[Federal Register Volume 79, Number 3 (Monday, January 6, 2014)]
[Notices]
[Pages 692-695]
[FR Doc No: 2013-31515]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-71198; File No. SR-NASDAQ-2013-161]

Self-Regulatory Organizations; The NASDAQ Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend Fees Assessed for Connectivity to the Exchange Under Rule 7015,
and To Eliminate Fees Assessed Under Rules 7033 and 7059

December 30, 2013.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on December 20, 2013, The NASDAQ Stock Market LLC (``NASDAQ'' or the
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') a proposed rule change as described in Items I, II and
III 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 the
Substance of the Proposed Rule Change

    NASDAQ proposes to amend fees assessed for connectivity to the
Exchange under Rule 7015, and to eliminate fees assessed under Rules
7033 and 7059. NASDAQ is also making two minor technical changes to
Rule 7015(g). NASDAQ will implement the fee change effective January 2,
2014.
    The text of the proposed rule change is below. Proposed new
language is italicized; deletions are in brackets.
* * * * *

7015. Access Services

    The following charges are assessed by Nasdaq for connectivity to
systems operated by NASDAQ, including the Nasdaq Market Center, the
FINRA/NASDAQ Trade Reporting Facility, and FINRA's OTCBB Service. The
following fees are not applicable to the NASDAQ Options Market LLC. For
related options fees for Access Services refer to Chapter XV, Section 3
of the Options Rules.
    (a) No change.
    (b) Financial Information Exchange (FIX)

------------------------------------------------------------------------
                   Ports                                Price
------------------------------------------------------------------------
FIX Trading Port..........................  $550 [500]/port/month.
FIX Port for Services Other than Trading..  $500/port/month.
------------------------------------------------------------------------

    (c) No change.
    (d) New Nasdaq Workstation

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

------------------------------------------------------------------------
Nasdaq Workstation Trader..............  $575 [475] per user per month
                                          (including: data entitlement
                                          package; the Trade Reporting
                                          File Upload service, which
                                          allows subscribing members to
                                          upload multiple trade reports
                                          in batches to Automated
                                          Confirmation Transaction
                                          Service (``ACT''); and the ACT
                                          Reject Scan service, which
                                          provides a list of all of a
                                          member's rejected ACT trade
                                          entries and a copy of each
                                          rejected trade report form
                                          submitted to ACT).
Nasdaq Workstation Post Trade..........  See Rule 7015(e).
------------------------------------------------------------------------

    (e) Specialized Services Related to FINRA/NASDAQ Trade Reporting
Facility

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

------------------------------------------------------------------------
CTCI fee...............................  $575/month
WebLink ACT or Nasdaq Workstation......  $525 [425.00]/month (full
                                          functionality) or
Post Trade.............................  $275 [225.00]/month (up to an
                                          average of twenty transactions
                                          per day each month) (For the
                                          purposes of this service only,
                                          a transaction is defined as an
                                          original trade entry, either
                                          on trade date or as-of
                                          transactions per month.)
                                         A subscription includes: the
                                          Trade Reporting File Upload
                                          service, which allows
                                          subscribing members to upload
                                          multiple trade reports in
                                          batches to ACT; and the ACT
                                          Reject Scan service, which
                                          provides a list of all of a
                                          member's rejected ACT trade
                                          entries and a copy of each
                                          rejected trade report form
                                          submitted to ACT.
ACT Workstation........................  $525/logon/month.
------------------------------------------------------------------------

    (f) No change.
    (g) Other Port Fees

                    Remote Multi-Cast ITCH Wave Ports
------------------------------------------------------------------------
                                           Installation      Recurring
               Description                      fee         monthly fee
------------------------------------------------------------------------
MITCH Wave Port at Secaucus, NJ.........          $2,500          $7,500
MITCH Wave Port at Weehawken, NJ........           2,500           7,500
MITCH Wave Port at Newark, NJ...........           2,500           7,500
------------------------------------------------------------------------

    The following port fees shall apply in connection with the use of
other trading telecommunication protocols:
     $550[500] per month for each port pair, other than
Multicast ITCH[supreg] data feed pairs, for which the fee is $1,000 per
month for software-based TotalView-ITCH or $2,500 per month for
combined software- and hardware-based TotalView-ITCH, and TCP ITCH data
feed pairs, for which the fee is $750 per month.
     An additional $200 per month for each port used for
entering orders or quotes over the Internet.

     An additional $600 per month for each port used for market
data delivery over the Internet.
Dedicated OUCH Port Infrastructure
    The Dedicated OUCH Port Infrastructure subscription will not be
implemented until the first quarter of 2014. The Exchange will provide
public notice thereof at least five days prior to the implementation
date.
    The Dedicated OUCH Port Infrastructure subscription allows a member
firm to assign up to 30 of its OUCH ports to a dedicated server
infrastructure for its exclusive use. A Dedicated OUCH Port
Infrastructure subscription is available to a member firm for a fee of
$5,000 per month, which is in addition to the standard fees assessed
for each OUCH port. A one-time installation fee of $5,000 is assessed
subscribers for each Dedicated OUCH Port Server subscription.
    [NASDAQ is waiving the $5,000 installation fee for all
subscriptions received through August 15, 2013.]
    (h) No change.
* * * * *

7033. Reserved[Trade Reporting File Upload

    The Trade Reporting File Upload service allows subscribing members
to upload multiple trade reports in batches to the Automated
Confirmation Transaction (ACT) service via the Nasdaq Workstation or
WeblinkACT 2.0.
    The Trade Reporting File Upload service is available to members for
a fee of $25 per user, per month.]
* * * * *

7059. Reserved[ACT Reject Scan

    ACT Reject Scan service provides a subscribing member with a list
of all of its rejected Automated Confirmation Transaction Service (ACT)
trade entries and a copy of each rejected trade report form submitted
to ACT.
    ACT Reject Scan service is available to members at no cost
beginning October 1, 2012 and for a fee of $75 per user, per month
beginning November 1, 2012.]
* * * * *

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

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

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

1. Purpose
    The purpose of the proposed rule change is to amend certain fees
under Rule 7015 relating to Access Services and eliminate stand-alone
fees assessed for services provided under Rules 7033 and 7059, which
have been offered as add-on services to a Nasdaq Workstation
(``Workstation'') or Weblink ACT (``Weblink'') subscription but now
will be included in all Workstation and Weblink subscriptions.
    The Exchange is proposing to amend Rules 7015(d) and (e) to
increase fees assessed for subscription to the Workstation and Weblink
to reflect the addition of the Trade Reporting File Upload and ACT
Reject Scan services, which are currently offered as add-on services to
a Workstation or Weblink subscription and will now be offered with
every such subscription. The Trade Reporting File Upload service allows
a member to upload multiple trade reports in batches to the Automated
Confirmation Transaction (``ACT'') service via a Workstation or
Weblink. The ACT Reject Scan service provides a subscriber with a list
of all of its rejected ACT trade entries and a copy of each rejected
trade report form submitted to ACT.
    Currently, the Exchange assesses a fee of $25 per user, per month
for subscription to the Trade Reporting File Upload service under Rule
7033, and a fee of $75 per user, per month for subscription to the ACT
Reject Scan service under Rule 7059. NASDAQ is proposing to increase
the fee for subscription to the Workstation under Rule 7015(d) from
$475 to $575 per user, per month, and increase the fee for subscription
to Weblink from $425 to $525 per user, per month for full functionality
and from $225 to $275 per user, per month for a transaction-limited
subscription. As a consequence of including Trade Reporting File Upload
and ACT Reject Scan services with every Workstation and Weblink
subscription, NASDAQ is eliminating the separate rule text describing
these services found under Rule 7033 and 7059, respectively, and
including the descriptive text from those rules under Rules 7015(d) and
(e). The Exchange notes that it last increased fees for subscription to
the Workstation in August 2006,\3\ raising the fee from $435 to $475
per user, per month, and last increased fees for subscription to
Weblink ACT in January 2012,\4\ raising the fee from $375 to $425 per
user, per month for full functionality and $200 to $225 per user, per
month for a transaction-limited subscription.
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    \3\ See Securities Exchange Act Release No. 54500 (September 25,
2006), 71 FR 58026 (October 2, 2006) (SR-NASDAQ-2006-025).
    \4\ See Securities Exchange Act Release No. 66288 (February 1,
2012), 77 FR 6164 (February 7, 2012) (SR-NASDAQ-2012-017).
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    NASDAQ is also amending fees under Rules 7015(b) and (g), which
relate to trading port connectivity. Specifically, NASDAQ is proposing
to increase the fee assessed under Rule 7015(b) for Financial
Information Exchange (``FIX'') trading ports. FIX trading ports allow
member firms to enter, modify and cancel orders in the NASDAQ System
and receive Drop reports of executions. NASDAQ is proposing to increase
the fee assessed for a FIX trading port from $500 to $550 per port, per
month. NASDAQ is also proposing to increase the fee assessed for
trading port pairs under Rule 7015(g), other than Multicast ITCH,
TotalView-ITCH, and TCP ITCH port pairs.\5\ Currently, the Exchange
assesses a fee of $500 per month, per port pair and NASDAQ is proposing
to increase the fee to $550 per month, per port pair. NASDAQ notes that
it last increased both of the trading port fees under Rules 7015(b) and
(g) in August 2009, raising the fees from $400 to $500 per port (or
port pair), per month.\6\
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    \5\ The $500 port pair fee under Rule 7015(g) provides
subscription to an OUCH, RASH, or Drop port pair.
    \6\ See Securities Exchange Act Release No. 60546 (August 20,
2009), 74 FR 43184 (August 26, 2009) (SR-NASDAQ-2009-058).
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    The Exchange is also proposing to make a technical correction to
the trading port rule text under Rule 7015(g) and to delete text from
Rule 7015(g), which relates to a time-limited waiver of the Dedicated
OUCH Port Infrastructure installation fees that has since expired.
2. Statutory Basis
    NASDAQ believes that the proposed rule change is consistent with
the provisions of Section 6 of the Act,\7\ in general, and Section
6(b)(4) of the Act,\8\ in particular, because it provides for the
equitable allocation of reasonable dues, fees and other charges among
members and issuers and other persons using any facility or system that
NASDAQ operates or controls, and it does not unfairly discriminate
between

customers, issuers, brokers or dealers. The proposed increases to the
Workstation and Weblink fees are reasonable because they reflect the
added value that subscribing members receive from the inclusion of the
Trade Reporting File Upload and ACT Reject Scan services in every
subscription. NASDAQ notes that the combined value of the two services
under the current rule is $100 per user, per month and NASDAQ is
proposing to increase the fees for the Workstation and unlimited
Weblink subscription by an equal amount. NASDAQ believes the lower
increase in the transaction-limited Weblink fee of $50 per user, per
month is reasonable and not unfairly discriminatory because those
subscribers will likewise have limited use of the Trade Reporting File
Upload and ACT Reject Scan services. NASDAQ notes that an existing
subscriber to the Workstation or unrestricted Weblink that also
subscribes to the Trade Reporting File Upload and ACT Reject Scan add
on services will see no increase in the fees assessed for the services
received, and subscribers to the transaction-limited Weblink service
that also subscribe to the Trade Reporting File Upload and ACT Reject
Scan services will see a decrease in the total fees assessed for the
add-on services. In contrast, current subscribers to the Workstation or
Weblink that subscribe to no add-on services or a single add-on service
will experience a fee increase. NASDAQ believes that it is reasonable
and not unfairly discriminatory to increase fees for such subscribers
to the Workstation and Weblink because the subscribers are receiving
additional services valued in the amount of the fee increase and,
consequently will derive benefit from the addition of the enhancements.
NASDAQ notes that Workstation and Weblink subscribers that determine
that the enhancements do not provide benefit to support the additional
cost of the subscriptions may alternatively subscribe to third party
front end systems or develop front end applications of their own.
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    \7\ 15 U.S.C. 78f.
    \8\ 15 U.S.C. 78f(b)(4).
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    NASDAQ believes that the proposal to increase fees for trading
ports under Rules 7015(b) and (g) is reasonable [sic] not unfairly
discriminatory because the fee increases will realign the cost of
administering and enhancing the connectivity options offered by the
services with the revenue generated by the fee, which have diverged
since the fees were last increased in August 2009.\9\ In particular,
NASDAQ believes that the proposed fees will cover the costs associated
with responding to customer requests, configuring NASDAQ's systems,
programming to user specifications, and administering the service,
among other things, and may provide NASDAQ with a profit. Moreover,
NASDAQ believes that the proposed changes to Rules 7015(b) and (g)
constitute equitable allocations of fees because, under each individual
rule, all member firms would be charged the same fee and receive the
same number of access ports. As such, NASDAQ believes that the proposed
increase in port fees under Rules 7015(b) and (g) are both equitably
allocated and reasonable.
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    \9\ Supra note 6.
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B. Self-Regulatory Organization's Statement on Burden on Competition

    NASDAQ does not believe that the proposed rule change will result
in any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act, as amended. The increased
Workstation and Weblink fees are reflective of the addition of the
Trade Reporting File Upload and ACT Reject Scan services and the
benefit member firms receive from these enhancements. As noted, the
proposed increase in fees for subscription to trading ports will
realign the cost of administering and enhancing the service with the
revenue generated by the fees, which have diverged since the fees were
last increased in August 2009.\10\ The Exchange must, from time to
time, increase fees as general costs associated with offering services
increase. The burden of covering these increased costs is most
appropriately born by the users of the service. NASDAQ notes that, if
the proposed port fees are set too high, given the competitive nature
of the market for execution and routing services, market participants
could simply opt to connect with market centers other than the Exchange
to access liquidity available on NASDAQ by directing order flow to the
other market centers that are required to route to NASDAQ if it has
posted the best available price.
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    \10\ Id.
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C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

    Written comments were neither solicited nor received.

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

    The foregoing change has become effective pursuant to Section
19(b)(3)(A) of the Act,\11\ and paragraph (f) \12\ of Rule 19b-4,
thereunder.
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    \11\ 15 U.S.C. 78s(b)(3)(A).
    \12\ 17 CFR 240.19b-4(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.

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-NASDAQ-2013-161 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NASDAQ-2013-161. 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 such filing also will be available
for inspection and copying at the principal offices of the Exchange.
All comments received will be posted without change;

the Commission does not edit personal identifying information from
submissions. You should submit only information that you wish to make
available publicly. All submissions should refer to File Number SR-
NASDAQ-2013-161, and should be submitted on or before January 27, 2014.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\13\
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    \13\ 17 CFR 200.30-3(a)(12).
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Elizabeth M. Murphy,
Secretary.
[FR Doc. 2013-31515 Filed 1-3-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 113 (Tuesday, June 12, 2012)]
[Notices]
[Pages 35097-35101]
[FR Doc No: 2012-14192]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-67145; File No. SR-NYSEArca-2012-34]

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting
Approval of Proposed Rule Change To List and Trade the Huntington US
Equity Rotation Strategy ETF and Huntington EcoLogical Strategy ETF
Under NYSE Arca Equities Rule 8.600

June 6, 2012.

I. Introduction

    On April 12, 2012, NYSE Arca, Inc. (``Exchange'' or ``NYSE Arca'')
filed with the Securities and Exchange Commission (``Commission''),
pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ a proposed rule change to
list and trade shares (``Shares'') of the Huntington US Equity Rotation
Strategy ETF and Huntington EcoLogical Strategy ETF (each, a ``Fund''
and collectively, ``Funds'') under NYSE Arca Equities Rule 8.600. The
proposed rule change was published for comment in the Federal Register
on April 27, 2012.\3\ The Commission received no comments on the
proposal. This order grants approval of the proposed rule change.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 66846 (April 23,
2012), 77 FR 25218 (``Notice'').
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II. Description of the Proposed Rule Change

    The Exchange proposes to list and trade the Shares of the Funds
pursuant to NYSE Arca Equities Rule 8.600, which governs the listing
and trading of Managed Fund Shares on the Exchange. The Funds will be
actively managed exchange-traded funds. The Shares of each Fund will be
offered by Huntington Strategy Shares (``Trust''), a Delaware statutory
trust registered with the Commission as an open-end management
investment company.\4\ Huntington Asset Advisors, Inc. (``Adviser'') is
the investment adviser of each Fund and will manage the investment
portfolios of the Funds. SEI Investments Distribution Co.
(``Distributor'') is the principal underwriter and distributor of the
Funds' Shares. Citibank, N.A. is the custodian for the Funds. The
Exchange represents that the Adviser is affiliated with two broker-
dealers and has implemented a fire wall with respect to each affiliated
broker-dealer regarding access to information concerning the
composition and/or changes to a Fund portfolio.\5\
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    \4\ The Trust is registered under the Investment Company Act of
1940 (``1940 Act''). On April 6, 2012, the Trust filed with the
Commission an amendment to the Trust's Registration Statement on
Form N-1A under the Securities Act of 1933 and under the 1940 Act
relating to the Funds (File Nos. 333-170750 and 811-22497)
(``Registration Statement''). In addition, the Exchange represented
in the Notice that the Trust had also filed an Amended and Restated
Application for an Order under Section 6(c) of the 1940 Act for
exemptions from various provisions of the 1940 Act and rules
thereunder (File No. 812-13785), dated April 3, 2012 (``Exemptive
Application''). See Investment Company Act Release No. 30032 (April
10, 2012). In the Notice, the Exchange stated that the Shares would
not be listed on the Exchange until an order (``Exemptive Order'')
under the 1940 Act has been issued by the Commission with respect to
the Exemptive Application. The Commission notes that it has issued
an Exemptive Order granting certain exemptive relief to the Trust,
Adviser, and Distributor under the 1940 Act. See Investment Company
Act Release No. 30061 (May 8, 2012) (File No. 812-13785). The
Exchange represents that investments made by the Funds will comply
with the conditions set forth in the Exemptive Order.
    \5\ See Commentary .06 to NYSE Arca Equities Rule 8.600. The
Exchange represents that, in the event (a) the Adviser becomes newly
affiliated with a broker-dealer, or (b) any new adviser or sub-
adviser becomes affiliated with a broker-dealer, it will implement a
fire wall with respect to such broker-dealer regarding access to
information concerning the composition and/or changes to the
portfolio, and will be subject to procedures designed to prevent the
use and dissemination of material non-public information regarding
such portfolio.
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Huntington US Equity Rotation Strategy ETF

    The Fund's investment objective is to seek capital appreciation.
Under normal conditions,\6\ the Fund will invest at least 80% of its
net assets in the exchange-listed common stocks of select companies
organized in the U.S. and included in the S&P Composite 1500[supreg]
(``Companies''). The S&P Composite 1500 is a combination of the
following indices: the S&P 500[supreg]; the S&P MidCap 400[supreg]; and
the S&P SmallCap 600[supreg]. The Fund will invest in Companies within
each of the large-cap, mid-cap, and small-cap U.S. equity market
segments (each a ``Market Segment''). The large-cap segment is
represented by companies comprising the S&P 500, the mid-cap segment is
represented by companies comprising the S&P MidCap 400, and the small-
cap segment is represented by the companies comprising the S&P SmallCap
600.
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    \6\ The term ``under normal conditions'' includes, but is not
limited to, the absence of extreme volatility or trading halts in
the equity markets or the financial markets generally; operational
issues causing dissemination of inaccurate market information; or
force majeure type events such as systems failure, natural or man-
made disaster, act of God, armed conflict, act of terrorism, riot or
labor disruption, or any similar intervening circumstance.
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    The Fund will also invest in Companies operating in each of the ten
sectors represented in the S&P Composite 1500. A sector is a large
grouping of companies operating within the market that share similar
characteristics. The ten sectors comprising the S&P Composite 1500 are:
utilities, consumer staples, information technology, healthcare,
financials, energy, consumer discretionary, materials, industrials, and
telecommunication services (``Sectors'').
    As market conditions change, the Fund intends to rotate the
investment focus of the Fund so as to overweight its portfolio in
Companies comprising those Market Segments and Sectors that the Adviser
believes offer the greatest potential for capital appreciation in the
given market environment and underweight its portfolio in those Market
Segments and Sectors that the Adviser believes offer the least
potential for capital appreciation in that same market environment (as
described in more detail below). If the Fund's portfolio allocation to
a particular Market Segment or Sector exceeds that Market Segment's or
Sector's current weighting in the S&P Composite 1500, the Fund will be
``overweighting'' that Market Segment or Sector. Similarly, if the
Fund's portfolio allocation to a specific Market Segment or Sector is
less than that Market Segment's or Sector's current weighting in the
S&P Composite 1500, then the Fund will be ``underweighting'' that
Market Segment or Sector. The Adviser believes that

these adjustments, collectively, will position the Fund for continued
capital appreciation in the new market environment.
    The Adviser retains a broad mandate and discretion to invest in
Companies consistent with its evaluation of the capital appreciation
potential of the Market Segments and Sectors. The strategy of
overweighting and underweighting Sectors to maximize opportunities for
capital appreciation may result in the Fund investing greater than 25%
of its total assets in the equity securities of Companies operating in
one or more Sectors. Sectors are comprised of multiple individual
industries, and the Fund will not invest more than 25% of its total
assets in an individual industry.
    The Adviser will invest in Companies consistent with its assessment
of the capital appreciation opportunities of each Market Segment and
Sector. To determine the percentage of the Fund's portfolio to invest
in each Market Segment and Sector, the Adviser will use ``top-down''
analysis (analyzing the impact of economic trends before considering
the performance of individual stocks) to evaluate broad economic
trends. These trends are used to anticipate shifts in the business
cycle. The Adviser also will analyze each Market Segment and Sector to
determine which Market Segment(s) and Sector(s) may benefit the most
from these trends and business shifts over the next 12 months. Factors
considered in assessing each Market Segment and Sector include: (1) The
relationship between each Market Segment or Sector and the current
business cycle; (2) valuation levels; (3) earnings growth potential;
and (4) analyses of the Companies included in the respective Market
Segments and Sectors.
    The Adviser will monitor the market environment, Market Segments,
and Sectors and may rotate the Fund's investment focus by adjusting the
Fund's Market Segments and/or Sector weightings consistent with its
ongoing assessment of the capital appreciation potential of each Market
Segment and Sector. The Adviser may also rely, in part, on technical
analysis (such as analyzing and examining past price movements to
anticipate or forecast future price movements) to determine the timing
of any changes to the Market Segment and/or Sector weightings.
    The Fund will invest in those Companies within the Market Segments
and Sectors that offer the best potential for capital appreciation
based on the Adviser's evaluation of company fundamentals (including
historic earnings, revenue, cash flow, and valuation (such as price-
earnings ratio and book value)).

Huntington EcoLogical Strategy ETF

    The Fund's investment objective is to seek capital appreciation.
Under normal conditions, the Fund will invest at least 80% of its net
assets in the exchange-listed equity securities of ecologically-focused
companies. The Fund will primarily (at least 65% of total assets)
invest in the U.S. exchange-listed common stock of ecologically-focused
companies organized in the U.S. (``U.S. Companies''). The Fund,
however, may also invest up to 35% of total assets in the exchange-
listed common stock (or the equivalent thereof) and sponsored American
Depositary Receipts (``ADRs'') \7\ of ecologically-focused companies
organized outside the U.S. (``Foreign Companies'').\8\ The Fund may
invest in companies of all sizes.
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    \7\ ADRs are securities issued by a U.S. bank or trust company
evidencing ownership of underlying securities issued by a foreign
company. ADRs are designed for use in U.S. securities markets.
    \8\ The foreign equity securities, including any depositary
receipts, in which the Funds may invest will be limited to
securities that trade in markets that are members of the Intermarket
Surveillance Group (``ISG''), which includes all U.S. national
securities exchanges and certain foreign exchanges, or are parties
to a comprehensive surveillance sharing agreement with the Exchange.
See infra note 12.
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    The Adviser will apply the following ecologically-focused criteria
to identify the equity securities of U.S. and Foreign Companies.
``Ecologically-focused companies'' are companies that have positioned
their business to respond to increased environmental legislation,
cultural shifts towards environmentally conscious consumption, and
capital investments in environmentally oriented projects. These
companies include, but are not limited to, all U.S. and Foreign
Companies that are components of one or more well-recognized
environmentally focused indices (such as the Dow Jones Sustainability
Indexes and the DB NASDAQ OMX Clean Tech Index).
    The Fund will also invest in ecologically-focused companies which
are not included in a well-recognized environmentally-focused index,
but generate at least \1/3\ of their revenues from activities aligned
with one or more of the following environmental themes (``Environmental
Themes''):
     Alternative renewable power, such as solar, wind,
geothermal, hydro, or biomass;
     Alternative renewable fuel, such as biofuel, biomass, or
hydrogen;
     Alternative engines, such as electric, flywheel, or micro
turbines;
     Energy efficiency such as energy efficient building
materials, power, lighting, heating, or fuel;
     Resource conservation/healthier use of resources, such as
recycling or renewable materials; and
     Healthy lifestyle, such as pollution control or organic
foods.
    A company that is not included in an environmentally-focused index
or does not generate \1/3\ of its revenue from activities aligned with
one or more Environmental Themes shall also be considered an
ecologically-focused company if the Adviser believes that
environmentally conscious trends such as a stronger demand for
chemical-free cleaning and farming, recycling, alternative fuel and
energy, energy efficiency, pollution control, or environmental cleanup/
restoration will positively impact that company's future revenue
(``Environmentally Conscious Companies''). Ecologically-focused
companies also include those companies that the Adviser believes
demonstrate sustainable environmental practices (``Other Environmental
Companies''). Sustainable environmental practices include, but are not
limited to, demonstrated progress in:
     Improving energy and resource efficiency;
     Reducing emissions from business operations;
     Financial and operational support of renewable materials
and less pollutive energy sources; or
     Using or promoting the use of efficient buildings
(measured by such labels as LEED or Energy Star).
    The Fund's investment in the securities of Environmentally
Conscious Companies and Other Environmental Companies will be limited
to 10% of the Fund's total assets.
    The strategy of investing in ecologically-focused companies may
result in the Fund investing greater than 25% of its total assets in
one or more market sectors. A sector is a large grouping of companies
operating within the market that share similar characteristics. The ten
most commonly recognized market sectors are: utilities, consumer
staples, information technology, healthcare, financials, energy,
consumer discretionary, materials, industrials, and telecommunication
services. Sectors are comprised of multiple individual industries, and
the Fund will not invest more than 25% of its total assets in an
individual industry.
    The Adviser will review company fundamentals and the composition of
recognized environmentally-focused indices to identify a universe of

ecologically-focused companies. Company fundamentals include factors
reflective of a company's financial condition, including balance sheets
and income statements, asset history, product or service development,
and management productivity. The Adviser also will examine annual
sustainability reports from companies, as well as supplemental
disclosures regarding environmental practices within corporate investor
relations materials.
    The Adviser will focus on ecologically-focused companies that it
believes have better than average potential for growth in sales and
profits. Historical financial statements (income, balance sheet, cash
flow) will serve as quantitative guides in the selection process.
Qualitative reviews of a company's competitive position and target
market potential also will influence portfolio decisions. The Fund
will, under most market conditions, include a blend of growth or
cyclical stocks held for price appreciation potential and dividend
growth stocks held for their potential to deliver a growing stream of
income.\9\ Factors regarding valuation such as price to sales ratios,
price to earnings ratios, and price to book ratios will influence the
size of the Fund's position in each company.
---------------------------------------------------------------------------

    \9\ Growth stocks are shares in a company whose earnings are
expected to grow at an above-average rate relative to the market.
Cyclical stocks are shares in a company that rise quickly when
economic growth is strong and fall rapidly when growth is slowing
down.
---------------------------------------------------------------------------

Other Permitted Investments, Investment Limitations, and Additional
Information Applicable to Both Funds

    Each Fund, to a lesser extent, may attempt to pursue its investment
objective by employing other investment strategies and by investing in
additional types of securities that are not otherwise part of its
principal investment strategies as described above. To the extent a
Fund's principal investment policies are satisfied, including but not
limited to its 80% investment policy, such Fund may also invest up to
20% of its total assets in the securities described below. Each Fund,
however, will also be subject to certain additional investment
limitations, including those set forth below:
     A Fund may only purchase securities of any issuer only
when consistent with the maintenance of such Fund's status as a
diversified company under the 1940 Act, the rules or regulations
thereunder, as such statute, rules, or regulations may be amended from
time to time, or any applicable exemptive relief.\10\
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    \10\ Under Section 5(b)(1) of the 1940 Act, the Exchange states
that a fund may not (i) with respect to 75% of its total assets,
purchase securities of any issuer (except securities issued or
guaranteed by the U.S. Government, its agencies or instrumentalities
or shares of investment companies) if, as a result, more than 5% of
its total assets would be invested in the securities of such issuer;
or (ii) acquire more than 10% of the outstanding voting securities
of any one issuer. For purposes of determining a Fund's compliance
with Section 5(b)(1), the issuer of the underlying security will be
deemed to be the issuer of any respective depositary receipt.
---------------------------------------------------------------------------

     A Fund may not concentrate investments in a particular
industry or group of industries as concentration is defined under the
1940 Act, the rules or regulations thereunder, as such statute, rules,
or regulations may be amended from time to time, or any applicable
exemptive relief.
     A Fund may not hold in the aggregate more than 15% of its
net assets in illiquid investments, including Rule 144A securities and
loan participations.
     In accordance with the Exemptive Order, the Funds will not
invest in options, futures, or swaps.
     The Funds' investments will be consistent with the Funds'
investment objectives and will not be used to enhance leverage.
     Each Fund will elect to be treated, and intends to qualify
each year, as a regulated investment company under Subchapter M of the
Internal Revenue Code.
    Finally, each Fund may also invest up to 20% of total assets in
fixed income securities issued by companies organized in the U.S.,
including convertible securities that may be exchanged for or converted
into common stock, corporate debt securities, U.S. Government
securities, money market instruments, and zero coupon bonds. Each Fund
may invest in other investment company securities, including mutual
funds, consistent with the 1940 Act, the rules thereunder or relief
from the Commission, as well as repurchase and reverse repurchase
agreements. The Funds may also participate in foreign currency
transactions and purchase securities on a when-issued or delayed
delivery basis.

Permitted Investments and Investment Limitations Applicable to
Huntington US Equity Rotation Strategy ETF

    The Fund may invest up to 20% of total assets in equity securities,
other than common stock of Companies, including preferred stocks,
exchange-traded funds, interests in other business organizations, real
estate investment trusts, and other domestic equity securities which
the Adviser believes have equity characteristics (``Other Domestic
Equities'').
    The Fund may invest up to 20% of its total assets in the following
foreign securities which are issued by companies located outside of the
U.S. and principally traded in foreign markets: (i) Equity securities
and fixed income securities of foreign entities; (ii) obligations of
foreign branches of U.S. banks and foreign or domestic branches of
foreign banks including European Certificates of Deposit, European Time
Deposits, Canadian Time Deposits, Canadian Yankee Bonds, Canadian
Certificates of Deposit, and investments in Canadian commercial paper
and europaper; (iii) depositary receipts including ADRs, European
Depositary Receipts (``EDRs''), which are also known as Continental
Depositary Receipts (``CDRs''), and Global Depositary Receipts
(``GDRs'');\11\ (iv) securities issued or guaranteed by foreign
corporations or foreign governments, their political subdivisions,
agencies, and instrumentalities (e.g., fixed income securities
supported by national, state, or provincial governments, or similar
political subdivisions); (v) debt obligations of supranational
entities, including international organizations designed or supported
by governmental entities to promote economic reconstruction or
development, international banking institutions, and related government
agencies such as the International Bank for Reconstruction and
Development (World Bank), the Asian Development Bank, the European
Investment Bank, and the Inter-American Development Bank; and (vi)
fixed income securities of quasi-governmental agencies that are either
issued by entities owned by a national, state, or equivalent
government, or are obligations of a political unit that are not backed
by the national government's full faith and credit (collectively,
``Foreign Securities'').\12\
---------------------------------------------------------------------------

    \11\ EDRs/CDRs are securities typically issued by a non-U.S.
financial institution and evidence ownership interests in a security
or a pool of securities issued by either a U.S. or foreign issuer.
GDRs are issued globally and evidence a similar ownership
arrangement. EDRs are designed for trading in European securities
markets, and GDRs are designed for trading in non-U.S. securities
markets.
    \12\ See supra note 8.
---------------------------------------------------------------------------

Permitted Investments and Investment Limitations Specific to Huntington
EcoLogical Strategy ETF

    The Fund may invest up to 20% of its total assets in Other Domestic
Equities and Foreign Securities other than those issued by Foreign
Companies permitted

as part of the Fund's principal investment strategies.\13\
---------------------------------------------------------------------------

    \13\ See id.
---------------------------------------------------------------------------

    Additional information regarding the Funds, the Trust, and the
Shares, including investment strategies, risks, creation and redemption
procedures, fees, portfolio holdings, disclosure policies,
distributions, and taxes can be found in the Notice and Registration
Statement, as applicable.\14\
---------------------------------------------------------------------------

    \14\ See supra notes 3 and 4, respectively.
---------------------------------------------------------------------------

III. Discussion and Commission's Findings

    The Commission has carefully reviewed the proposed rule change and
finds that it is consistent with the requirements of Section 6 of the
Act \15\ and the rules and regulations thereunder applicable to a
national securities exchange.\16\ In particular, the Commission finds
that the proposal is consistent with Section 6(b)(5) of the Act,\17\
which requires, among other things, that the Exchange's rules 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 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. The Commission notes that
the Funds and the Shares must comply with the requirements of NYSE Arca
Equities Rule 8.600 to be listed and traded on the Exchange.
---------------------------------------------------------------------------

    \15\ 15 U.S.C. 78f.
    \16\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
    \17\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Commission finds that the proposal to list and trade the Shares
on the Exchange is consistent with Section 11A(a)(1)(C)(iii) of the
Act,\18\ which sets forth Congress' finding that it is in the public
interest and appropriate for the protection of investors and the
maintenance of fair and orderly markets to assure the availability to
brokers, dealers, and investors of information with respect to
quotations for, and transactions in, securities. Quotation and last-
sale information for the Shares will be available via the Consolidated
Tape Association (``CTA'') high-speed line. In addition, the Portfolio
Indicative Value (``PIV''), as defined in NYSE Arca Equities Rule
8.600(c)(3), will be widely disseminated by one or more major market
data vendors at least every 15 seconds during the Exchange's Core
Trading Session.\19\ On each business day, before commencement of
trading in Shares in the Core Trading Session on the Exchange, the
Funds will disclose on their Web site the Disclosed Portfolio, as
defined in NYSE Arca Equities Rule 8.600(c)(2), that will form the
basis for the respective Fund's calculation of the net asset value
(``NAV'') at the end of the business day.\20\ The NAV per Share for
each Fund will be calculated by the Trust's fund accountant and
determined as of the close of the regular trading session on the NYSE
Arca (ordinarily 4:00 p.m., Eastern Time) on each day that the Exchange
is open. In addition, information regarding market price and trading
volume of the Shares will be continually available on a real-time basis
throughout the day on brokers' computer screens and other electronic
services, and information regarding the previous day's closing price
and trading volume information for the Shares will be published daily
in the financial section of newspapers. The Web site for the Funds will
include a form of the prospectus for the Funds, additional data
relating to NAV, and other applicable quantitative information. The
intra-day, closing, and settlement prices of the portfolio securities
will be readily available from the national securities exchanges
trading such securities, automated quotation systems, published or
other public sources, or on-line information services such as Bloomberg
or Reuters.
---------------------------------------------------------------------------

    \18\ 15 U.S.C. 78k-1(a)(1)(C)(iii).
    \19\ According to the Exchange, several major market data
vendors display and/or make widely available PIVs published on the
CTA or other data feeds.
    \20\ The Disclosed Portfolio will include, as applicable, for
each portfolio security or other financial instrument of the Funds
the following: Ticker symbol; name of security and financial
instrument; the number of shares or dollar value of each security
and financial instrument held in the portfolio; and percentage
weighting of the security and financial instrument in the portfolio.
The Web site information will be publicly available at no charge.
---------------------------------------------------------------------------

    The Commission further believes that the proposal to list and trade
the Shares is reasonably designed to promote fair disclosure of
information that may be necessary to price the Shares appropriately and
to prevent trading when a reasonable degree of transparency cannot be
assured. The Commission notes that the Exchange will obtain a
representation from the issuer of the Shares that the NAV will be
calculated daily and that the NAV and the Disclosed Portfolio will be
made available to all market participants at the same time.\21\ In
addition, the Exchange will halt trading in the Shares under the
specific circumstances set forth in NYSE Arca Equities Rule
8.600(d)(2)(D), and may halt trading in the Shares if trading is not
occurring in the securities and/or the financial instruments comprising
the Disclosed Portfolio of the Fund, or if other unusual conditions or
circumstances detrimental to the maintenance of a fair and orderly
market are present.\22\ The Exchange will consider the suspension of
trading in or removal from listing of the Shares if the PIV is no
longer calculated or available or the Disclosed Portfolio is not made
available to all market participants at the same time.\23\ The Adviser
is affiliated with two broker-dealers and has implemented a ``fire
wall'' with respect to such broker-dealers regarding access to
information concerning the composition and/or changes to each Fund's
portfolio.\24\ The Commission notes that Adviser personnel who make
decisions on a Fund's portfolio composition must be subject to
procedures designed to prevent the use and dissemination of material
non-public information regarding that Fund's portfolio.\25\ Further,
the Commission notes that the Reporting Authority that provides the
Disclosed Portfolio must implement and maintain, or be subject to,
procedures

designed to prevent the use and dissemination of material non-public
information regarding the actual components of the portfolio.\26\ The
Exchange states that it has a general policy prohibiting the
distribution of material, non-public information by its employees. The
Commission also notes that all of the primary equity investments to be
held by each Fund, as well as the non-U.S.-listed equity securities,
including any depositary receipts, held by each Fund will trade in
markets that are ISG members or are parties to a comprehensive
surveillance sharing agreement with the Exchange.\27\
---------------------------------------------------------------------------

    \21\ See NYSE Arca Equities Rule 8.600(d)(1)(B).
    \22\ With respect to trading halts, the Exchange may consider
all relevant factors in exercising its discretion to halt or suspend
trading in the Shares of the Fund. Trading in Shares of the Fund
will be halted if the circuit breaker parameters in NYSE Arca
Equities Rule 7.12 have been reached. Trading also may be halted
because of market conditions or for reasons that, in the view of the
Exchange, make trading in the Shares inadvisable.
    \23\ See NYSE Arca Equities Rule 8.600(d)(2)(C)(ii).
    \24\ See supra note 5 and accompanying text. The Commission
notes that an investment adviser to an open-end fund is required to
be registered under the Investment Advisers Act of 1940 (``Advisers
Act''). As a result, the Adviser and its related personnel are
subject to the provisions of Rule 204A-1 under the Advisers Act
relating to codes of ethics. This Rule requires investment advisers
to adopt a code of ethics that reflects the fiduciary nature of the
relationship to clients as well as compliance with other applicable
securities laws. Accordingly, procedures designed to prevent the
communication and misuse of non-public information by an investment
adviser must be consistent with Rule 204A-1 under the Advisers Act.
In addition, Rule 206(4)-7 under the Advisers Act makes it unlawful
for an investment adviser to provide investment advice to clients
unless such investment adviser has (i) adopted and implemented
written policies and procedures reasonably designed to prevent
violation, by the investment adviser and its supervised persons, of
the Advisers Act and the Commission rules adopted thereunder; (ii)
implemented, at a minimum, an annual review regarding the adequacy
of the policies and procedures established pursuant to subparagraph
(i) above and the effectiveness of their implementation; and (iii)
designated an individual (who is a supervised person) responsible
for administering the policies and procedures adopted under
subparagraph (i) above.
    \25\ See Commentary .06 to NYSE Arca Equities Rule 8.600.
    \26\ See NYSE Arca Equities Rule 8.600(d)(2)(B)(ii).
    \27\ See Notice, supra note 3.
---------------------------------------------------------------------------

    The Exchange further represents that the Shares are deemed to be
equity securities, thus rendering trading in the Shares subject to the
Exchange's existing rules governing the trading of equity securities.
In support of this proposal, the Exchange has made representations,
including:
    (1) The Shares will conform to the initial and continued listing
criteria under NYSE Arca Equities Rule 8.600.
    (2) The Exchange has appropriate rules to facilitate transactions
in the Shares during all trading sessions.
    (3) The Exchange's surveillance procedures applicable to derivative
products, which include Managed Fund Shares, are adequate to properly
monitor Exchange trading of the Shares in all trading sessions and to
deter and detect violations of Exchange rules and applicable federal
securities laws.
    (4) Prior to the commencement of trading, the Exchange will inform
its Equity Trading Permit (``ETP'') Holders in an Information Bulletin
(``Bulletin'') of the special characteristics and risks associated with
trading the Shares. Specifically, the Bulletin will discuss the
following: (a) The procedures for purchases and redemptions of Shares
in Creation Unit aggregations (and that Shares are not individually
redeemable); (b) NYSE Arca Equities Rule 9.2(a), which imposes a duty
of due diligence on its ETP Holders to learn the essential facts
relating to every customer prior to trading the Shares; (c) the risks
involved in trading the Shares during the Opening and Late Trading
Sessions when an updated PIV will not be calculated or publicly
disseminated; (d) how information regarding the PIV is disseminated;
(e) the requirement that ETP Holders deliver a prospectus to investors
purchasing newly issued Shares prior to or concurrently with the
confirmation of a transaction; and (f) trading information.
    (5) For initial and/or continued listing, each Fund will be in
compliance with Rule 10A-3 under the Act,\28\ as provided by NYSE Arca
Equities Rule 5.3.
---------------------------------------------------------------------------

    \28\ See 17 CFR 240.10A-3.
---------------------------------------------------------------------------

    (6) Each Fund may not hold more than 15% of net assets in illiquid
investments, including Rule 144A securities and loan participations.
    (7) The Funds will not invest in options, futures, or swaps, and
the Funds' investments will be consistent with each Fund's investment
objective and will not be used to enhance leverage.
    (8) All of the primary equity investments to be held by each Fund,
as well as the non-U.S.-listed equity securities, including any
depositary receipts, held by each Fund will trade in markets that are
ISG members or are parties to a comprehensive surveillance sharing
agreement with the Exchange.
    (9) A minimum of 100,000 Shares of each Fund will be outstanding at
the commencement of trading on the Exchange.

This approval order is based on all of the Exchange's representations
and description of the Funds, including those set forth above and in
the Notice.
    For the foregoing reasons, the Commission finds that the proposed
rule change is consistent with Section 6(b)(5) of the Act \29\ and the
rules and regulations thereunder applicable to a national securities
exchange.
---------------------------------------------------------------------------

    \29\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\30\ that the proposed rule change (SR-NYSEArca-2012-34) be, and it
hereby is, approved.
---------------------------------------------------------------------------

    \30\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\31\
---------------------------------------------------------------------------

    \31\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-14192 Filed 6-11-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 83, Number 202 (Thursday, October 18, 2018)] [Notices] [Pages 52830-52832] [FR Doc No: 2018-22709]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

    Take notice that the Commission received the following electric

corporate filings:

    Docket Numbers: EC19-6-000.

    Applicants: NRG REMA LLC, Keystone Power Pass-Through Holders LLC,

Conemaugh Power Pass-Through Holders LLC.

    Description: Joint Application for Authorization Under Section 203

of the Federal Power Act, et al. of NRG REMA LLC, et al.

    Filed Date: 10/9/18.

    Accession Number: 20181009-5298.

    Comments Due: 5 p.m. ET 10/30/18.

    Docket Numbers: EC19-7-000.

    Applicants: MidAmerican Wind Tax Equity Holdings, LLC, Blue Cloud

Wind Energy, LLC, Blue Cloud TE Partnership LLC, Sponsor Blue Cloud

HoldCo LLC.

    Description: Joint Application for Authorization Under Section 203

of the Federal Power Act, et al. of Blue Cloud Wind Energy, LLC, et al.

    Filed Date: 10/9/18.

    Accession Number: 20181009-5324.

    Comments Due: 5 p.m. ET 10/30/18.

    Take notice that the Commission received the following exempt

wholesale generator filings:

    Docket Numbers: EG19-6-000.

    Applicants: Conemaugh Power Pass-Through Holders LLC.

    Description: Notice of Self-Certification of Conemaugh Power Pass-

Through Holders LLC.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5070.

    Comments Due: 5 p.m. ET 10/31/18.

    Docket Numbers: EG19-7-000.

    Applicants: Keystone Power Pass-Through Holders LLC.

    Description: Notice of Self-Certification of Keystone Power Pass-

Through Holders LLC.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5071.

    Comments Due: 5 p.m. ET 10/31/18.

    Docket Numbers: EG19-8-000.

    Applicants: GRP Madison, LLC.

    Description: Notice of Self-Certification of Exempt Wholesale

Generator Status of GRP Madison, LLC.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5084.

    Comments Due: 5 p.m. ET 10/31/18.

    Docket Numbers: EG19-9-000.

    Applicants: GRP Franklin, LLC.

    Description: Notice of Self-Certification of Exempt Wholesale

Generator Status of GRP Franklin, LLC.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5085.

    Comments Due: 5 p.m. ET 10/31/18.

    Take notice that the Commission received the following electric

rate filings:

    Docket Numbers: ER10-2527-007; ER10-1821 018; ER10-2400 010; ER10-

2528 003; ER10-2529 003; ER10-2530 004; ER10-2531 008; ER10-2532 013;

ER10-2533 007; ER10-2534 004; ER10-2535 008; ER11-4475 011.

    Applicants: Allegheny Ridge Wind Farm, LLC, Crescent Ridge LLC,

GSG, LLC, Mendota Hills, LLC, Cedar Creek Wind Energy, LLC, Goshen

Phase II LLC, Rockland Wind Farm LLC, Aragonne Wind LLC, Buena Vista

Energy, LLC, Kumeyaay Wind LLC, Blue Canyon Windpower LLC, Caprock Wind

LLC.

    Description: Notice of Non-Material Change in Status of Allegheny

Ridge Wind Farm, LLC, et al.

    Filed Date: 10/9/18.

    Accession Number: 20181009-5326.

    Comments Due: 5 p.m. ET 10/30/18.

    Docket Numbers: ER17-1442-002.

    Applicants: Axiall, LLC.

    Description: Supplement to June 28, 2018 Updated Market Power

Analysis for Central Region of Axiall, LLC.

    Filed Date: 10/9/18.

    Accession Number: 20181009-5318.

    Comments Due: 5 p.m. ET 10/30/18.

    Docket Numbers: ER19-69-000.

    Applicants: Rockland Wind Farm LLC.

    Description: Sec.  205(d) Rate Filing: Notice of Change in Category

Seller Status to be effective 10/10/2018.

    Filed Date: 10/9/18.

    Accession Number: 20181009-5235.

    Comments Due: 5 p.m. ET 10/30/18.

    Docket Numbers: ER19-70-000.

    Applicants: Keystone Power Pass-Through Holders LLC.

    Description: Baseline eTariff Filing: Market-Based Rate Tariff

Application to be effective 10/9/2018.

    Filed Date: 10/9/18.

    Accession Number: 20181009-5236.

    Comments Due: 5 p.m. ET 10/30/18.

    Docket Numbers: ER19-71-000.

    Applicants: Midcontinent Independent System Operator, Inc.

    Description: Sec.  205(d) Rate Filing: 2018-10-09_SA 3170 Crossett

Solar--EAI GIA (J680) to be effective 9/24/2018.

    Filed Date: 10/9/18.

    Accession Number: 20181009-5243.

    Comments Due: 5 p.m. ET 10/30/18.

    Docket Numbers: ER19-72-000.

    Applicants: Bruce Power Inc.

    Description: Sec.  205(d) Rate Filing: Notice of Non-Material

Change in Status and Change in Category Seller Status to be effective

10/10/2018.

    Filed Date: 10/9/18.

    Accession Number: 20181009-5255.

    Comments Due: 5 p.m. ET 10/30/18.

    Docket Numbers: ER19-73-000.

    Applicants: Conemaugh Power Pass-Through Holders LLC.

    Description: Initial rate filing: Reactive Rate Filing to be

effective 12/31/9998.

    Filed Date: 10/9/18.

    Accession Number: 20181009-5260.

    Comments Due: 5 p.m. ET 10/30/18.

    Docket Numbers: ER19-74-000.

    Applicants: Keystone Power Pass-Through Holders LLC.

    Description: Initial rate filing: Reactive Rate Filing to be

effective 12/31/9998.

    Filed Date: 10/9/18.

    Accession Number: 20181009-5266.

    Comments Due: 5 p.m. ET 10/30/18.

    Docket Numbers: ER19-75-000.

    Applicants: Portsmouth Genco, LLC.

    Description: Sec.  205(d) Rate Filing: Request for Category 1

Status to be effective 10/10/2018.

    Filed Date: 10/9/18.

    Accession Number: 20181009-5284.

    Comments Due: 5 p.m. ET 10/30/18.

    Docket Numbers: ER19-76-000.

    Applicants: Keystone Power LLC.

    Description: Sec.  205(d) Rate Filing: Keystone MBR Tariff

Revisions to be effective 10/10/2018.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5000.

    Comments Due: 5 p.m. ET 10/31/18.

    Docket Numbers: ER19-77-000.

    Applicants: Conemaugh Power LLC.

    Description: Sec.  205(d) Rate Filing: Conemaugh MBR Tariff

Revisions to be effective 10/10/2018.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5002.

    Comments Due: 5 p.m. ET 10/31/18.

    Docket Numbers: ER19-78-000.

    Applicants: Panther Creek Power Operating, LLC.

    Description: Sec.  205(d) Rate Filing: Panther Creek MBR Tariff

Revisions to be effective 10/10/2018.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5004.

    Comments Due: 5 p.m. ET 10/31/18.

    Docket Numbers: ER19-79-000.

    Applicants: PJM Interconnection, L.L.C.

    Description: Sec.  205(d) Rate Filing: Original ISA and CSA, SA

Nos. 5212 and 5213; Queue No. AB2-077/AB2-078/AB2-079 to be effective

9/10/2018.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5044.

    Comments Due: 5 p.m. ET 10/31/18.

    Docket Numbers: ER19-80-000.

    Applicants: PJM Interconnection, L.L.C.

    Description: Sec.  205(d) Rate Filing: Revisions to OA, Schedule 6,

sec. 1.5 re: Market Efficiency Process Enhancements to be effective 12/

10/2018.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5045.

    Comments Due: 5 p.m. ET 10/31/18.

    Docket Numbers: ER19-81-000.

    Applicants: Athens Energy, LLC.

    Description: Report Filing: Refund Report (ER17-1954) to be

effective N/A.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5104.

    Comments Due: 5 p.m. ET 10/31/18.

    Docket Numbers: ER19-81-000.

    Applicants: Athens Energy, LLC.

    Description: Baseline eTariff Filing: Application for Market-Based

Rates to be effective 10/10/2018.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5100.

    Comments Due: 5 p.m. ET 10/31/18.

    Docket Numbers: ER19-82-000.

    Applicants: AEP Texas Inc.

    Description: Sec.  205(d) Rate Filing: AEPTX-La Chalupa

Interconnection Agreement to be effective 9/28/2018.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5103.

    Comments Due: 5 p.m. ET 10/31/18.

    Docket Numbers: ER19-83-000.

    Applicants: AEP Texas Inc.

    Description: Sec.  205(d) Rate Filing: AEPTX-OCI Alamo 6 System

Upgrade Agreement Cancellation to be effective 9/18/2018.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5107.

    Comments Due: 5 p.m. ET 10/31/18.

    Docket Numbers: ER19-84-000.

    Applicants: ISO New England Inc., New England Power Pool

Participants Committee.

    Description: Sec.  205(d) Rate Filing: Enhanced Storage

Participation Revisions to be effective 4/1/2019.

    Filed Date: 10/10/18.

    Accession Number: 20181010-5114.

    Comments Due: 5 p.m. ET 10/31/18.

    The filings are accessible in the Commission's eLibrary system by

clicking on the links or querying the docket number.

    Any person desiring to intervene or protest in any of the above

proceedings must file in accordance with Rules 211 and 214 of the

Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00

p.m. Eastern time on the specified comment date. Protests may be

considered, but intervention is necessary to become a party to the

proceeding.

    eFiling is encouraged. More detailed information relating to filing

requirements, interventions, protests, service, and qualifying

facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>

(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: October 10, 2018.

Nathaniel J. Davis, Sr.,

Deputy Secretary.

[FR Doc. 2018-22709 Filed 10-17-18; 8:45 am]

 BILLING CODE 6717-01-P


[Federal Register Volume 81, Number 7 (Tuesday, January 12, 2016)]
[Notices]
[Page 1412]
[FR Doc No: 2016-00398]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

    Take notice that the Commission received the following electric
rate filings:
    Docket Numbers: ER16-683-000.
    Applicants: Southern California Edison Company.
    Description: Section 205(d) Rate Filing: LGIA Sunray Energy, LLC
SEGS II Project to be effective 1/1/2016.
    Filed Date: 1/6/16.
    Accession Number: 20160106-5000.
    Comments Due: 5 p.m. ET 1/27/16.

    Docket Numbers: ER16-684-000.
    Applicants: AlphaGen Power LLC.
    Description: Section 205(d) Rate Filing: Cancellation of MBR tariff
to be effective 3/6/2016.
    Filed Date: 1/6/16.
    Accession Number: 20160106-5126.
    Comments Due: 5 p.m. ET 1/27/16.

    Docket Numbers: ER16-685-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Section 205(d) Rate Filing: Original Service Agreement
No. 4327; Queue No. AA1-057 to be effective 12/9/2015.
    Filed Date: 1/6/16.
    Accession Number: 20160106-5171.
    Comments Due: 5 p.m. ET 1/27/16.

    Docket Numbers: ER16-686-000.
    Applicants: Southern California Edison Company.
    Description: Section 205(d) Rate Filing: Revised Non-Trasmission
Depreciation Rates in SCE's Formula Transmission Rate to be effective
1/1/2015.
    Filed Date: 1/6/16.
    Accession Number: 20160106-5226.
    Comments Due: 5 p.m. ET 1/27/16.

    Docket Numbers: ER16-687-000.
    Applicants: PacifiCorp.
    Description: Section 205(d) Rate Filing: Noble Americas Energy
Solutions NITSA Rev 9 to be effective 1/1/2016.
    Filed Date: 1/6/16.
    Accession Number: 20160106-5233.
    Comments Due: 5 p.m. ET 1/27/16.

    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: January 6, 2016.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2016-00398 Filed 1-11-16; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 83, Number 216 (Wednesday, November 7, 2018)]
[Notices]
[Page 55715]
[FR Doc No: 2018-24330]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket Nos. ER02-2001-020; ER12-327-000; ER12-2309-000; ER16-1458-000;
ER12-733-001]

Electric Quarterly Reports; L&L Energy LLC; Bartram Lane LLC;
Aspirity Energy, LLC; Promet Energy Partners, LLC; Notice of Revocation
of Market-Based Rate Authority and Termination of Electric Market-Based
Rate Tariff

    On August 21, 2018, the Commission issued an order announcing its
intent to revoke the market-based rate authority of the public
utilities listed in the caption of that order, which included the
companies listed in the caption above, which had failed to file their
required Electric Quarterly Reports.\1\ The Commission directed those
public utilities to file the required Electric Quarterly Reports within
15 days of the date of issuance of the order or face revocation of
their authority to sell power at market-based rates and termination of
their electric market-based rate tariffs.\2\
---------------------------------------------------------------------------

    \1\ Electric Quarterly Reports, 164 FERC ] 61,122 (2018) (August
21 Order).
    \2\ Id. at Ordering Paragraph A.
---------------------------------------------------------------------------

    The time period for compliance with the August 21 Order has
elapsed. The above-captioned companies failed to file their delinquent
Electric Quarterly Reports. The Commission hereby revokes, effective as
of the date of issuance of this notice, the market-based rate authority
and terminates the electric market-based rate tariff of each of the
companies who are named in the caption of this order.

    Dated: November 1, 2018.
Kimberly D. Bose,
Secretary.
[FR Doc. 2018-24330 Filed 11-6-18; 8:45 am]
 BILLING CODE 6717-01-P