[Federal Register Volume 87, Number 43 (Friday, March 4, 2022)]
[Notices]
[Pages 12503-12508]
[FR Doc No: 2022-04561]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-94324; File No. SR-NYSEAMER-2022-12]

Self-Regulatory Organizations; NYSE American LLC; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Amend the
NYSE American Options Proprietary Market Data Fee Schedule

February 28, 2022.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on February 24, 2022, NYSE American LLC (``NYSE American''
or the ``Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as described in

Items I and II below, which Items have been prepared by the 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\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend the NYSE American Options
Proprietary Market Data Fee Schedule (``Fee Schedule'') to introduce a
data product to be known as the NYSE Options Open-Close End of Day
Volume Summary (``End of Day Volume Summary'') that would be available
for purchase by any market participant, i.e., members \4\ and non-
members, on an ad-hoc basis and to adopt fees for such product. The
proposed rule change is available on the Exchange's website at
www.nyse.com, at the principal office of the Exchange, and at the
Commission's Public Reference Room.
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    \4\ Members of the Exchange are member organizations, members,
ETP Holders and ATP Holders.
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II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

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

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

1. Purpose
    The Exchange proposes to introduce a data product to be known as
the End of Day Volume Summary that would be available for purchase by
market participants on an ad-hoc basis and to adopt fees for such
product.\5\
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    \5\ The Exchange previously adopted a subscription-based market
data product known as the NYSE Options Open-Close Volume Summary
that market participants can purchase on a subscription basis. See
Securities Exchange Act Release No. 93803 (December 16, 2021), 86 FR
72647 (December 22, 2021) (SR-NYSEAMER-2021-46). The purpose of this
filing is to introduce a historic monthly report of the NYSE Options
Open-Close Volume Summary that would be available for purchase by
any market participant on an ad-hoc basis.
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    More specifically, the Exchange proposes to offer an ad-hoc
historic monthly End of Day Volume Summary market data product that
will provide a volume summary of trading activity on the Exchange at
the option level by origin (Customer, Professional Customer, Firm,
Broker-Dealer, and Market Maker \6\), side of the market (buy or sell),
contract volume, and transaction type (opening or closing). The
Customer, Professional Customer, Firm, Broker-Dealer, and Market Maker
volume will be further broken down into trade size buckets (less than
100 contracts, 100-199 contracts, greater than 199 contracts). The ad-
hoc historic monthly End of Day Volume Summary is proprietary Exchange
trade data and does not include trade data from any other exchange. It
is also a historical data product and not a real-time data feed. The
Exchange proposes to offer data that would go back to December 2018 and
would contain all series in an underlying security if it has volume.\7\
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    \6\ The terms Customer, Professional Customer, Firm and Market
Maker are defined in Rule 900.2NY.
    \7\ The specifications for the ad-hoc historic monthly End of
Day Volume Summary can be found at https://www.nyse.com/market-data/historical/open-close-volume-summary.
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    The Exchange anticipates a wide variety of market participants to
purchase the ad-hoc historic monthly End of Day Volume Summary,
including, but not limited to, individual customers, buy-side
investors, investment banks and academic institutions. For example,
academic institutions may utilize the proposed product to promote
research and studies of the options industry to the benefit of all
market participants. The Exchange believes the proposed product may
also provide helpful trading information regarding investor sentiment
and may be used to create and test trading models and analytical
strategies. The ad-hoc historic monthly End of Day Volume Summary is a
completely voluntary product, in that the Exchange is not required by
any rule or regulation to make this data available and that potential
customers may purchase it on an ad-hoc basis only if they voluntarily
choose to do so. The Exchange notes that other exchanges offer a
similar product.\8\ As such, the ad-hoc historic monthly End of Day
Volume Summary is subject to direct competition from similar end of day
options trading summaries offered by other exchanges. All of these
exchanges offer essentially the same end of day options trading summary
information, and generally differ solely in the amount of history
available for purchase.\9\
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    \8\ See Securities Exchange Act Release Nos. 87463 (November 5,
2019), 84 FR 61129 (November 12, 2019) (SR-C2-2019-023) (Notice of
Filing and Immediate Effectiveness of a Proposed Rule Change To
Introduce a New Data Product To Be Known as Open-Close Data and To
Adopt Fees for Such Product); 55062 (January 8, 2007), 72 FR 2048
(January 17, 2007) (SR-CBOE-2006-88) (Order Granting Approval to
Proposed Rule Change To Codify a Fee Schedule for the Sale of Open
and Close Volume Data on CBOE Listed Options by Market Data Express,
LLC); and 56957 (December 13, 2007), 72 FR 71988 (December 19, 2007)
(SR-ISE-2007-115) (Notice of Filing and Immediate Effectiveness of
Proposed Rule Change Relating to Historical ISE Open/Close Trade
Profile Fees). The ad-hoc historic monthly End of Day Volume Summary
report contains the same information that is provided in the monthly
subscription-based market data product known as the NYSE Options
Open-Close Volume Summary. See note 5, supra.
    \9\ For example, Nasdaq PHLX LLC offers history for their end of
day data starting in January 2009 while NYSE Options Open-Close
Volume Summary history is only offered starting in December 2018.
See https://www.nasdaqtrader.com/micro.aspx?id=photo.
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    The Exchange proposes to provide in its Fee Schedule that market
participants may purchase the ad-hoc historic monthly End of Day Volume
Summary for a specified month (historical file). The Exchange proposes
to assess a fee of $600 per request per month for an ad-hoc request of
historical End of Day Volume Summary covering all Exchange-listed
securities. An ad-hoc request can be for any number of months beginning
with December 2018 for which the data is available.\10\ The proposed
fee for ad-hoc requests for the historic monthly End of Day Volume
Summary will apply to all market participants. The Exchange notes that
other exchanges provide a similar data product that may be purchased on
an ad-hoc basis and is comparably priced.\11\
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    \10\ For example, a customer that requests historical End of Day
Volume Summary for the months of June 2021 and July 2021, would be
assessed a total of $1,200. The Exchange notes that it may make
historical data prior to December 2018 available in the future and
that such historical data would be available to all members and non-
members.
    \11\ See e.g., Cboe LiveVol, LLC Market Data Fees available at
https://www.cboe.com/us/options/membership/fee_schedule/ctwo/. Cboe
C2 Options (``C2'') offers Open-Close Data: End-of-Day Ad-hoc
Request (historical data) and assesses a fee of $400 per request per
month. Cboe EDGX Exchange, Inc. (``EDGX'') similarly offers Open-
Close Data: End-of-Day Ad-hoc Request (historical data) and assesses
a fee of $400 per request per month. See https://www.cboe.com/us/options/membership/fee_schedule/edgx/. Nasdaq ISE, LLC (``ISE'')
offers Nasdaq ISE Open/Close Trade Profile End of Day Ad-Hoc Request
(historical data) and assesses a fee of $600 per request per month.
See Sec. 10, Market Data, at https://listingcenter.nasdaq.com/rulebook/ise/rules/ise-options-7.
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    NYSE Options Open-Close Volume Summary is subject to significant
competitive forces that constrain its pricing. As described above, the
Exchange's data product competes head-to-head with numerous products

currently available in the marketplace. These products each serve as
reasonable substitutes for one another as they are each designed to
provide data on options market activity which can be used to infer
longer-term trends. The information provided by one exchange is
generally similar to that provided by other exchanges because order
flow can move from one exchange to another, and market sentiment trends
that appear on one exchange are likely to be similar to the sentiment
trends on other exchanges. The key differentiator in the quality of the
data depends on the volume of transactions on a given exchange. The
greater the volume of transactions, the greater the value of the data.
The proposed fee for ad-hoc purchases of historic monthly End of Day
Volume Summary is therefore constrained by the competition among
exchanges for similar options trading summary products.
    The Exchange intends to offer the historic monthly End of Day
Volume Summary on an ad-hoc basis and charge the proposed fees on March
1, 2022.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\12\ in general, and furthers the
objectives of Section 6(b)(5) of the Act,\13\ in particular, in that it
is designed to prevent fraudulent and manipulative acts and practices,
to promote just and equitable principles of trade, to remove
impediments to and perfect the mechanism of a free and open market and
a national market system, and to protect investors and the public
interest, and that it is not designed to permit unfair discrimination
among customers, brokers, or dealers. The Exchange also believes that
its proposal to adopt fees for End of Day Volume Summary is consistent
with Section 6(b) of the Act \14\ in general, and furthers the
objectives of Section 6(b)(4) of the Act \15\ in particular, in that it
is an equitable allocation of dues, fees and other charges among its
members and other recipients of Exchange data.
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    \12\ 15 U.S.C. 78f(b).
    \13\ 15 U.S.C. 78f(b)(5).
    \14\ 15 U.S.C. 78f(b).
    \15\ 15 U.S.C. 78f(b)(4).
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    In adopting Regulation NMS, the Commission granted self-regulatory
organizations (``SROs'') and broker-dealers increased authority and
flexibility to offer new and unique market data to the public. It was
believed that this authority would expand the amount of data available
to users and consumers of such data and also spur innovation and
competition for the provision of market data.
    The Exchange believes that the proposed ad-hoc historic monthly End
of Day Volume Summary market data product would further broaden the
availability of U.S. option market data to investors consistent with
the principles of Regulation NMS. The proposed rule change would
benefit investors by providing access to historic data, which as noted
above, may promote better informed trading, as well as research and
studies of the options industry. Particularly, information regarding
opening and closing activity across different option series may
indicate investor sentiment, which can be helpful research and/or
trading information. Customers of the historic data product may be able
to enhance their ability to analyze options trade and volume data, and
create and test trading models and analytical strategies. The Exchange
believes ad-hoc historic monthly End of Day Volume Summary would
provide a valuable tool that customers can use to gain comprehensive
insight into the trading activity in a particular series, but also
emphasizes such data is not necessary for trading. Moreover, other
exchanges offer a similar data product.\16\
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    \16\ See note 8, supra.
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    The Exchange operates in a highly competitive market. Indeed, there
are currently 16 registered options exchanges competing for order flow.
Based on publicly-available information, and excluding index-based
options, no single exchange has more than 16% of the market share of
executed volume of multiply-listed equity and ETF options trades.\17\
Therefore, currently no exchange possesses significant pricing power in
the execution of multiply-listed equity and ETF options order flow.
More specifically, in November 2021, the Exchange had less than 8%
market share of executed volume of multiply-listed equity and ETF
options trades.\18\
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    \17\ The Options Clearing Corporation (``OCC'') publishes
options and futures volume in a variety of formats, including daily
and monthly volume by exchange, available here: https://www.theocc.com/Market-Data/Market-Data-Reports/Volume-and-Open-Interest/Monthly-Weekly-Volume-Statistics.
    \18\ Based on OCC data for monthly volume of equity-based
options and monthly volume of ETF-based options, see id., the
Exchange's market share in multiply-listed equity and ETF options
was 9.09% for the month of November 2020 and 7.06% for the month of
November 2021.
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    The Commission has repeatedly expressed its preference for
competition over regulatory intervention in determining prices,
products, and services in the securities markets. Specifically, in
Regulation NMS, the Commission highlighted the importance of market
forces in determining prices and SRO revenues, and also recognized that
current regulation of the market system ``has been remarkably
successful in promoting market competition in its broader forms that
are most important to investors and listed companies.'' \19\
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    \19\ See Securities Exchange Act Release No. 51808 (June 9,
2005), 70 FR 37496, 37499 (June 29, 2005).
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    With respect to market data, the decision of the United States
Court of Appeals for the District of Columbia Circuit in NetCoalition
v. SEC upheld the Commission's reliance on the existence of competitive
market mechanisms to evaluate the reasonableness and fairness of fees
for proprietary market data:

    In fact, the legislative history indicates that the Congress
intended that the market system ``evolve through the interplay of
competitive forces as unnecessary regulatory restrictions are
removed'' and that the SEC wield its regulatory power ``in those
situations where competition may not be sufficient,'' such as in the
creation of a ``consolidated transactional reporting system.'' \20\
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    \20\ NetCoalition v. SEC, 615 F.3d 525, 535 (D.C. Cir. 2010)
(quoting H.R. Rep. No. 94-229 at 92 (1975), as reprinted in 1975
U.S.C.C.A.N. 323).

    The court agreed with the Commission's conclusion that ``Congress
intended that `competitive forces should dictate the services and
practices that constitute the U.S. national market system for trading
equity securities.''' \21\ More recently, the Commission confirmed that
it applies a ``market-based'' test in its assessment of market data
fees, and that under that test:
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    \21\ Id. at 535.

the Commission considers whether the exchange was subject to
significant competitive forces in setting the terms of its proposal
for [market data], including the level of any fees. If an exchange
meets this burden, the Commission will find that its fee rule is
consistent with the Act unless there is a substantial countervailing
basis to find that the terms of the rule violate the Act or the
rules thereunder.\22\
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    \22\ See Securities Exchange Act Release No. 34-90217 (October
16, 2020), 85 FR 67392 (October 22, 2020) (SR-NYSENAT-2020-05)
(internal quotation marks omitted), quoting Securities Exchange Act
Release No. 59039 (December 2, 2008), 73 FR 74770, 74781 (December
9, 2008) (ArcaBook Approval Order).

    Making similar historic data products available to market
participants fosters competition in the marketplace, and constrains the
ability of exchanges to charge supra-competitive fees. In the event
that a market participant views one exchange's historic data product as
more or less attractive than the competition they can and do switch
between similar products. The proposed

fees are a result of the competitive environment, as the Exchange seeks
to adopt fees to attract purchasers of the ad-hoc historic monthly End
of Day Volume Summary data product.
    The Exchange believes its proposal to provide the ad-hoc historic
monthly End of Day Volume Summary is reasonable as the proposed fees
are comparable to the fees assessed by other exchanges \23\ that
provide similar historic data products.\24\ Indeed, proposing fees that
are excessively higher than established fees for similar historic data
products would simply serve to reduce demand for the Exchange's
historic data product, which as noted, is entirely optional. Like the
ad-hoc historic monthly End of Day Volume Summary, other exchanges
offer similar historic data products that each provide insight into
trading on those markets and may likewise aid in assessing investor
sentiment. Although each of these similar historic data products
provide only proprietary trade data and not trade data from other
exchanges, it is possible investors are still able to gauge overall
investor sentiment across different option series based on open and
closing interest on any one exchange. Similarly, market participants
may be able to analyze option trade and volume data, and create and
test trading models and analytical strategies using only the ad-hoc
historic monthly End of Day Volume Summary data relating to trading
activity on one or more of the other markets that provide similar
historic data products. As such, if a market participant views another
exchange's data as more attractive than the Exchange's offering, then
such market participant can merely choose not to purchase the
Exchange's historic data product and instead purchase another
exchange's historic product, which offer similar data points, albeit
based on that other market's trading activity.
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    \23\ See, note 11, supra.
    \24\ See, note 8, supra.
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    The Exchange also believes the proposed fees are reasonable as they
would support the introduction of a historic market data product that
is designed to aid investors by providing insight into trading on the
Exchange. In turn, this data would assist market participants in
gauging investor sentiment and trading activity, resulting in
potentially better-informed trading decisions. As noted above,
customers may also use such data to create and test trading models and
analytical strategies.
    Selling historic market data, such as the ad-hoc historic monthly
End of Day Volume Summary, is also a means by which exchanges compete
to attract business. To the extent that the Exchange is successful in
attracting customers to the Exchange's historic data product, it may
earn trading revenues and further enhance the value of its data
products. If the market deems the proposed fees to be unfair or
inequitable, customers can diminish or discontinue their use of the
historic data and/or avail themselves of similar products offered by
other exchanges.\25\ The Exchange therefore believes that the proposed
fees reflect the competitive environment and would be properly and
equally assessed to all customers. The Exchange also believes the
proposed fees are equitable and not unfairly discriminatory as the fees
would apply equally to all customers who choose to purchase such data.
The proposed fees would not differentiate between customers that
purchase the ad-hoc historic monthly End of Day Volume Summary, and are
set at a modest level that would allow any interested market
participant to purchase such data based on their business needs.
Nothing in this proposal treats any category of market participant any
differently from any other category of market participant. The ad-hoc
historic monthly End of Day Volume Summary is available to all market
participants, i.e., members and non-members, and all market
participants would receive the same information in the data feed.
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    \25\ See, note 11, supra.
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    As noted above, the Exchange anticipates a wide variety of market
participants to purchase the ad-hoc historic monthly End of Day Volume
Summary data product, including but not limited to individual
customers, buy-side investors, investment banks and academic
institutions. As such, the Exchange anticipates that the historic data
product may be used not just for commercial or monetizing purposes, but
also for educational use and research. The Exchange reiterates that the
decision as to whether or not to purchase the ad-hoc historic monthly
End of Day Volume Summary is entirely optional for all potential
customers. Indeed, no market participant is required to purchase the
historic data product, and the Exchange is not required to make the
historic data product available to market participants. Rather, the
Exchange is voluntarily making the historic data product available, as
requested by customers, and market participants may choose to receive
(and pay for) this data based on their own business needs. Potential
customers may request the data at any time if they believe it to be
valuable or may decline to purchase such data.
    In sum, the fierce competition for order flow constrains any
exchange from pricing its historic market data at a supra-competitive
price, and constrains the Exchange here in setting its fees for the ad-
hoc historic monthly End of Day Volume Summary data product.
    The proposed fees are therefore reasonable because in setting them,
the Exchange is constrained by the availability of numerous substitute
venues offering historic market data products and trading.\26\ Such
substitutes need not be identical, but only substantially similar to
the product at hand. More specifically, in setting fees for the ad-hoc
historic monthly End of Day Volume Summary data product, the Exchange
is constrained by the fact that, if its pricing is unattractive to
customers, customers have their pick of an increasing number of
alternative venues to use instead of the Exchange.\27\ Because of the
availability of substitutes, an exchange that overprices its historic
market data products stands a high risk that customers may substitute
another source of market data information for its own. Those
competitive pressures imposed by available alternatives are evident in
the Exchange's proposed pricing. The existence of numerous alternatives
to the Exchange ensures that the Exchange cannot set unreasonable fees
for historic market data without suffering the negative effects of that
decision in the fiercely competitive market in which it operates.
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    \26\ See, note 8, supra.
    \27\ See, note 11, supra.
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange 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. The Exchange
also does not believe the proposed fees would cause any unnecessary or
inappropriate burden on intermarket competition as other exchanges are
free to introduce their own comparable historic data product and adopt
fees to better compete with the Exchange's offering. Rather, the
Exchange believes that the proposal will promote competition by
permitting the Exchange to sell a historic data product similar to
those offered by other competitor options exchanges.\28\ The Exchange
is offering the ad-hoc historic monthly End of Day Volume Summary

in order to keep pace with changes in the industry and evolving
customer needs, and believes the data product will contribute to robust
competition among national securities exchanges.
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    \28\ See, note 8, supra.
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    Furthermore, the Exchange operates in a highly competitive
environment, and its ability to price the ad-hoc historic monthly End
of Day Volume Summary is constrained by competition among exchanges
that offer similar historic data products to their customers. As
discussed above, there are currently a number of similar products
available to market participants and investors. A number of U.S.
options exchanges offer a historic market data product that is
substantially similar to the Exchange's offering, which the Exchange
must consider in its pricing discipline in order to compete
effectively. For example, proposing fees that are excessively higher
than established fees for similar historic data products would simply
serve to reduce demand for the Exchange's historic data product, which
as discussed, market participants are under no obligation to utilize or
purchase. In this competitive environment, potential purchasers are
free to choose which, if any, similar historic product to purchase to
satisfy their need for market information. As a result, the Exchange
believes this proposed rule change permits fair competition among
national securities exchanges.
    The Exchange does not believe the proposed rule change would cause
any unnecessary or inappropriate burden on intramarket competition.
Particularly, the proposed fees would apply uniformly to any customer,
in that the Exchange would not differentiate between customers that
purchase the ad-hoc historic monthly End of Day Volume Summary and all
customers would receive the same information in the data feed. The
Exchange believes the proposed fees are set at a modest level that
would allow interested customers to purchase such data based on their
business needs.

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

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

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A) of the Act \29\ and Rule 19b-4(f)(6) \30\ thereunder.
Because the foregoing proposed rule change does not: (i) Significantly
affect the protection of investors or the public interest; (ii) impose
any significant burden on competition; and (iii) become operative for
30 days from the date on which it was filed, or such shorter time as
the Commission may designate, it has become effective pursuant to
Section 19(b)(3)(A) of the Act \31\ and Rule 19b-4(f)(6) \32\
thereunder.
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    \29\ 15 U.S.C. 78(b)(3)(A).
    \30\ 17 CFR 240.19b-4(f)(6).
    \31\ 15 U.S.C. 78s(b)(3)(A).
    \32\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change, along with a
brief description and text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied this requirement.
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    A proposed rule change filed under Rule 19b-4(f)(6) \33\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b-4(f)(6)(iii),\34\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay to allow the
Exchange to implement the proposed rule change and corresponding fee on
March 1, 2022, and thereby allow the Exchange to compete with exchanges
that currently offer similar historic market data products. The
Commission believes that, as described above, the Exchange's proposal
does not raise any new or novel issues. Therefore, the Commission
believes that waving the 30-day operative delay is consistent with the
protection of investors and the public interest. Accordingly, the
Commission designates the proposed rule change to be operative upon
filing.\35\
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    \33\ 17 CFR 240.19b-4(f)(6).
    \34\ 17 CFR 240.19b-4(f)(6).
    \35\ For purposes only of waiving the 30-day operative delay,
the Commission also has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission will institute proceedings to
determine whether the proposed rule change should be approved or
disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (https://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
File Number SR-NYSEAMER-2022-12 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEAMER-2022-12. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (https://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for website viewing and
printing in the Commission's Public Reference Room, 100 F Street NE,
Washington, DC 20549 on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change. Persons submitting
comments are cautioned that we do not redact or edit personal
identifying information from comment submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File Number SR-NYSEAMER-2022-12, and

should be submitted on or before March 25, 2022.
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    \36\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\36\
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022-04561 Filed 3-3-22; 8:45 am]
BILLING CODE 8011-01-P


PAPERWORK REDUCTION ACT SUBMISSION Please read the instructions before completing this form. For additional forms or assistance in completing this form, contact your agency's Paperwork Clearance Officer. Send two copies of this form, the collection instrument to be reviewed, the Supporting Statement and any additional documentation to: Office of Information and Regulatory Affairs, Office of Management and Budget, Docket Library, Room 10102, 725 17th Street NW Washington, DC 20503.

1. Agency/ Subagency originating request USEPA/ Office of Enforcement and Compliance Assurance 2. OMB control number b. G None a. 2060 0001 3. Type of information collection ( check one) a. G New collection b. G Revision of a currently approved collection c. X Extension of a currently approved collection d. G Reinstatement, without change, of a previously approved collection for which approval has expired e. G Reinstatement, with change, of a previously approved collection for which approval has expired f. G Existing collection in use without an OMB control number 4. Type of review requested ( check one) a . X Regular b. G Emergency  Approval requested by: / / c. G Delegated 5. Small entities Will this information collection have a significant economic impact on a substantial number of small entities? G Yes X No For b f, note item A2 of Supporting Statement Instructions 6. Requested expiration date a. X Three years from approval date b. G Other Specify: / /___

7. NSPS for Beverage Can Surface Coating  40 CFR Part 60, Subpart WW 8. Agency form number( s) ( If applicable) EPA No. 0663.08 9. Keywords Reporting, record keeping, hazardous air pollutants, metal beverage cans, organic coatings, VOCs, control technology.

10. Abstract This information collection request is used to monitor the compliance with 40 CFR part 60, Subpart WW. Affected facilities will report startup, initial performance test, and retest information. Facilities will also report on a regular basis emission exceedances, changes to equipment, and other requirements.

11. Affected public ( Mark primary with " P" and all others that apply with " X") a. Individuals or households d. Farms b. P Business or other for profit e. Federal Government c. Not for profit institutions f. State, Local or Tribal Government 12. Obligation to respond ( Mark primary with " P" and all others that apply with " X") a. G Voluntary b. G Required to obtain or retain benefits c. X Mandatory 13. Annual reporting and recordkeeping hour burden a. Number of respondents 48 b. Total annual responses 123 1. Percentage of these responses collected electronically 0____ % c. Total hours requested 4642 d. Current OMB inventory 3092 e. Difference 1550 f. Explanation of difference 1. Program Change 0 2. Adjustment 1550 14. Annual reporting and recordkeeping cost burden ( in thousands of dollars) a. Total annualized capital/ startup costs 14 b. Total annual costs ( O& M) 83 c. Total annualized cost requested 97 d. Current OMB inventory 50 e. Difference 47 f. Explanation of difference 1. Program change 0 2. Adjustment 47 15. Purpose of information collection ( Mark Primary With " P" and all others that apply with " X") a. Application for benefits e. Program planning or management b. X Program evaluation f. Research c. General purpose statistics g. X Regulatory or compliance d. __ Audit 16. Frequency of recordkeeping or reporting ( check all that apply) a. X Recordkeeping b. Q Third party disclosure c. X Reporting 1. Q On occasion 2. Q Weekly 3. Q Monthly 4. X Quarterly 5. X Semi annually 6. Q Annually 7. Q Biannually 8. X Other ( describe) initial report 17. Statistical methods Does this information collection employ statistical methods? Q Yes X No 18. Agency contact ( person who can best answer questions regarding the content of this submission) Name: Steven Hoover Phone: 202 564 7007 OMB 83 I 10/ 95 19. Certification for Paperwork Reduction Act Submissions On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with' 5 CFR 1320.9.

NOTE: The text of 5 CFR 1320.9, and the related provisions of 5 CFR 1320.8( b)( 3), appear at the end of the instructions. The certification is to be made with reference to those regulatory provisions as set forth in the instructions.

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

( a) It is necessary for the proper performance of agency functions;

( b) It avoids unnecessary duplication;

( c) It reduces burden on small entities;

( d) It uses plain, coherent, and unambiguous terminology that is understandable to respondents;

( e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

( f) It indicates the retention periods for recordkeeping requirements;

( g) It informs respondents of the information called for under 5 CFR 1320.8( b)( 3):

( i) Why the information is being collected; ( ii) Use of information; ( iii) Burden estimate; ( iv) Nature of response ( voluntary, required for a benefit, or mandatory); ( v) Nature and extent of confidentiality; and ( vi) Need to display currently valid OMB control number;

( h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected ( see note in Item 19 of the instructions);

( i) It uses effective and efficient statistical survey methodology; and ( j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item below and explain the reason in Item 18 of the Supporting Statement.

Signature of Program Official Mamie R. Miller, Chief Hazardous Waste & Toxics Branch Office of Compliance Office of Enforcement and Compliance Assurance Date 10 17 2002 Signature of Senior Official or designee Oscar Morales, Director Collection Strategies Division Office of Environmental Information Date OMB 83 I 10/ 95 Certification Requirement for Paperwork Reduction Act Submissions 5 CFR 1320.9 reads " As part of the agency submission to OMB of a proposed collection of information, the agency ( through the head of the agency, the Senior Official or their designee) shall certify ( and provide a record supporting such certification) that the proposed collection of information

"( a) is necessary for the proper performance of the functions of the agency, including that the information to be collected will have practical utility;

"( b) is not unnecessarily duplicative of information otherwise reasonably accessible to the agency;

"( c) reduces to the extent practicable and appropriate the burden on persons who shall provide information to or for the agency, including with respect to small entities, as defined in the Regulatory Flexibility Act 5 U. S. C. § 601( 6)), the use of such techniques as:

"( 1) establishing differing compliance or reporting requirements or timetables that take into account the resources available to those who are to respond; "( 2) the clarification, consolidation, or simplification of compliance and reporting requirements; or collection of information , or any part thereof; "( 3) an exemption from coverage of the collection of information, or any part thereof;

"( d) is written using plain, coherent, and unambiguous terminology and is understandable to those who are to respond;

"( e) is to be implemented in ways consistent and compatible, to the maximum extent practicable, with the existing reporting and recordkeeping practices of those who are to respond;

"( f) indicates for each recordkeeping requirement the length of time persons are required to maintain the records specified;

"( g) informs potential respondents of the information called for under § 1320.8( b)( 3); [ see below]

"( h) has been developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected, including the processing of the information in a manner which shall enhance, where appropriate, the utility of the information to agencies and the public;

"( i) uses effective and efficient statistical survey methodology appropriate to the purpose for which the information is to be collected; and "( j) to the maximum extent practicable, uses appropriate information technology to reduce burden and improve data quality, agency efficiency and responsiveness to the public."

NOTE: 5 CFR 1320.8( b)( 3) requires that each collection of information:

"( 3) informs and provides reasonable notice to the potential persons to whom the collection of information is addressed of:

"( i) the reasons the information is planned to be and/ or has been used to further the proper performance of the functions of the agency; "( ii) the way such information is planned to be and/ or has been used to further the proper performance of the functions of the agency; "( iii) an estimate, to the extent practicable, of the average burden of the collection ( together with a request that the public direct to the agency any comments concerning the accuracy of this burden estimate and any suggestions for reducing this burden); "( iv) whether responses to the collection of information are voluntary, required to obtain or retain a benefit ( citing authority), or mandatory ( citing authority); "( v) the nature and extent of confidentiality to be provided, if any ( citing authority); and "( vi) the fact that any agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number."

OMB 83 I ( Instructions) 10/ 95


[Federal Register: March 12, 2010 (Volume 75, Number 48)]
[Notices]
[Page 11967-11970]
[DOCID:fr12mr10-174]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-61665; File No. SR-Phlx-2010-25]

Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change, as Modified
by Amendment No. 2, Relating to Reestablishing Certain Fees

March 5, 2010.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\, and Rule 19b-4 thereunder,\2\ notice is hereby given
that on February 22, 2010, NASDAQ OMX PHLX, Inc. (``Phlx'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as described in
Items I, II, and III, below, which Items have been prepared by the
Exchange. On March 3, 2010, the Exchange filed Amendment No. 1 to the
proposed rule change, and on March 4, 2010, the Exchange withdrew
Amendment No. 1 to the proposed rule change. On March 4, 2010, the
Exchange filed Amendment No. 2 to the proposed rule change.\3\ The
Commission is publishing this notice to solicit comments on the
proposed rule change, as modified by Amendment No. 2, from interested
persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ Amendment No. 2 updates the text of the proposed fee
schedule to indicate certain text from a separate prior filing that
was abrogated. See Securities Exchange Act Release No. 61547
(February 19, 2010), 75 FR 8762 (February 25, 2010) (concerning SR-
Phlx-2009-104).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to: (i) Decrease options transaction charges
for ROTs to $.21 per contract; (ii) eliminate the $.05 per contract fee
for Standard and Poor's Depositary Receipts/SPDRs (``SPY'') \4\ equity
options that are directed to specialists, Streaming Quote Traders
(``SQTs'') \5\ and Remote Streaming Quote Traders (``RSQTs'') \6\ by a
member or member organization and are executed electronically as well
and the Directed Specialists, SQTs and RSQTs charge of $0.01 per
contract fee for Complex Orders in equity options that are directed to
them by an Order Flow Provider and executed electronically; (iii)
eliminate the monthly 4.5 million contracts (the ``Volume Threshold'')
for ROTs and specialists; (iv) establish a $750,000 monthly cap on
equity options transactions executed by ROTs or specialists (``Monthly
Cap''); (v) increase the Firm equity option transaction charge from
$.24 to $.25 and increase the Firm Related Equity Option Cap from
$75,000 to $85,000; (vi) increase Index Options transaction charges
from $.24 to $.30; (vii) eliminate the SQT and RSQT permit credits;
(viii) eliminate the permit fee structure and instead implement a
$1,000 permit fee, regardless of classification; (ix) eliminate the
Other Permit Holders fee category; (x) increase the Trading Floor
Personnel Registration Fee from $50 to $100; (xi) increase the Order
Entry Port from $250 to $500 and only charge per mnemonic instead of
per mnemonic per port; (xii) amend the SQF Port Fee to assess a $500
per month per SQF port in lieu of the existing structure of $250 for
the first five ports and $1000 for additional port thereafter and also
rename the SQF Port Fee as the ``Active SQF Port Fee''; (xiii)
eliminate the $0.02 per contract SQF Port Fee credit; (xiv) eliminate
references to Pilot FCOs; and (xv) eliminate and amend corresponding
endnotes related to amendments indicated herein and make other
clarifying amendments.
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    \4\ SPY options are based on the SPDR exchange-traded fund
(``ETF''), which is designed to track the performance of the S&P 500
Index.
    \5\ An SQT is an Exchange Registered Options Trader (``ROT'')
who has received permission from the Exchange to generate and submit
option quotations electronically through an electronic interface
with AUTOM via an Exchange approved proprietary electronic quoting
device in eligible options to which such SQT is assigned. See
Exchange Rule 1014(b)(ii)(A).
    \6\ An RSQT is an ROT that is a member or member organization
with no physical trading floor presence who has received permission
from the Exchange to generate and submit option quotations
electronically through AUTOM in eligible options to which such RSQT
has been assigned. An RSQT may only submit such quotations
electronically from off the floor of the Exchange. See Exchange Rule
1014(b)(ii)(B).
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    The Exchange previously filed a proposed rule change that contained
most of the fees mentioned herein.\7\ This proposed rule change, SR-
Phlx-2009-104, was subsequently abrogated by the Commission on February
19, 2010.\8\ With respect to SR-Phlx-2009-104, the following fee was at
issue and is abrogated pursuant to the Abrogation Order: a $.05 per
contract fee for equity options that are directed to specialists, $.05
per contract fee for SPY equity options that are directed to
specialists, SQTs, and RSQTs by a member or member organization and are
executed electronically. The purpose of this filing

is to reestablish the remainder of the fees contained in SR-Phlx-2009-
104.
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    \7\ See Securities Exchange Act Release No. 61337 (January 12,
2010), 75 FR 2905 (January 19, 2010) (SR-Phlx-2009-104).
    \8\ See Securities Exchange Release No. 61547 (February 19,
2010) (``Abrogation Order'').
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    The text of the proposed rule change is available on the Exchange's
Web site at http://nasdaqtrader.com/micro.aspx?id=PHLXfilings, at the
principal office of the Exchange, and at the Commission's Public
Reference Room.

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

    In its filing with the Commission, the 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 purpose of the proposed rule change is to update the Exchange's
fee schedules by adopting new fees, amending existing fees and deleting
fees and text that are no longer deemed necessary. The Exchange
previously filed a proposed rule change that contained most of the fees
mentioned herein.\9\ This proposed rule change, SR-Phlx-2009-104, was
subsequently abrogated by the Commission on February 19, 2010.\10\ With
respect to SR-Phlx-2009-104, the following fee was at issue and is
abrogated pursuant to the Abrogation Order: A $.05 per contract fee for
equity options that are directed to specialists, $.05 per contract fee
for SPY equity options that are directed to specialists, SQTs, and
RSQTs by a member or member organization and are executed
electronically. The purpose of this filing is to reestablish the
remainder of the fees contained in SR-Phlx-2009-104.
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    \9\ See Securities Exchange Act Release No. 61337 (January 12,
2010), 75 FR 2905 (January 19, 2010) (SR-Phlx-2009-104).
    \10\ See Securities Exchange Release No. 61547 (February 19,
2010) (``Abrogation Order'').
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Equity Options, Sector Index Options Fees and U.S. Dollar-Settled
Foreign Currency Option Fees
    The Exchange proposes to amend the options transaction charge of
$.22 for ROTs and decrease that fee to $.21 per contract side, similar
to the rate charged to specialists. Also, the Exchange proposes to
eliminate a $.05 per contract fee for SPY equity options and the
similar charge of $0.01 per contract fee for Complex Orders in equity
options that are directed to specialists, SQTs and RSQTs by a member or
member organization and are executed electronically in lieu of the
existing Registered Options Trader (on-floor) and specialist equity
options transaction fees.\11\ With the elimination of this fee,
specialists, SQTs and RSQTs that receive directed orders in SPY equity
options will instead be assessed the above referenced $.21 per contract
side for ROTs and specialists. The Exchange believes the $.05 per
contract fee for SPY equity options that are directed to specialists,
SQTs and RSQTs by a member or member organization and are executed
electronically is no longer necessary to remain competitive for SPY
options order flow.
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    \11\ See Securities and Exchange Release Act No. 60587 (August
28, 2009), 74 FR 46290 (September 8, 2009) (SR-Phlx-2009-73).
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    The Exchange provides a discount for ROTs (on-floor) and
specialists that exceed 4.5 million contracts in a given month (the
``Volume Threshold'') by assessing $ 0.01 per contract on contract
volume above the Volume Threshold instead of the applicable options
transaction charges. The Exchange proposes to eliminate the Volume
Threshold and instead establish a monthly cap for ROTs and specialists
of $750,000.\12\ The Exchange believes that by eliminating the 4.5
million contracts Volume Threshold and instead proposing a Monthly Cap,
a greater number of members will benefit from the Monthly Cap.
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    \12\ The Exchange previously amended the Monthly Cap to $750,000
and also amended the calculation of the Monthly Cap by aggregating
the trading activity of separate ROTs and specialist member
organizations if there is at least 75% common ownership between the
member organizations as reflected on each member organizations' Form
BD, Schedule A as of February 1, 2010. See Securities and Exchange
Release No. 61558 (February 22, 2010) (SR-Phlx-2010-16).
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    The Exchange also proposes to increase the Firm equity options
transaction charge from $.24 to $.25 and increase the Firm Related
Equity Option Cap from $75,000 to $85,000. Additionally, the Exchange
proposes to increase the Sector Index Options Fees for ROTs,
specialists and Firm from $.24 to $.30. The Exchange believes that
these increases will be offset by other fee amendments that are
proposed herein.
    In connection with these above-referenced proposals the Exchange
proposes to delete endnotes A, B, D and 1 and amend endnote 5 in
connection with the proposed amendments specified herein. Endnotes A,
B, D and 1 are no longer necessary in light of the proposed amendments
herein. Endnote 5 is being amended to correspond with the proposed
amendments. The Exchange proposes to delete endnote 5 from the Sector
Index Options Fees, specifically the Firm Proprietary fee, as that
reference was inadvertently not removed at the time the Exchange filed
a proposed rule change eliminating the options transaction charge
associated with the sector index options in the $75,000 Firm-Related
Equity Option and Index Option Cap calculation.\13\ Also, the Exchange
proposes to delete endnote 5 from the U.S. Dollar-Settled Foreign
Currency Options Fees, specifically, the Firm Proprietary fee, as that
reference was inadvertently not removed at the time the Exchange filed
a proposed rule change redefining the firm proprietary order to exclude
U.S. Dollar-Settled Foreign Currency Option Fees from the Firm-Related
Cap.\14\
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    \13\ See Securities Exchange Act Release No. 59545 (March 9,
2009), 74 FR 11158 (March 16, 2009) (SR-Phlx-2009-20).
    \14\ See Securities Exchange Act Release No. 59393 (February 11,
2009), 74 FR 7721 (February 19, 2009) (SR-Phlx-2009-12).
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Permit Fees and Credits
    The Exchange proposes to eliminate the permit credit associated
with SQT and RSQT fees. A member organization is eligible to receive a
monthly credit against the SQT fee for the number of actual permits
issued to the member organization that are utilized by the SQT.
Similarly, the RSQT member organizations' fees are subject to credits
based on the number of permits applicable to such member organization,
subject to the maximum allowable permit credit applicable to each RQST
category. The Exchange is proposing to eliminate these credits. In
connection with eliminating these credits the Exchange proposes to
amend endnote 35 and eliminate endnote 40 to reflect the elimination of
the credits. This proposal to eliminate the credit is consistent with
the Exchange's proposal to eliminate the existing permit fee structure
wherein permit holders are categorized differently and assessed
differently based on type of permit holder and number of permits held
and instead propose one permit fee of $1,000 for all permit holders.
The Exchange would therefore propose removing all other categories and
the tiered structure associated with the number of permits held and
instead assess only one fee per permit holder. The Exchange believes
that while some members may be

assessed a higher fee, for example an Order Flow Provider will now be
assessed $1,000 as opposed to $500, and others will be assessed a lower
fee, Floor Brokers, Specialists, ROTs, Off-Floor Traders or Market
Makers will be assessed $1,000 instead of $1,200 for the first permit
and $1,000 thereafter, overall members will be assessed equally for a
permit and no distinction will be made by category or number of
permits. The Exchange believes that this fee structure is more
equitable and therefore the credit associated with SQT and RSQTs is no
longer required. The Exchange believes that this proposal to institute
a single permit fee is simpler and treats all members alike, regardless
of classification.
    Additionally, the Exchange proposes to eliminate the ``Other Permit
Holder'' category. The Other Permit Holder category was adopted for
billing purposes to address the limited situation where permit holders
did not fall under one of the existing permit fee categories. Status as
an Other Permit Holder requires that a permit holder or the member
organization for which they solely qualify has no transaction activity
for the applicable monthly billing period. Should a permit holder
actively transact business during a particular month, the highest
applicable monthly permit fee will apply to such permit holder and the
member organization for that monthly period. The ``other'' status only
applies to permit holders who solely qualify their member organization,
or in other words there is just one permit holder in that member
organization. If there is more than one permit holder in a member
organization and that permit holder does not fit within any of the
existing permit fee categories, then this ``other'' category does not
apply. Such permit holder or the member organization they solely
qualify for must apply for such ``other'' status in writing to the
Membership Department.\15\
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    \15\ See Securities Exchange Act Release No. 59641 (March 27,
2009), 74 FR 15024 (April 2, 2009) (SR-Phlx-2009-26).
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    The Exchange believes that this classification is no longer
necessary and all members should be required to pay the same permit fee
regardless of classification.\16\ Likewise the Exchange proposes to
eliminate endnote 45(b), which endnote references the Other Permit
Holder fee.
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    \16\ There are currently no members who are assessed the Other
Permit Holder fee.
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Other Access Service, Cancellation, Membership, Regulatory and Other
Fees
    The Exchange proposes to increase the Trading Floor Personnel
Registration Fee from $50 to $100. This fee is imposed on member/
participant organizations for individuals who are employed by such
member/participant organizations and who work on the Exchange's trading
floor, such as clerks, interns, stock execution clerks that handle
equity orders that are part of an options contingency order and other
associated persons, but who are not registered as members or
participants. The Exchange is increasing this fee to keep pace with
rising regulatory costs associated with its obligations to conduct
oversight on on-floor trading activities. In connection with this
proposal the Exchange proposes to amend endnote 55 to conform the
language of the endnote to this proposed fee increase.
    The Exchange proposes to amend its port fees. The Exchange assesses
a monthly fee of $250.00 for the Order Entry Port Fee.\17\ The $250
monthly Order Entry Port Fee is assessed per member organization order
entry mnemonic\18\. The Exchange assesses the $250 monthly Order Flow
Port Fee on members regardless of whether the order entry mnemonic is
active\19\ during the billing month. The fee is assessed regardless of
usage, and solely on the number of order entry ports assigned to each
member organization. The Exchange proposes to increase the fee from
$250 to $500 per month per mnemonic. Also, the Exchange proposed to
modify the manner in which members are assessed the Order Entry Port
Fee to assess the fee per mnemonic instead of per mnemonic and per the
number of order entry ports. The Exchange proposes to amend the Fee
Schedule to note that the fee is assessed per mnemonic.
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    \17\ The Order Entry Port Fee is a connectivity fee assessed on
members in connection with routing orders to the Exchange via an
external order entry port. Members access the Exchange's network
through order entry ports. A member organization may have more than
one order entry port.
    \18\ Order entry mnemonics are codes that identify member
organization order entry ports.
    \19\ An order entry mnemonic is considered active if a member
organization sends at least one order to the Exchange using that
order entry mnemonic during the applicable billing month. See
Securities Exchange Act Release No. 58728 (October 3, 2008), 73 FR
59695 (October 9, 2008) (SR-Phlx-2008-70).
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    Additionally, the Exchange proposes to amend the SQF Port Fee to
change the name to the ``Active SQF Port Fee'' and also amend the fee
structure to eliminate the tiered structure and instead propose a
monthly fee of $500 per port. ``SQF'' stands for specialized quote feed
and is a proprietary quoting system that allows specialists, streaming
quote traders and remote streaming quote traders to connect and send
quotes into Phlx XL II, bypassing the Exchange's Auto-Quote System.\20\
The SQF port fee is assessed in connection with sending quotes to the
Exchange. The SQF port fee is assessed as follows: for the first 5
active SQF ports, a member organization would be charged $250 per port
per month and, for each additional active SQF port (over the first 5
active SQF ports), the member organization would be charged $1,000 per
port per month. Additionally, the same member organization would be
credited $0.02 per side for every option contract executed on the
Exchange in that same month (excluding executions resulting from
dividend, merger and short stock interest strategies) up to the amount
of the SQF port fees when the member organization or one of its
employees is designated as a specialist, SQT or RSQT and the
transaction is billed according to the specialist or ROT transaction
and/or comparison rates.\21\ The SQF port fee and corresponding credit
are applied per member organization.\22\
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    \20\ See Exchange Rule 1080, Commentary .01(b).
    \21\ The Exchange is proposing to eliminate the SQT and RSQT
credits as proposed herein.
    \22\ SQTs and RSQTs are assessed fees pursuant to the ROT rates
as SQTs and RSQTs are deemed to be ROTs. See Exchange Rule
1014(b)(ii)(A) and (B).
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    In connection with this proposal a corresponding amendment is
proposed to endnote 65 to clarify the endnote. The Exchange believes
that by billing the Order Entry Port Fee per mnemonic instead of per
mnemonic per port, member assessments will be reduced. The proposal to
amend the SQF port fee is meant to simplify the fee structure. The
Exchange believes that these increases in fees are necessary to keep
pace with escalating technology costs.
Other Amendments
    The Exchange proposes to eliminate endnote E which relates to a
Pilot Program which is set to expire December 31, 2009 (``Pilot''). The
Pilot is applicable to specialists and ROTs trading certain U.S.
dollar-settled foreign currency options (``FCOs''), specifically the
Mexican peso, Swedish krona, South African rand or the New Zealand
dollar (``Pilot FCOs''). The Pilot Program allows the Exchange to waive
the applicable specialist and ROT option transaction fees for
specialists and ROTs trading Pilot FCOs.\23\ The Exchange pays a $1,700
monthly stipend (``Monthly Stipend'') per currency to each member
organization

acting as a specialist.\24\ As the Pilot is set to expire, the Exchange
proposes to eliminate endnote E which makes reference to the Pilot.
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    \23\ FCOs are currently traded on the Exchange under the name
PHLX World Currency Options[supreg] (``WCOs'').
    \24\ See Securities Exchange Act Release No. 60392 (July 28,
2009), 74 FR 38477 (August 3, 2009) (SR-Phlx-2009-57).
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2. Statutory Basis
    The Exchange believes that its proposal to amend its Fee Schedule
is consistent with Section 6(b) of the Act \25\ in general, and
furthers the objectives of Section 6(b)(4) of the Act \26\ in
particular, in that it is an equitable allocation of reasonable fees
and other charges among Exchange members. Specifically, the Exchange
believes that this proposal is equitable because it would apply evenly
to ROTs and specialists transacting equity options contracts sent to
the Exchange for execution, in that any SQT or RSQT or specialist may
act as a Directed Participant and receive the $.21 per contract equity
options transaction fee. The Exchange believes that by eliminating the
Volume Threshold and instead proposing a Monthly Cap of $750,000 that
members will benefit from such a cap and this would decrease fee
assessments to member organizations and incentivize them to transact
more business on the Exchange. This also applies to the decrease from
$.22 to $.21 for ROTs in options transaction charges. The Exchange is
also increasing certain fees including the Firm fee, the Sector Index
options fees and the Trading Floor Personnel Registration fee and also
increasing the Firm Related Equity Option Cap. The Exchange believes
that other fee changes, which benefit members, will offset, to a
certain degree, these proposed increases. Specifically, the Trading
Floor Personnel Registration fee is tied to increase costs of
regulating floor members. The proposed amendments to the permit fees
will simplify the permit fee structure and assess one fee on all permit
holders. The elimination of the Other Permit category should not impact
members as this category is no longer applicable. Also, the proposed
permit fee is equitable in that all members will be required to pay the
same permit fee under the new structure. The elimination of the permit
fee credit is encompassed in the overall proposal to amend the fee
structure related to permit fees. The Exchange believes that the permit
fee credit is no longer necessary under this new permit fee proposal.
The proposed amendments to the Port fees should allow the Exchange to
keep pace with increasing technology costs. Finally, other amendments
are conforming and clarifying amendments to reflect the proposed
amendments discussed herein with respect to the explanatory endnotes.
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    \25\ 15 U.S.C. 78f(b).
    \26\ 15 U.S.C. 78f(b)(4).
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B. Self-Regulatory Organization's Statement on Burden on Competition

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

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

    No written comments were either solicited or received.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A)(ii) of the Act \27\ and paragraph (f)(2) of Rule 19b-4 \28\
thereunder. At any time within 60 days of the filing of the proposed
rule change, the Commission may summarily abrogate 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.
---------------------------------------------------------------------------

    \27\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \28\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-Phlx-2010-25 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-Phlx-2010-25. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml
). Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for Web site viewing and printing in
the Commission's Public Reference Room, 100 F Street, NE., Washington,
DC 20549, on official business days between the hours of 10 a.m. and 3
p.m. Copies of such 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-Phlx-2010-25 and should be submitted on
or before April 2, 2010.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\29\
---------------------------------------------------------------------------

    \29\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-5317 Filed 3-11-10; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 79, Number 10 (Wednesday, January 15, 2014)]
[Notices]
[Page 2747]
[FR Doc No: 2014-00620]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Fourth Meeting: RTCA Tactical Operations Committee (TOC)

AGENCY: Federal Aviation Administration (FAA), U.S. Department of
Transportation (DOT).

ACTION: Fourth meeting notice of RTCA Tactical Operations Committee.

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

SUMMARY: The FAA is issuing this notice to advise the public of the
second meeting of the RTCA Tactical Operations Committee.

DATES: The meeting will be held February 6, 2014 from 10:00 a.m.-3:00
p.m.

ADDRESSES: The meeting will be held at RTCA, Inc., 1150 18th Street
NW., Suite 910, Washington, DC, 20036.

FOR FURTHER INFORMATION CONTACT: The RTCA Secretariat, 1150 18th Street
NW., Suite 910, Washington, DC, 20036, or by telephone at (202) 833-
9339, fax at<PHONE_NUMBER>, or Web site at http://www.rtca.org. Andy
Cebula, NAC Secretary can also be contacted at<EMAIL_ADDRESS>or 202-
330-0652.

SUPPLEMENTARY INFORMATION: Pursuant to section 10(a) (2) of the Federal
Advisory Committee Act (Pub. L. 92-463, 5 U.S.C., App.), notice is
hereby given for a meeting of Special Committee 224. The agenda will
include the following:

February 6

 Opening of Meeting/Introduction of TOC Members--Co-Chairs Mr.
Jim Bowman, FedEx Express, and Mr. Dale Wright, National Air Traffic
Controllers Association (NATCA)
 Official Statement of Designated Federal Official--Ms.
Elizabeth Ray, FAA Air Traffic Organization, Vice President Mission
Support
 Approval of November 7, 2013 Meeting Summary
 FAA Report
 Notice to Airmen (NOTAM) Criteria and Metrics
    [cir] Recommendation covering success criteria and compliance
metrics to evaluate the FAA NOTAM Modernization initiative and comply
with the Pilot's Bill of Rights.
 Visual Area Surface 20:1 Obstacle Clearance
    [cir] Recommendation related to the FAA November 2013 Memorandum,
``Mitigation of obstructions within the 20:1 Visual Area Surface.''
 VHF Omni-directional Range (VOR) Minimum Operating Network
    [cir] Interim Report ranking and applying selection criteria to VOR
MON list and identifying exceptions.
 Regional Task Groups (RTGs)
    [cir] Discussion of specific Taskings for Regional Task Groups.
 NextGen Advisory Committee (NAC)
    [cir] Report on current activities underway by the NAC.
 Anticipated Issues for TOC consideration and action at the
next meeting.
 Other business
 Adjourn

    Attendance is open to the interested public but limited to space
availability. With the approval of the chairman, members of the public
may present oral statements at the meeting.
    Persons wishing to present statements or obtain information should
contact the person listed in the FOR FURTHER INFORMATION CONTACT
section. Members of the public may present a written statement to the
committee at any time.

    Issued in Washington, DC, on January 9, 2014.
Paige Williams,
Management Analyst, NextGen, Business Operations Group, Federal
Aviation Administration.
[FR Doc. 2014-00620 Filed 1-14-14; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 88, Number 202 (Friday, October 20, 2023)]
[Notices]
[Page 72461]
[FR Doc No: 2023-23126]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

    Take notice that the Commission has received the following Natural
Gas and Oil Pipeline Rate and Refund Report filings:

Filings Instituting Proceedings

    Docket Numbers: PR24-3-000.
    Applicants: Northern Illinois Gas Company.
    Description: Sec.  284.123(g) Rate Filing: Petition for Rate
Approval to be effective 11/1/2023.
    Filed Date: 10/13/23.
    Accession Number: 20231013-5100.
    Comment Date: 5 p.m. ET 11/3/23.
    Protest Date: 5 p.m. ET 12/12/23.

    Docket Numbers: RP24-41-000.
    Applicants: El Paso Natural Gas Company, L.L.C.
    Description: Sec.  4(d) Rate Filing: Negotiated Rate Agreement
Update (Pioneer Oct 13 2023) to be effective 10/13/2023.
    Filed Date: 10/12/23.
    Accession Number: 20231012-5095.
    Comment Date: 5 p.m. ET 10/24/23.

    Any person desiring to intervene, to protest, or to answer a
complaint in any of the above proceedings must file in accordance with
Rules 211, 214, or 206 of the Commission's Regulations (18 CFR 385.211,
385.214, or 385.206) 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.
    The filings are accessible in the Commission's eLibrary system
(https://elibrary.ferc.gov/idmws/search/fercgensearch.asp) by querying
the docket number.
    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>.
    The Commission's Office of Public Participation (OPP) supports
meaningful public engagement and participation in Commission
proceedings. OPP can help members of the public, including landowners,
environmental justice communities, Tribal members and others, access
publicly available information and navigate Commission processes. For
public inquiries and assistance with making filings such as
interventions, comments, or requests for rehearing, the public is
encouraged to contact OPP at<PHONE_NUMBER> or [email protected].

    Dated: October 13, 2023.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2023-23126 Filed 10-19-23; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 83, Number 180 (Monday, September 17, 2018)]
[Notices]
[Page 46937]
[FR Doc No: 2018-20081]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project Nos. 2146-000]

Alabama Power Company; Notice of Reinstatement of Authorization
for Continued Project Operation

    On July 28, 2005, Alabama Power Company, licensee for the Coosa
River Hydroelectric Project No. 2146 (Coosa River Project), Jordan
Hydroelectric Project No. 618 (Jordan Project), and Mitchell
Hydroelectric Project No. 82 (Mitchell Project) filed an application
for a new license to continue operation and maintenance of all three
projects as one project, the Coosa River Project, pursuant to the
Federal Power Act (FPA) and the Commission's regulations. The projects
are located on the Coosa River in the states of Alabama and Georgia.
    On August 8, 2007, the Commission issued separate Notices of
Authorization for Continued Project Operation (Notice of Authorization)
for each project. Each Notice of Authorization stated that if the
project is subject to section 15 of the FPA, notice is hereby given
that an annual license for the project is issued to Alabama Power
Company for a period effective August 1, 2007 through July 31, 2008, or
until the issuance of a new license for the project or other
disposition under the FPA, whichever comes first. The Notice of
Authorization further stated that if issuance of a new license (or
other disposition) does not take place on or before July 31, 2008,
notice is hereby given that, pursuant to 18 CFR 16.18(c), an annual
license under section 15(a)(1) of the FPA is renewed automatically
without further order or notice by the Commission, unless the
Commission orders otherwise. The Notice of Authorization then stated
that if the project is not subject to section 15 of the FPA, notice is
hereby given that Alabama Power Company is authorized to continue
operation of the project until such time as the Commission acts on its
application for a new license.
    On June 20, 2013, the Commission issued a new license combining the
three projects as one project, the Coosa River Project.
    On September 7, 2018, the U.S. Court of Appeals for the District of
Columbia Circuit issued a formal mandate vacating and remanding the new
license to the Commission for further proceedings. Therefore, as of
September 7, 2018, the Court's mandate automatically reinstates the
three August 8, 2007 Notices of Authorization and returns the July 28,
2005 application to pending status.

    Dated: September 10, 2018.
Kimberly D. Bose,
Secretary.
[FR Doc. 2018-20081 Filed 9-14-18; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 81, Number 202 (Wednesday, October 19, 2016)]
[Notices]
[Page 72047]
[FR Doc No: 2016-25244]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. NJ17-1-000]

Oncor Electric Delivery Company LLC; Notice of Filing

    Take notice that on October 4, 2016, Oncor Electric Delivery
Company LLC submitted its tariff filing: Oncor Electric Delivery
Company LLC TFO Rate Changes to be effective September 15, 2016.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211, 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed on or before the comment date.
Anyone filing a motion to intervene or protest must serve a copy of
that document on the Applicant and all the parties in this proceeding.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov. Persons unable to file electronically should submit an
original and 5 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street NE., Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the
``eLibrary'' link and is available for electronic review in the
Commission's Public Reference Room in Washington, DC. There is an
``eSubscription'' link on the Web site that enables subscribers to
receive email notification when a document is added to a subscribed
docket(s). For assistance with any FERC Online service, please email
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.
    Comment Date: 5:00 p.m. Eastern Time on October 25, 2016.

    Dated: October 12, 2016.
Kimberly D. Bose,
Secretary.
[FR Doc. 2016-25244 Filed 10-18-16; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register: November 17, 2009 (Volume 74, Number 220)]
[Notices]
[Page 59183]
[DOCID:fr17no09-59]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OEI-2009-0795, FRL-8976-8]

Office of Environmental Information; Announcement of Availability
and Comment Period for Revised Environmental Sampling, Analysis and
Results Data Standards (ESAR)

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of data availability and request for comment.

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

SUMMARY: Notice of availability for a 30 day review and comment period
is hereby given for six revised data standards--Well Information Data
Standard, ESAR: Field Activity, ESAR: Monitoring Location, ESAR:
Analysis and Results, ESAR: Project and Quality Assurance and Quality
Control Data Standards.
    ESAR, along with the suite of related data standards, enhances the
availability and exchange of monitoring data used for environmental
decision-making. Biological related data elements are largely missing
from ESAR and given the importance and interest in these data, the
Environmental Council of States (ECOS) and US EPA worked together to
adapt/incorporate two Advisory Committee on Water Information (ACWI)
approved standards into ESAR.
    The ACWI approved Water Quality Data Elements for Reporting Results
of Populations/Community Biological Assessments and Toxicity Test
Analyses (TOX and POP) has been adapted for inclusion in ESAR

DATES: Comments must be received on or before December 17, 2009.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-HQ-
OEI-2009-0795 by one of the following methods:
     www.regulations.gov: Follow the on-line instructions for
submitting comments.
     E-mail<EMAIL_ADDRESS>     Fax:<PHONE_NUMBER>
     Mail: Announcement of Availability and Comment Period for
Revised, Environmental Sampling, Analysis and Results Data Standards
(ESAR), Environmental Protection Agency, Mail code: 2822T, 1200
Pennsylvania Ave., NW., Washington, DC 20460. Please include a total of
four copies.
     Hand Delivery: EPA Docket Center (EPA/DC), EPA West, Room
3334, 1301 Constitution Ave., NW., Washington, DC 20460. Please include
a total of four copies. Such deliveries are only accepted during the
Docket's normal hours of operation, and special arrangements should be
made for deliveries of boxed information.
    Instructions: Direct your comments to Docket ID No. EPA-HQ-OEI-
2009-0795. EPA's policy is that all comments received will be included
in the public docket without change and may be made available online at
www.regulations.gov, including any personal information provided,
unless the comment includes information claimed to be Confidential
Business Information (CBI) or other information whose disclosure is
restricted by statute. Do not submit information that you consider to
be CBI or otherwise protected through www.regulations.gov. The
www.regulations.gov Web site is an ``anonymous access'' system, which
means EPA will not know your identity or contact information unless you
provide it in the body of your comment. If you send an e-mail comment
directly to EPA without going through www.regulations.gov your e-mail
address will be automatically captured and included as part of the
comment that is placed in the public docket and made available on the
Internet. If you submit an electronic comment, EPA recommends that you
include your name and other contact information in the body of your
comment and with any disk or CD-ROM you submit. If EPA cannot read your
comment due to technical difficulties and cannot contact you for
clarification, EPA may not be able to consider your comment. Electronic
files should avoid the use of special characters, any form of
encryption, and be free of any defects or viruses. For additional
information about EPA's public docket visit the EPA Docket Center
homepage at http://www.epa.gov/epahome/dockets.htm.
    Docket: All documents in the docket are listed in the
www.regulations.gov index. Although listed in the index, some
information is not publicly available, e.g., CBI or other information
whose disclosure is restricted by statute. Certain other material, such
as copyrighted material, will be publicly available only in hard copy.
Publicly available docket materials are available either electronically
in www.regulations.gov or in hard copy at the OEI Docket, EPA/DC, EPA
West, Room 3334, 1301 Constitution Ave., NW., Washington, DC. The
Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through
Friday, excluding legal holidays. The telephone number for the Public
Reading Room is<PHONE_NUMBER>, and the telephone number for the OEI
Docket is<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Michael Pendleton, Information
Exchange & Services Division, Office of Environmental Information, U.S.
EPA, 1200 Pennsylvania Ave., NW., MC 2823T; Washington, DC 20460; phone
202-566-1658; fax<PHONE_NUMBER>; e-mail<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Standards are intended for use in
environmental data exchange among States, Tribal entities and U.S. EPA.
They are not meant to dictate or limit data an agency chooses to
collect for its own internal purposes. Adoption of a data standard
should be interpreted to mean that revisions to databases or
information systems are required. What the adoption does mean is that
formats for sharing data with Exchange Network (EN) partners will
change because the EN has adopted Shared Schema Components (SSCs) based
on the data standards. The SSCs are available on the Exchange Network
Web site at: http://www.exchangenetwork.net.
    The revised data standards are available through the Docket system
as indicated above and at: http://www.epa.gov/datastandards, and http:/
/www.exchangenetwork.net/standards.

    Dated: October 8, 2009.
Connie Dwyer,
Director, Information Exchange & Services Division.
[FR Doc. E9-27605 Filed 11-16-09; 8:45 am]

BILLING CODE 6560-50-P