[Federal Register Volume 78, Number 245 (Friday, December 20, 2013)]
[Notices]
[Pages 77188-77191]
[FR Doc No: 2013-30264]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-71079; File No. SR-CBOE-2013-121]

Self-Regulatory Organizations; Chicago Board Options Exchange,
Incorporated; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change Relating to the Short Term Option Series Program

December 16, 2013.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the

``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that,
on December 11, 2013, Chicago Board Options Exchange, Incorporated (the
``Exchange'' or ``CBOE'') filed with the Securities and Exchange
Commission (the ``Commission'') the proposed rule change as described
in Items I and II below, which Items have been prepared by the
Exchange. The Commission is publishing this notice to solicit comments
on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend Exchange Rules 5.5(d) and
24.9(a)(2)(A) to expand the Short Term Option Series Program. The text
of the proposed rule change is available on the Exchange's Web site
(http://www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome.aspx), at the
Exchange's Office of the Secretary, and at the Commission's Public
Reference Room.

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

    In its filing with the Commission, 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 is proposing to amend Exchange Rules 5.5(d) and
24.9(a)(2)(A) to allow the Exchange to list 50 classes of options in
the Short Term Option Series Program (the ``Program'' or ``Weeklys
Program''); \3\ to list or add equity Weeklys within fifty percent
(50%) above or below price of the underlying price of the security if
the price of the underlying security is greater than $20, or within one
hundred percent (100%) above or below the price of the underlying
security if the price of the underlying security is less than or equal
to $20; and to add the ability to list equity Weekly strike price
interval of $2.50 or greater where the strike price is above $150. The
Exchange believes the proposed expansion will benefit the marketplace
given the increased market demand for this Program.
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    \3\ Short Term Option Series (``Weeklys'') are series in an
options class that are approved for listing and trading on the
Exchange in which the series are opened for trading on any Thursday
or Friday that is a business day and that expire at the close of
business on Fridays. The Exchange may list Weeklys for the next five
Fridays that are business days (and are not Fridays in which monthly
options series or Quarterly Options Series expire). The specifics of
the Program are discussed in more detail below.
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    The Weeklys Program for equity options is codified in Exchange Rule
5.5(d).\4\ This rule currently states that after an equity option class
has been approved for listing and trading on the Exchange, the Exchange
may open for trading on any Thursday or Friday that is a business day
series of options on that class that expire at the close of business on
each of the next five Fridays that are business days and are not
Fridays in which monthly options series or Quarterly Options Series
expire.\5\ Weekly expirations may not expire on the same day on which a
monthly option series or Quarterly Option series expires.\6\ The
Exchange may select up to 30 currently listed option classes to
participate in the Program and the Exchange may also list Weeklys on
classes selected by other exchanges under their respective Programs.\7\
The Exchange may open up to 30 series per expiration comprised of up to
20 initial series and 10 additional series for expiration.\8\ The same
number of strike prices must be opened above and below the value of the
underlying security at about the time that the Weeklys are initially
opened for trading on the Exchange.\9\ Strike prices being must
currently be within thirty percent (30%) above or below the closing
price of the underlying security from the preceding day.\10\
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    \4\ With the proposal, the Exchange is only proposing to amend
the Weeklys Program for equity options. The amount of classes that
may participate in the Program, however, is aggregated between
equity options and index options and is not apportioned between
equity and index options. Thus, as discussed more below, the
Exchange is proposing to make a conforming change to the class
limitation located in the Exchange's index Weeklys Program rules
(Exchange Rule 24.9(a)(2)(A)) to align the limitation for both
equity and index options.
    \5\ See Exchange Rules [sic] 5.5(d).
    \6\ See Exchange Rule 5.5(d)(2).
    \7\ See Exchange Rule 5.5(d)(1).
    \8\ See Exchange Rules 5.5(d)(1), (3) and (4).
    \9\ Id.
    \10\ Id.
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    The Weeklys Program currently allows that the interval between
strike prices may be (i) $0.50 or greater where the strike prices is
less than $75, and $1 or greater where the strike price is between $75
and $150 for all classes that participate in the Weeklys Program.\11\
In addition, during a market move such that no series are at least 10%
above or below the current price of the underlying security and all
existing series have open interest, the Exchange may also open
additional series in excess of the 30 strike limitation that are
between 10% and 30% of the price of the underlying security.\12\
Finally, in the event that the underlying security has moved such that
there are no series that are at least 10% above or below the current
prices of the underlying security, the Exchange will delist any series
with no open interest so as to list series that are at least 10% but
not more than 30% above or below the current price of the underlying
security.\13\ The Exchange is now proposing to expand the Program as
the Exchange believes an expansion will benefit the marketplace while
aligning the Exchange with currently proposed expansions by another
options exchange.\14\
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    \11\ See Exchange Rule 5.5(d)(5).
    \12\ See Exchange Rule 5.5(d)(4).
    \13\ See Exchange Rule 5.5(d)(6).
    \14\ The NASDAQ OMX PHLX LLC (``Phlx'') has recently submitted a
proposed rule change to expand its Weeklys Program. See Securities
and Exchange Act Release No. 71004 (December 6, 2013 (order
approving SR-Phlx-2013-101) (``Phlx Filing'').
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    First, the Exchange is proposing to increase the number of classes
that participate in the Program. Currently, the Exchange may ``select
up to thirty currently listed option classes on which Short Term Option
Series may be opened on any Short Term Option Opening Date.'' \15\ The
Exchange is now proposing to increase this number from thirty to fifty.
The Exchange believes that this expansion will be well received by
market participants because the Program is currently very popular and
continues to grow.\16\ In particular, the Exchange understands that
there are several classes for which there is demand that they be added
to the Program.
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    \15\ See Exchange Rules 5.5(d)(1). See also note 4 supra.
    \16\ The Exchange expressed support of the increase in the class
number participating in the Weeklys Program in a comment letter to
the Phlx Filing. See Letter dated November 12, 2013 from Megan R.
Malone, Chicago Board Options Exchange, Incorporated.
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    The Exchange is proposing to set forth this change in Rules
5.5(d)(1) and 24.9(a)(2)(A)(i). CBOE's rules governing the Program are
written so that the number of classes that may participate are not
apportioned between equity and index classes. In other words, the class

limitation is aggregated between equity and index options. While the
Exchange is not proposing to substantively amend the rule for the index
options Weeklys Program, the Exchange is proposing to reflect the
increase to the total number of classes that may participate in the
Program by amending Rule 24.9(a)(2)(A)(i). The Exchange believes that
this conforming change to the index options Weeklys Program is
appropriate for consistency and is needed in order to eliminate any
ambiguity that would result if this change were not made.
    Second, the Exchange is proposing to indicate the criteria the
Exchange must follow when opening initial and additional series under
the Weeklys Program. More specifically, the Exchange is proposing to
add language to Rules 5.5(d)(3) and 5.5(d)(4) for equity options to
state that series listed (both initial and additional) shall be
reasonably close to the price of the underlying equity security (which
underlying security price shall be determined in accordance with
subparagraph (a)(i) of Rule 5.5A) and within the following parameters:
(i) If the price of the underlying security is less than or equal to
$20, strike prices shall be not more than one hundred percent (100%)
above or below the price of the underlying security; and (ii) if the
price of the underlying security is greater than $20, strike prices
shall be not more than fifty percent (50%) above or below the price of
the underlying security. The Exchange is also proposing to add language
stating that the Exchange may open additional strike prices of Short
Term Option Series that are more than 50% above or below the current
value of the underlying security (if the price is greater than $20);
provided that demonstrated customer interest exists for such series, as
expressed by institutional, corporate or individual customers or their
brokers. Market-Makers trading for their own account shall not be
considered when determining customer interest under this provision.\17\
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    \17\ Rule 5.5A(b)(i) currently states that if the price of the
underlying security is greater than $20, the Exchange shall not list
new option series with an exercise price more than 50% above or
below the price of the underlying security. Immediately before this
language, the Exchange proposes to also add a carve-out that states
``Except as provided in Rule 5.5(d)(4) . . .''
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    This proposal is in line with process for adding new series of
options found in subsection 3(g)(i) of the Options Listing Procedures
Plan (``OLPP'').\18\ The Exchange believes that is [sic] this proposal
is a reasonable enhancement to the Weeklys Program and will also align
the Exchange with other exchanges participating in the Weeklys
Program.\19\ The proposed added language to Rule 5.5(d)(4) with conform
the criteria for additional series added to the proposed criteria for
initial series additions.
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    \18\ Rule 5.5A codifies select provisions of the OLPP.
    \19\ See note 14 supra.
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    Next, the Exchange is proposing to permit the Exchange to list
strike price intervals at $2.50 or more for classes in the Weeklys
Program where the strike price is above $150. This proposed change
complements the current Weeklys strike price interval setting regime,
which provides for $0.50 or greater strike prices where the strike
price is less than $75 and $1.00 or greater strike prices where the
strike prices is between $75 and $150 for all classes that participate
in the Weeklys Program.\20\ The proposed change would align the
Exchange with another options exchange participating in the Weeklys
Program \21\ while permitting the listing of an additional strike
interval for higher priced underlying securities that complements the
current intervals.
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    \20\ Strike price intervals may also be $0.50 for classes that
trade in $1.00 increments in Related non-Short Term Options that
participate in the Weeklys Program. See Exchange Rule 5.5(d)(5).
    \21\ See note 14 supra.
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    Finally, the Exchange is proposing to delete language in its
Delisting provisions of the Weeklys Program. More specifically, the
Exchange is proposing to delete the current provision that states that
the Exchange will delist any series with no open interest in both the
call and put series as to ``list series that are at least 10% but not
more than 30 above or below the current value of the underlying
index.'' The Exchange believes this proposed change will conform the
delisting provision for the Weeklys Program with the other proposed
amendments and align the Exchange will another options exchange
participating in the Program.\22\
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    \22\ See note 14 supra.
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    The Exchange believes this proposed expansion will meet the current
unmet market demand in the Weeklys Program which has proven to be a
popular program. In addition, the proposed changes will make the
Weeklys Program more effective, harmonize the provisions with the OLPP,
and create more clarity in the Exchange's rules. Finally, the Exchange
believes other options exchanges will adopt similar provisions as all
options exchanges currently have similar rules. This expansion across
all options exchanges will continue to promote competition amongst the
exchanges.
    The Exchange notes that the Weeklys Program has been very well-
received by market participants, in particular by retail investors. The
Exchange believes that the current proposed revision to the Weeklys
Program will permit the Exchange to meet increased customer demand and
provide market participants with the ability to hedge in a greater
number of option classes and series.
 2. Statutory Basis
    The Exchange believes the proposed rule change is consistent with
the Securities Exchange Act of 1934 (the ``Act'') and the rules and
regulations thereunder applicable to the Exchange and, in particular,
the requirements of Section 6(b) of the Act.\23\ Specifically, the
Exchange believes the proposed rule change is consistent with the
Section 6(b)(5) \24\ requirements that the rules of an exchange be
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in regulating, clearing,
settling, processing information with respect to, and facilitating
transactions in securities, to remove impediments to and perfect the
mechanism of a free and open market and a national market system, and,
in general, to protect investors and the public interest. Additionally,
the Exchange believes the proposed rule change is consistent with the
Section 6(b)(5) \25\ requirement that the rules of an exchange not be
designed to permit unfair discrimination between customers, issuers,
brokers, or dealers.
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    \23\ 15 U.S.C. 78f(b).
    \24\ 15 U.S.C. 78f(b)(5).
    \25\ Id.
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    In particular, the Weeklys Program has been well-received by market
participants and has seen increasing trading volume. The Exchange
believes that the current proposed revisions to the Weeklys Program
will permit the Exchange to meet customer demand for enhanced Weeklys
Program use and efficiency, harmonization of the OLPP and Weeklys
rules, and a reasonable expansion of strike price intervals in the
Program to the benefit of investors, market participants, and the
market in general.
    With regard to the impact of this proposal on system capacity, the
Exchange has [sic] represents that it and the Options Price Reporting
Authority (``OPRA'') have the necessary systems capacity to handle any
potential additional traffic associated with this current amendment to
the Weeklys Program. The Exchange believes that its

Trading Permit Holders will not have a capacity issue as a result of
this proposal. The Exchange also represents that it does not believe
this expansion will cause fragmentation to liquidity.

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

    CBOE 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. Instead, CBOE believes that the
proposed rule change will relieve any burden on, or otherwise promote,
competition. The Exchange believes that the proposed rule change will
result in additional investment options and opportunities to achieve
the investment objectives of market participants seeking efficient
trading and hedging vehicles, to the benefit of investors, market
participants, and the marketplace in general.

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

    The Exchange neither solicited nor received comments on the
proposed rule change. The Exchange does note that the original Phlx
proposal received one comment from the Exchange in support of the
expansion of the Weeklys Program to 50 options classes.\26\ The Phlx
proposal did not receive any other comments.
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    \26\ See note 16 supra.
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III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

    Because the proposed rule change does not (i) significantly affect
the protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative for 30
days from the date on which it was filed, or such shorter time as the
Commission may designate, the proposed rule change has become effective
pursuant to Section 19(b)(3)(A) of the Act \27\ and Rule 19b-4(f)(6)
thereunder.\28\
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    \27\ 15 U.S.C. 78s(b)(3)(A).
    \28\ 17 CFR 240.19b-4(f)(6). As required under Rule 19b-
4(f)(6)(iii), the Exchange provided the Commission with written
notice of its intent to file the proposed rule change, along with a
brief description and the text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission.
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    The Exchange has asked the Commission to waive the 30-day operative
delay so that the proposal may become operative immediately upon
filing. The Exchange stated that waiver of this requirement will
promote fair competition among exchanges by allowing the Exchange to
offer a more efficient Weeklys Program that is harmonized internally
and externally with the OLPP, and to meet customer demand for a greater
number of Weeklys classes and strike price intervals, in the same
manner as other exchanges. For these reasons, the Commission believes
that the proposed rule change presents no novel issues, and waiver will
allow the Exchange to remain competitive with other exchanges.
Therefore, the Commission designates the proposed rule change to be
operative upon filing.\29\
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    \29\ For purposes only of waiving the 30-day operative delay,
the Commission has also 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-CBOE-2013-121 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-CBOE-2013-121. 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-CBOE-2013-121 and should be
submitted on or before January 10, 2014.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\30\
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    \30\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-30264 Filed 12-19-13; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: October 3, 2007 (Volume 72, Number 191)]
[Notices]
[Page 56410-56412]
[DOCID:fr03oc07-110]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-56540; File No. SR-NASD-2006-109]

Self-Regulatory Organizations; National Association of Securities
Dealers, Inc. (n/k/a Financial Industry Regulatory Authority, Inc.);
Order Approving Proposed Rule Change as Modified by Amendment Nos. 1
and 2 Thereto Relating to Representation of Parties in Arbitration and
Mediation

September 26, 2007.

I. Introduction

    On September 14, 2006, the National Association of Securities
Dealers, Inc. (``NASD'') (n/k/a Financial Industry Regulatory
Authority, Inc. (``FINRA'')), through its wholly owned subsidiary, NASD
Dispute Resolution, Inc. (``NASD Dispute Resolution'') (n/k/a, FINRA
Dispute Resolution, Inc.), filed with the Securities and Exchange
Commission (``SEC'' or ``Commission''), pursuant to Section 19(b)(1) of
the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4
thereunder,\2\ a proposed rule change relating to representation of
parties in arbitration and mediation.\3\ On November 9, 2006 and
February 23, 2007, NASD Dispute Resolution submitted Amendment Nos. 1
and 2, respectively, to the proposed rule change. The proposed rule
change, as amended, was published for comment in the Federal Register
on April 13, 2007.\4\ The Commission received five comments on the
proposal.\5\ For the reasons discussed below, the Commission is
approving the proposed rule change, as amended.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ On July 26, 2007, the Commission approved a proposed rule
change filed by NASD to amend NASD's Certificate of Incorporation to
reflect its name change to Financial Industry Regulatory Authority
Inc., or FINRA, in connection with the consolidation of the member
firm regulatory functions of NASD and NYSE Regulation, Inc. See
Exchange Act Release No. 56146 (July 26, 2007); 72 FR 42190 (Aug. 1,
2007).
    \4\ See Securities Exchange Act Release No. 55604 (April 9,
2007), 72 FR 18703 (April 13, 2007).
    \5\ See letters to Nancy Morris, Secretary, Commission, from
Timothy Canning, Law Offices of Timothy A. Canning, dated May 4,
2007 (``Canning''); Vincent DiCarlo, Law Offices of Vincent DiCarlo,
dated May 4, 2007 (``DiCarlo''); Jill I. Gross, Director of
Advocacy, Pace Investor Rights Project, dated May 4, 2007
(``Pace''); Richard L. Sacks, dated May 3, 2007 (``Sacks''); and
Irwin G. Stein, dated May 4, 2007 (``Stein'').
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II. Description of the Proposal

    The changes to NASD's Code of Arbitration Procedure for Customer
Disputes, Code of Arbitration Procedure for Industry Disputes, and Code
of Mediation Procedure provide that in both arbitration and mediation:
(1) Parties may represent themselves; (2) parties may be represented by
an attorney, provided certain criteria are met; (3) parties may be
represented by a person who is not an attorney, unless state law
prohibits such representation or the person is currently suspended or
barred from the securities industry in any capacity or is currently
suspended from the practice of law or disbarred; and (4) issues
regarding qualifications of a representative are governed by applicable
law.
    First, the proposed rule change codifies current practice by
explicitly stating that parties may represent themselves in
arbitration.
    Second, the proposed rule change codifies current practice
permitting the multi-jurisdictional practice of law by attorneys in the
NASD Dispute Resolution forum to the extent permitted by state law. In
addition, the proposed rule change states that if a party chooses to be
represented by an attorney, the attorney must be licensed to practice
in a U.S. jurisdiction and be

in good standing in that jurisdiction.\6\ NASD stated that requiring an
attorney to be licensed and in good standing in a U.S. jurisdiction
will protect investors by prohibiting individuals who have been
suspended from the practice of law or disbarred from representing
parties in the NASD forum. Further, NASD stated that the requirement
for an attorney to be licensed to practice in a U.S. jurisdiction sets
a standard of practice for its forum that is consistent with the other
rules and proceedings of NASD.
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    \6\ The requirement to be licensed to practice in a U.S.
jurisdiction and be in good standing in that jurisdiction is in
addition to and not in lieu of the requirement that an attorney must
comply with applicable laws of the relevant jurisdiction. While the
multi-jurisdictional practice of law may be permitted in many
jurisdictions, it may constitute a violation of certain states'
unauthorized practice of law provisions.
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    Third, the proposed rule change addresses the representation of
parties by non-attorneys in the NASD forum. Under the proposed rule
change, parties may be represented in an arbitration or mediation by a
person who is not an attorney, unless applicable law prohibits such
representation or the person is currently suspended or barred from the
securities industry in any capacity or is currently suspended from the
practice of law or disbarred.
    While this provision would be applicable to all arbitration claims,
it may be particularly beneficial for certain investors that may have
difficulty retaining an attorney on a contingency-fee basis. For
example, investors with small claims may be unable to retain an
attorney because the attorney may believe that the attorney's share of
any award would be too small to justify the effort. In these
circumstances, investors may benefit from being able to seek other
assistance to resolve their arbitration or mediation claims for a more
affordable fee.\7\ At the same time, NASD stated that such non-attorney
representatives should not be persons who have been found by a
regulatory body in essence to be unfit to represent clients or to
conduct securities business with the public. Thus, to protect
investors, the rule would prohibit non-attorney representatives who are
currently suspended or barred from the securities industry, or are
currently suspended from the practice of law or disbarred, from
representing parties in the NASD Dispute Resolution forum.
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    \7\ Consistent with current practice, the proposed rule would
allow a relative, friend or associate to represent or assist a
person (e.g., an elderly or disabled person) with his or her
arbitration or mediation. In addition, law school securities
arbitration clinics can provide investors with affordable legal
representation. A securities arbitration clinic also can help an
investor who has a smaller claim but is unable to hire an attorney,
provided the investor qualifies for assistance. See How to Find an
Attorney (for more information on clinic locations and eligibility
requirements), available at: http://www.finra.org/ArbitrationMediation/StartanArbitrationorMediation/HowtoFindanAttorney/index.htm
.

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    Last, the proposed rule change would allow an attorney to represent
a client in an NASD arbitration or mediation held in any U.S. hearing
location, regardless of the jurisdiction in which the attorney is
licensed. An attorney's ability to represent clients in a jurisdiction
in which he or she is not licensed, however, would be subject to the
applicable law of that jurisdiction. The proposed rule change is not
intended to preempt state law; it is intended to reflect current
practice in the forum which, based on experience, indicates that the
outcome of a dispute resolution proceeding depends more on the level of
knowledge, training and skill of the attorneys, rather than the
jurisdiction from which the attorneys received their license to
practice.

III. Comment Summary and Response to Comments

    The Commission received five comments \8\ on the proposal and a
response to comments.\9\ One commenter generally expressed support for
the proposed rule change.\10\ The remaining four commenters opposed the
proposed rule change and the NASD Response addressed these
comments.\11\
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    \8\ Canning, DiCarlo, Pace, Sacks, and Stein.
    \9\ See letter to Nancy Morris, Secretary, Commission, from
Mignon McLemore, Assistant Chief Counsel, FINRA Dispute Resolution,
dated September 17, 2007 (``NASD Response''). While FINRA had been
formed at the time of the submission of the NASD Response, for ease
of reference the term NASD is used throughout.
    \10\ Pace.
    \11\ Canning, DiCarlo, Sacks, and Stein. See also NASD Response.
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    Three commenters expressed the view that there should be a uniform
national rule governing who can represent a party in a NASD forum,
rather than permitting the incorporation of state rules that may vary
from jurisdiction to jurisdiction.\12\ These commenters suggested that
NASD should adopt a uniform rule that would preempt contrary state
laws.\13\ NASD indicated that it had determined that ``there is no
overriding need for a uniform rule in this area, and that the continued
compliance with state rules is in the best interests of all
participants in its arbitration forum.'' \14\ NASD also noted that this
position is consistent with its previous position with respect to
arbitrator disclosure, distinguishing attorney qualification rules and
rules regulating arbitration procedure.\15\
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    \12\ Canning, DiCarlo, and Stein.
    \13\ Id.
    \14\ NASD Response.
    \15\ Id.
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    Four commenters stated that the proposed rule change would penalize
retroactively those persons who are currently suspended or barred from
the securities industry by prohibiting them from representing a party
in an arbitration or mediation proceeding.\16\ In their view, it would
impose a new penalty on those who have had their misconduct adjudicated
and sanctions imposed.\17\ NASD indicated that the rule is ``designed
to protect investors'' and that at a minimum a non-attorney
representative should not be ``a person whom a regulatory body has
suspended or barred from representing clients or conducting securities
business with the public.'' \18\
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    \16\ Canning, DiCarlo, Sacks, and Stein.
    \17\ Id.
    \18\ NASD Response. NASD noted that ``[t]he proposal will apply
prospectively as to representation on or after the effective date.
If a barred or suspended individual is representing a party in a
case pending on the effective date of the rule, he or she may
continue to serve on that case, but may not serve on new ones.''
---------------------------------------------------------------------------

    In addition, in response to comments that the proposed rule may
unduly limit investor choices,\19\ NASD stated that it believes that
the limitations on the choice of representation under the proposed rule
are appropriate and would protect investors.\20\
---------------------------------------------------------------------------

    \19\ Canning, DiCarlo, Sacks, and Stein.
    \20\ Id.
---------------------------------------------------------------------------

IV. Discussion and Findings

    The Commission believes that the proposed rule change is consistent
with the provisions of Section 15A(b)(6) of the Act,\21\ which
requires, among other things, that NASD's rules must be designed to
prevent fraudulent and manipulative acts and practices, to promote just
and equitable principles of trade, and, in general, to protect
investors and the public interest. The Commission believes that the
proposed rule change meets this standard by balancing the needs of
investors to have access to representation, particularly in small
cases, with NASD's responsibility to protect investors, the integrity
of its forum, and the public interest.
---------------------------------------------------------------------------

    \21\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------

V. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\22\ that the proposed rule change (SR-NASD-2006-109), as amended,
be, and hereby is, approved.
---------------------------------------------------------------------------

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

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

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\23\
---------------------------------------------------------------------------

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

Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-19536 Filed 10-2-07; 8:45 am]

BILLING CODE 8011-01-P


			  UNITED STATES OF AMERICA

		        DEPARTMENT OF TRANSPORTATION

			  OFFICE OF THE SECRETARY

			          WASHINGTON, D.C.

Issued by the Department of Transportation on December 20, 2002

NOTICE OF ACTION TAKEN – DOCKET OST 2000-8374

 _______________________________________________________________________
____________________________________________________

This serves as notice to the public of the action described below, taken
by the Department official indicated (no additional confirming order
will be issued in this matter).

Applicant:  AEROVIAS de MEXICO, S.A. de C.V.
                    Date Filed: November 26, 2002

Relief requested:  Exemption from 49 USC section 41301 to permit the
applicant to continue to conduct scheduled, combination service between
Monterrey, Mexico, and New York, New York.

If renewal, date and citation of last action(s):  December 11, 2001, in
this Docket.

Applicant representative(s):  William C. Evans,<PHONE_NUMBER>       DOT
analyst:  Allen F. Brown,<PHONE_NUMBER>

Responsive pleadings:  None.

	DISPOSITION

Action:  Approved.
         Action date:  December 20, 2002

Effective dates of authority granted:  December 20, 2002, through
December 20, 2003.

Basis for approval (bilateral agreement/reciprocity):  United
States-Mexico Air Transport Services Agreement.

Except to the extent exempted/waived, this authority is subject to the
terms, conditions, and limitations indicated:  Standard exemption
conditions.

Special conditions/Remarks:

Action taken by:   Paul L. Gretch, Director

		      Office of International Aviation

________________________________________________________________________
________________________________________________________

Under authority assigned by the Department in its regulations, 14 CFR
Part 385, we found that (1) our action was consistent with Department
policy; (2) the applicant was qualified to perform its proposed
operations; (3) grant of the authority was consistent with the public
interest; and (4) grant of the authority would not constitute a major
regulatory action under the Energy Policy and Conservation Act of 1975.
To the extent not granted/deferred/dismissed, we denied all requests in
the referenced Docket.  We may amend, modify, or revoke the authority
granted in this Notice at any time without hearing at our discretion.

Persons entitled to petition the Department for review of the action set
forth in this Notice under the Department’s regulations, 14 CFR
§385.30, may file their petitions within seven (7) days after the date
of issuance of this Notice.  This action was effective when taken, and
the filing of a petition for review will not alter such effectiveness.

An electronic version of this document is available on the World Wide
Web at:

http://dms.dot.gov//reports/reports_aviation.asp


[Federal Register Volume 81, Number 27 (Wednesday, February 10, 2016)]
[Notices]
[Pages 7138-7139]
[FR Doc No: 2016-02648]

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

DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Docket ID: FEMA-2007-0008]

National Advisory Council

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Committee management; request for applicants for appointment to
the National Advisory Council.

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

SUMMARY: The Federal Emergency Management Agency (FEMA) is requesting
qualified individuals who are interested in serving on the FEMA
National Advisory Council (NAC) to apply for appointment as identified
in this notice. Pursuant to the Post-Katrina Emergency Management
Reform Act of 2006 (PKEMRA), the NAC shall advise the Administrator of
FEMA on all aspects of emergency management. The NAC shall incorporate
state, local, tribal, and territorial government, non-profit and
private sector input in the development and revision of national
emergency management doctrine, policy, and plans. The NAC consists of
up to 35 members, all of whom are experts and leaders in their
respective fields. FEMA seeks to appoint individuals to seven (7)
discipline specific positions on the NAC and up to four (4) members as
Administrator Selections. If other positions are vacated during the
application process, candidates may be selected from the pool of
applicants to fill the vacated positions.

DATES: Applications will be accepted until 11:59 p.m. EDT on March 16,
2016.

ADDRESSES: The preferred method of submission for application packages
is via email. However, application packages may also be submitted by
fax or U.S. mail. Please submit by only ONE of the following methods:
     Email<EMAIL_ADDRESS>Please save materials as one
document using the naming convention, ``LAST NAME_FIRST NAME'' and
attach to the email.
     Fax:<PHONE_NUMBER>.
     U.S. Mail: Office of the National Advisory Council,
Federal Emergency Management Agency, 8th Floor, 500 C Street SW.,
Washington, DC 20472-3184.

FOR FURTHER INFORMATION CONTACT: Alexandra Woodruff, Designated Federal
Officer, The Office of the National Advisory Council, Federal Emergency
Management Agency, 8th Floor, 500 C Street SW., Washington, DC 20472-
3184; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>; and email<EMAIL_ADDRESS>For more information on the NAC, including
application instructions and a list of frequently asked questions,
please visit http://www.fema.gov/national-advisory-council.

SUPPLEMENTARY INFORMATION: The NAC is an advisory committee established
in accordance with the provisions of the Federal Advisory Committee Act
(FACA), 5 U.S.C. Appendix. As required by PKEMRA, the Secretary of
Homeland Security established the NAC to ensure effective and ongoing
coordination of Federal preparedness, protection, response, recovery,
and mitigation for natural disasters, acts of terrorism, and other man-
made disasters. FEMA is requesting individuals who are interested and
qualified in serving on the NAC to apply for appointment. Individuals
selected for appointment will serve as either a Special Government
Employee (SGE) or a Representative in one of the following disciplines:
Emergency Management (one Representative appointment), Emergency
Medical Providers (one SGE appointment), Functional and Access Needs
(one Representative appointment), Non-Elected Local Government
Officials (one Representative appointment), Non-Elected State
Government Officials (one Representative appointment), Public Health
(one SGE appointment), Standards Setting and Accrediting (one SGE
appointment). The Administrator may appoint up to four (4) additional
candidates to serve as FEMA Administrator Selections (as SGE
appointments). For one of the FEMA Administrator Selection positions,
FEMA seeks to appoint an individual to represent emerging leaders in
emergency management. This position is for an individual who has
academic experience in emergency management, served in the FEMACorps
program, is an alumni of FEMA's Youth Preparedness Council, or has
otherwise contributed to the field of emergency management as an
emerging leader. Appointments will be for three-year terms that start
in September 2016.
    More information about the disciplines can be found in the NAC
Charter: http://www.fema.gov/media-library-data/18059cd64e864a278afab92581092481/NAC+Charter_CMO+filed+23APR2013+508c.pdf.
    If you are interested and qualified, please apply for consideration
of appointment by submitting an application package to the Office of
the NAC as listed in the ADDRESSES section of this notice. Current NAC
members whose terms are ending should notify the Office of the NAC of
their interest in reappointment in lieu of submitting a new
application, and if desired, provide updated application materials for
consideration. There is no application form; however, each application
package MUST include the following information:
     Cover letter, addressed to the Office of the NAC, that
indicates why you are interested in serving on the NAC and includes the
following information: the discipline area(s) being applied for,
current position title and organization, home and work addresses, a
current telephone number and email address;
     Resume or Curriculum Vitae (CV); and
     One Letter of Recommendation addressed to the Office of
the NAC.

    Incomplete applications will not be considered. Each application
will be reviewed on three criteria: (1) Leadership attributes, (2)
emergency management experience, and (3) strategy and policy
experience.
    Appointees may be designated as a SGE as defined in section 202(a)
of title 18, United States Code, or as a Representative member.
Candidates selected for appointment as SGEs are required to complete a
Confidential Financial Disclosure Form (Office of Government Ethics
(OGE) Form 450) each year. This form can be obtained by visiting the
Web site of the Office of Government Ethics (http://www.oge.gov).
However, please do not submit this form with your application.
    The NAC meets in person approximately twice a year. Members may be
reimbursed for travel and per diem. All travel for NAC business must be
approved in advance by the Designated Federal Officer. NAC members are
expected to serve on one of the three NAC Subcommittees, which
regularly meet by teleconference.
    DHS does not discriminate on the basis of race, color, religion,
sex, national origin, political affiliation, sexual orientation, gender
identity, marital status, disability and genetic information, age,
membership in an employee organization, or other non-merit factor. DHS
strives to achieve a widely diverse candidate pool for all of its
recruitment actions. Current DHS and FEMA employees, FEMA Reservists,
and DHS and FEMA contractors and potential contractors will not be
considered for membership. Federally registered lobbyists may apply for
positions designated as Representative appointments but are not
eligible for positions that are designated as SGE appointments.

    Dated: February 4, 2016.
W. Craig Fugate,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2016-02648 Filed 2-9-16; 8:45 am]
 BILLING CODE 9111-48-P


[Federal Register Volume 87, Number 176 (Tuesday, September 13, 2022)]
[Notices]
[Pages 56064-56066]
[FR Doc No: 2022-19709]

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

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2022-D-1908]

Policy for Monkeypox Tests To Address the Public Health
Emergency; Guidance for Laboratories, Commercial Manufacturers, and
Food and Drug Administration Staff; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of availability.

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

SUMMARY: The Food and Drug Administration (FDA or Agency) is announcing
the availability of a final guidance entitled ``Policy for Monkeypox
Tests To Address the Public Health Emergency.'' On August 4, 2022, the
Secretary of the Department of Health and Human Services (HHS)
determined that there is a public health emergency related to
monkeypox. Monkeypox virus is a zoonotic infection (a virus transmitted
to humans from animals), caused by Orthopoxvirus genus of the
Poxviridae family similar to variola virus (the causative agent of
smallpox), and can spread to humans. Since early May 2022, cases of
monkeypox have been reported from countries where the disease is not
endemic and continue to be reported in several endemic countries. Rapid
detection of monkeypox cases in the United States requires wide
availability of diagnostic testing to control the emergence of this
contagious infection. This guidance describes FDA's review priorities
of emergency use authorization (EUA) requests for monkeypox diagnostic
tests, as well as FDA's enforcement policies for various monkeypox
tests. The guidance document has been implemented without prior
comment, but it remains subject to comment in accordance with the
Agency's good guidance practices.

DATES: The announcement of the guidance is published in the Federal
Register on September 13, 2022.

ADDRESSES: You may submit either electronic or written comments on
Agency guidances at any time as follows:

Electronic Submissions

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

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand Delivery/Courier (for written/paper
submissions): Dockets Management Staff (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets
Management Staff, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2022-D-1908 for ``Policy for Monkeypox Tests To Address the Public
Health Emergency.'' Received comments will be placed in the docket and,
except for those submitted as ``Confidential Submissions,'' publicly
viewable at https://www.regulations.gov or at the Dockets Management
Staff between 9 a.m. and 4 p.m., Monday through Friday,<PHONE_NUMBER>.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on https://www.regulations.gov.
Submit

both copies to the Dockets Management Staff. If you do not wish your
name and contact information to be made publicly available, you can
provide this information on the cover sheet and not in the body of your
comments and you must identify this information as ``confidential.''
Any information marked as ``confidential'' will not be disclosed except
in accordance with 21 CFR 10.20 and other applicable disclosure law.
For more information about FDA's posting of comments to public dockets,
see 80 FR 56469, September 18, 2015, or access the information at:
https://www.govinfo.gov/content/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852,<PHONE_NUMBER>.
    You may submit comments on any guidance at any time (see Sec.
10.115(g)(5) (21 CFR 10.115(g)(5))).
    An electronic copy of the guidance document is available for
download from the internet. See the SUPPLEMENTARY INFORMATION section
for information on electronic access to the guidance. Submit written
requests for a single hard copy of the guidance document entitled
``Policy for Monkeypox Tests To Address the Public Health Emergency''
to the Office of Policy, Center for Devices and Radiological Health,
Food and Drug Administration, 10903 New Hampshire Ave., Bldg. 66, Rm.
5431, Silver Spring, MD 20993-0002. Send one self-addressed adhesive
label to assist that office in processing your request.

FOR FURTHER INFORMATION CONTACT: Amy Zale, Center for Devices and
Radiological Health, Food and Drug Administration, 10903 New Hampshire
Ave., Bldg. 66, Rm. 3423A, Silver Spring, MD 20993-0002,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    FDA is announcing the availability of a guidance entitled ``Policy
for Monkeypox Tests To Address the Public Health Emergency.'' On August
4, 2022, the Secretary of HHS determined that there is a public health
emergency related to monkeypox.\1\ On August 9, 2022, the Secretary of
HHS determined \2\ under section 564 of the Federal Food, Drug, and
Cosmetic Act (FD&C Act) (21 U.S.C. 360bbb-3) that there is a public
health emergency, or significant potential for a public health
emergency, that affects, or has a significant potential to affect,
national security or the health and security of U.S. citizens living
abroad that involves monkeypox virus. On September 7, 2022, the
Secretary of HHS determined that circumstances exist justifying the
authorization of emergency use of in vitro diagnostics for detection
and/or diagnosis of infection with the monkeypox virus, including in
vitro diagnostics that detect and/or diagnose infection with non-
variola Orthopoxvirus.3
---------------------------------------------------------------------------

    \1\ See HHS Secretary Section 319 Declaration (August 4, 2022),
available at https://aspr.hhs.gov/legal/PHE/Pages/monkeypox-4Aug22.aspx.
    \2\ See HHS Secretary Section 564 Determination (August 9,
2022), available at https://aspr.hhs.gov/legal/Section564/Pages/Monkeypox-9Aug22.aspx.
    \3\ See HHS Secretary Section 564 Determination (September 7,
2022), available at https://aspr.hhs.gov/legal/Section564/Pages/InVitro-Diagnostics-Monkeypox-7Sept22.aspx.
---------------------------------------------------------------------------

    Rapid detection of monkeypox cases in the United States requires
wide availability of diagnostic testing to help control the emergence
of this contagious infection. This guidance describes FDA's review
priorities of EUA requests for monkeypox diagnostic tests, describes
FDA's enforcement policies for certain diagnostic tests that are
developed by and performed in a laboratory certified under the Clinical
Laboratory Improvement Amendments that meets the requirements to
perform tests of high complexity, describes FDA's enforcement policies
for FDA-cleared or authorized monkeypox diagnostic tests that are
modified, describes FDA's enforcement policies for certain serology
tests, and provides recommendations for diagnostic test validation.
    In light of this public health emergency, FDA has determined that
prior public participation for this guidance is not feasible or
appropriate and is issuing this guidance without prior public comment
(see section 701(h)(1)(C)(i) of the FD&C Act (21 U.S.C.
371(h)(1)(C)(i)) and Sec.  10.115(g)(2)). Although this guidance has
been implemented without prior comment, FDA will consider all comments
received and revise the guidance document as appropriate.
    This guidance is being issued consistent with FDA's good guidance
practices regulation (Sec.  10.115). The guidance represents the
current thinking of FDA on ``Policy for Monkeypox Tests To Address the
Public Health Emergency.'' It does not establish any rights for any
person and is not binding on FDA or the public. You can use an
alternative approach if it satisfies the requirements of the applicable
statutes and regulations.

II. Electronic Access

    Persons interested in obtaining a copy of the guidance may do so by
downloading an electronic copy from the internet. A search capability
for all Center for Devices and Radiological Health guidance documents
is available at https://www.fda.gov/medical-devices/device-advice-comprehensive-regulatory-assistance/guidance-documents-medical-devices-and-radiation-emitting-products. This guidance document is also
available at https://www.regulations.gov or https://www.fda.gov/regulatory-information/search-fda-guidance-documents. Persons unable to
download an electronic copy of ``Policy for Monkeypox Tests To Address
the Public Health Emergency'' may send an email request to [email protected] to receive an electronic copy of the document.
Please use the document number 22003 and complete title to identify the
guidance you are requesting.

III. Paperwork Reduction Act of 1995

    The guidance refers to previously approved FDA collections of
information. These collections of information are subject to review by
the Office of Management and Budget (OMB) under the Paperwork Reduction
Act of 1995 (PRA) (44 U.S.C. 3501-3521). The collections of information
in the following FDA regulations and guidances have been approved by
OMB as listed in the table below. The guidance also contains a new
collection of information not approved under a current collection.
These new collections of information were granted a public health
emergency (PHE) waiver from the PRA by HHS on August 19, 2022, under
section 319(f) of the Public Health Service Act (42 U.S.C. 247d(f)).
Information concerning the PHE PRA waiver can be found on the HHS
website at https://aspe.hhs.gov/public-health-emergency-declaration-pra-waivers.

----------------------------------------------------------------------------------------------------------------
                                                               Another guidance       OMB       New collection
         Guidance title             CFR cite referenced in      referenced in       control   covered by PHE PRA
                                           guidance                guidance         No(s).          waiver
----------------------------------------------------------------------------------------------------------------
Policy for Monkeypox Tests to     .........................  Emergency Use         0910-0595
 Address the Public Health                                    Authorization of
 Emergency.                                                   Medical Products
                                                              and Related
                                                              Authorities;
                                                              Guidance for
                                                              Industry and Other
                                                              Stakeholders.
                                                             Administrative        0910-0607
                                                              Procedures for
                                                              Clinical
                                                              Laboratory
                                                              Improvement
                                                              Amendments of 1988
                                                              Categorization.
                                  803......................  ...................   0910-0437
                                  806......................  ...................   0910-0359
                                  807, subpart E...........  ...................   0910-0120
                                                                                FDA Notification
                                                                                of Laboratory
                                                                                Development and
                                                                                Validation of
                                                                                Monkeypox Test
                                                                                (including
                                                                                notification
                                                                                template).
                                                                                Statements on
                                                                                patient test
                                                                                reports.
                                                                                Commercial
                                                                                Manufacturer Test
                                                                                for Monkeypox--
                                                                                EUA Test Summary
                                                                                Information.
                                                                                EUA templates for
                                                                                monkeypox tests.
----------------------------------------------------------------------------------------------------------------

    Dated: September 7, 2022.
Lauren K. Roth,
Associate Commissioner for Policy.
[FR Doc. 2022-19709 Filed 9-12-22; 8:45 am]
BILLING CODE 4164-01-P