Exchange requests waiver of the 30-day operative delay so
that Members may benefit from the proposed new functionality and so
that the Exchange is able to deploy the functionality on its scheduled
deployment date of November 7, 2016. For these reasons, the Commission
believes that waiver of

the 30-day operative delay is consistent with the protection of
investors and the public interest. Therefore, the Commission designates
the proposed rule change to be operative upon filing.\16\
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    \15\ 17 CFR 240.19b-4(f)(6)(iii).
    \16\ 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 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-MIAX-2016-39 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-MIAX-2016-39. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-MIAX-2016-39 and should be
submitted on or before December 7, 2016.
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    \17\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\17\
Brent J. Fields,
Secretary.
[FR Doc. 2016-27467 Filed 11-15-16; 8:45 am]
 BILLING CODE 8011-01-P