[Federal Register Volume 75, Number 35 (Tuesday, February 23, 2010)]
[Rules and Regulations]
[Pages 7956-7958]
[FR Doc No: 2010-3440]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

44 CFR Part 65

[Docket ID FEMA-2010-0003; Internal Agency Docket No. FEMA-B-1073]

Changes in Flood Elevation Determinations

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Interim rule.

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SUMMARY: This interim rule lists communities where modification of the
Base (1% annual-chance) Flood Elevations (BFEs) is appropriate because
of new scientific or technical data. New flood insurance premium rates
will be calculated from the modified BFEs for new buildings and their
contents.

DATES: These modified BFEs are currently in effect on the dates listed
in the table below and revise the Flood Insurance Rate Maps (FIRMs) in
effect prior to this determination for the listed communities.
    From the date of the second publication of these changes in a
newspaper of local circulation, any person has ninety (90) days in
which to request through the community that the Assistant Administrator
for Mitigation reconsider the changes. The modified BFEs may be changed
during the 90-day period.

ADDRESSES: The modified BFEs for each community are available for
inspection at the office of the Chief Executive Officer of each
community. The respective addresses are listed in the table below.

FOR FURTHER INFORMATION CONTACT: Kevin C. Long, Acting Chief,
Engineering Management Branch, Mitigation Directorate, Federal
Emergency Management Agency, 500 C Street SW., Washington, DC 20472,
(202) 646-2820.

SUPPLEMENTARY INFORMATION: The modified BFEs are not listed for each
community in this interim rule. However, the address of the Chief
Executive Officer of the community where the modified BFE
determinations are available for inspection is provided.
    Any request for reconsideration must be based on knowledge of
changed conditions or new scientific or technical data.
    The modifications are made pursuant to section 201 of the Flood
Disaster Protection Act of 1973, 42 U.S.C. 4105, and are in accordance
with the National Flood Insurance Act of 1968, 42 U.S.C. 4001 et seq.,
and with 44 CFR part 65.

    For rating purposes, the currently effective community number is
shown and must be used for all new policies and renewals.
    The modified BFEs are the basis for the floodplain management
measures that the community is required to either adopt or to show
evidence of being already in effect in order to qualify or to remain
qualified for participation in the National Flood Insurance Program
(NFIP).
    These modified BFEs, together with the floodplain management
criteria required by 44 CFR 60.3, are the minimum that are required.
They should not be construed to mean that the community must change any
existing ordinances that are more stringent in their floodplain
management requirements. The community may at any time enact stricter
requirements of its own, or pursuant to policies established by the
other Federal, State, or regional entities. The changes in BFEs are in
accordance with 44 CFR 65.4.
    National Environmental Policy Act. This interim rule is
categorically excluded from the requirements of 44 CFR part 10,
Environmental Consideration. An environmental impact assessment has not
been prepared.
    Regulatory Flexibility Act. As flood elevation determinations are
not within the scope of the Regulatory Flexibility Act, 5 U.S.C. 601-
612, a regulatory flexibility analysis is not required.
    Regulatory Classification. This interim rule is not a significant
regulatory action under the criteria of section 3(f) of Executive Order
12866 of September 30, 1993, Regulatory Planning and Review, 58 FR
51735.
    Executive Order 13132, Federalism. This interim rule involves no
policies that have federalism implications under Executive Order 13132,
Federalism.
    Executive Order 12988, Civil Justice Reform. This interim rule
meets the applicable standards of Executive Order 12988.

List of Subjects in 44 CFR Part 65

    Flood insurance, Floodplains, Reporting and recordkeeping
requirements.

0
Accordingly, 44 CFR part 65 is amended to read as follows:

PART 65--[AMENDED]

0
1. The authority citation for part 65 continues to read as follows:

    Authority:  42 U.S.C. 4001 et seq.; Reorganization Plan No. 3 of
1978, 3 CFR, 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, 3 CFR,
1979 Comp., p. 376.

Sec.  65.4  [Amended]

0
2. The tables published under the authority of Sec.  65.4 are amended
as follows:

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                             Date and name of
         State and county           Location and Case No.     newspaper where     Chief executive officer   Effective date of  modification   Community
                                                           notice was published         of community                                             No.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Colorado: Jefferson...............  City of Westminster    July 9, 2009; July    The Honorable Nancy        November 13, 2009..............       080008
                                     (09-08-0595P).         16, 2009;             McNally, Mayor, City of
                                                            Westminster Window.   Westminster, 4800 West
                                                                                92nd Avenue,
                                                                                Westminster, CO 80031.
Florida:
    Alachua.......................  City of Alachua (09-   June 3, 2009; June    The Honorable Jean         October 8, 2009................       120664
                                     04-0431P).             10, 2009; The         Calderwood, Mayor, City
                                                            Gainesville Sun.      of Alachua, P.O. Box 9,
                                                                                Alachua, FL 32616.
    Alachua.......................  Unincorporated areas   June 3, 2009; June    The Honorable Mike         October 8, 2009................       120001
                                     of Alachua County      10, 2009; The         Byerly, Chairman,
                                     (09-04-0431P).         Gainesville Sun.      Alachua County Board of
                                                                                Commissioners, P.O. Box
                                                                                2877, Gainesville, FL
                                                                                32602.
    Collier.......................  City of Marco Island   July 20, 2009; July   Mr. Steven T. Thompson,    July 7, 2009...................       120426
                                     (09-04-4108P).         27, 2009; Naples      City Manager, City of
                                                            Daily News.           Marco Island, 50 Bald
                                                                                Eagle Drive, Marco
                                                                                Island, FL 34145.
    Lake..........................  Town of Lady Lake (09- July 10, 2009; July   The Honorable Ruth         November 16, 2009..............       120613
                                     04-2296P).             17, 2009; Daily       Kussard, Mayor Pro-Tem,
                                                            Commercial.           Town of Lady Lake, 409
                                                                                Fennell Boulevard, Lady
                                                                                Lake, FL 32159.
    Lake..........................  Unincorporated areas   July 10, 2009; July   The Honorable Welton G.    November 16, 2009..............       120421
                                     of Lake County (09-    17, 2009; Daily       Cadwell, Chairman, Lake
                                     04-2296P).             Commercial.           County Board of
                                                                                Commissioners, P.O. Box
                                                                                7800, Tavares, FL 32778.
Idaho: Ada........................  Unincorporated areas   July 24, 2009; July   The Honorable Fred         July 15, 2009..................       160001
                                     of Ada County (09-10-  31, 2009; Idaho       Tilman, Chairman Ada
                                     0029P).                Statesman.            County, Board of
                                                                                Commissioners, 200 West
                                                                                Front Street, Boise, ID
                                                                                83702.
Illinois:
    Douglas.......................  Unincorporated areas   July 15, 2009; July   The Honorable Wayne        June 30, 2009..................       170194
                                     of Douglas County      22, 2009; Tuscola     Schable, Chair, Douglas
                                     (09-05-1421P).         Journal.              County Board of
                                                                                Supervisors, P.O. Box
                                                                                467, Tuscola, IL 61953.
    Douglas.......................  City of Tuscola (09-   July 15, 2009; July   The Honorable Daniel J.    June 30, 2009..................       170195
                                     05-1421P).             22, 2009; Tuscola     Kleiss, Mayor, City of
                                                            Journal.              Tuscola, 214 North Main
                                                                                Street, Tuscola, IL
                                                                                61953.
Nevada: Clark.....................  Unincorporated areas   July 9, 2009; July    The Honorable Rory Reid,   June 25, 2009..................       320003
                                     of Clark County (09-   16, 2009; Las Vegas   Chair, Clark County
                                     09-1287P).             Review Journal.       Board of Commissioners,
                                                                                500 South Grand Central
                                                                                Parkway, Las Vegas, NV
                                                                                89106.
North Carolina:
    Cabarrus......................  Unincorporated areas   July 15, 2009; July   Mr. John D. Day, Manager,  July 6, 2009...................       370036
                                     of Cabarrus County     22, 2009; The         Cabarrus County,
                                     (08-04-5265P).         Charlotte Observer.   Governmental Center,
                                                                                P.O. Box 707, Concord,
                                                                                NC 28026.
    Cabarrus......................  City of Kannapolis     July 15, 2009; July   The Honorable Robert S.    July 6, 2009...................       370469
                                     (08-04-5265P).         22, 2009;             Misenheimer, Mayor, City
                                                            Independent Tribune.  of Kannapolis, P.O. Box
                                                                                1199, Kannapolis, NC
                                                                                28082.
Oklahoma: Canadian................  City of Oklahoma City  July 16, 2009; July   The Honorable Mick         July 2, 2009...................       405378
                                     (09-06-0829P).         23, 2009; The         Cornett, Mayor, City of
                                                            Oklahoman.            Oklahoma City, 200 North
                                                                                Walker Street, 3rd
                                                                                Floor, Oklahoma City, OK
                                                                                73102.
Tennessee:

    Rutherford....................  Unincorporated areas   July 8, 2009; July    The Honorable Ernest       November 12, 2009..............       470165
                                     of Rutherford County   15, 2009; Daily       Burgess, Mayor,
                                     (09-04-3370P).         News Journal.         Rutherford County,
                                                                                County Courthouse, Room
                                                                                101, Murfreesboro, TN
                                                                                37130.
    Rutherford....................  Town of Smyrna (09-04- July 8, 2009; July    The Honorable Bobby G.     November 12, 2009..............       470169
                                     2810P).                15, 2009; Daily       Spivey, Mayor, Town of
                                                            News Journal.         Smyrna, 315 South Lowry
                                                                                Street, Smyrna, TN 37167.
    Wilson........................  Unincorporated areas   July 8, 2009; July    The Honorable Robert       November 12, 2009..............       470165
                                     of Wilson County (09-  15, 2009; Wilson      Dedman, County Mayor,
                                     04-3370P).             Post.                 Wilson County, 228 East
                                                                                Main Street, Lebanon, TN
                                                                                37087.
Texas:
    McLennan......................  Unincorporated areas   June 26, 2009; July   The Honorable Jim Lewis,   November 2, 2009...............       480456
                                     of McLennan County     3, 2009; Waco         McLennan County Judge,
                                     (09-06-0597P).         Tribune Herald.       P.O. Box 1728, Waco, TX
                                                                                76701.
    McLennan......................  City of Waco (09-06-   June 26, 2009; July   The Honorable Virginia     November 2, 2009...............       480461
                                     0597P).                3, 2009; Waco         DuPuy, Mayor, City of
                                                            Tribune Herald.       Waco, P.O. Box 2570,
                                                                                Waco, TX 76702.
    Travis........................  City of Pflugerville   July 23, 2009; July   The Honorable Jeff         November 30, 2009..............       481028
                                     (09-06-1373P).         30, 2009;             Coleman, Mayor, City of
                                                            Pflugerville Pflag.   Pflugerville, P.O. Box
                                                                                589, Pflugerville, TX
                                                                                78691.
Virginia: Loudoun.................  Town of Leesburg (08-  June 24, 2009; July   The Honorable Kristen C.   October 29, 2009...............       510091
                                     03-1561P).             1, 2009; Loudoun      Umstattd, Mayor, Town of
                                                            Times Mirror.         Leesburg, P.O. Box 88,
                                                                                Leesburg, VA 20178.
Wyoming: Sweetwater...............  City of Rock Springs   July 14, 2009; July   The Honorable Timothy A.   November 18, 2009..............       560051
                                     (09-08-0320P).         21, 2009; Rock        Kaumo, Mayor, City of
                                                            Springs Daily         Rock Springs, 212 D
                                                            Rocket Miner.         Street, Rock Springs, WY
                                                                                82901.
--------------------------------------------------------------------------------------------------------------------------------------------------------

(Catalog of Federal Domestic Assistance No. 97.022, ``Flood
Insurance.'')

Sandra K. Knight,
Deputy Assistant Administrator for Mitigation, Department of Homeland
Security, Federal Emergency Management Agency.
[FR Doc. 2010-3440 Filed 2-22-10; 8:45 am]
BILLING CODE 9110-12-P


[Federal Register Volume 82, Number 75 (Thursday, April 20, 2017)]
[Notices]
[Pages 18679-18680]
[FR Doc No: 2017-07954]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-80462; File No. SR-CBOE-2017-033]

Self-Regulatory Organizations; Chicago Board Options Exchange,
Incorporated; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change To Amend the Fees Schedule

April 14, 2017.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on April 10, 2017, Chicago Board Options Exchange, Incorporated
(the ``Exchange'' or ``CBOE'') filed with the Securities and Exchange
Commission (the ``Commission'') the proposed rule change as described
in Items I, 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 Substance
of the Proposed Rule Change

    The text of the proposed rule change is available on the Exchange's
Web site (http://www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome.aspx),
at the Exchange's Office of the Secretary, and at the Commission's
Public Reference Room.

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

1. Purpose

    The Exchange proposes to amend its Fees Schedule with respect to
the Frequent Trader program.\3\ By way of background, the Frequent
Trader Program offers transaction fee rebates to registered Customers,
Professional Customers and Voluntary Professionals (origin codes ``C''
and ``W'') (collectively ``Customers'') that meet certain volume
thresholds in CBOE VIX Volatility Index options (``VIX options''),
Russell 2000 Index (``RUT'') options, and S&P 500 Index options
(``SPX''), weekly S&P 500 options (``SPXW'') and p.m.-settled SPX Index
options (``SPXpm'') (collectively referred to as ``SPX options'')
provided the Customer registers for the program. The Exchange proposes
to amend the Frequent Trader Program to increase the (i) volume
thresholds and (ii) rebates for VIX options. Specifically, the proposed
changes will be as follows:
---------------------------------------------------------------------------

    \3\ The Exchange initially filed the proposed fee change on
April 3, 2017 (SR-CBOE-2017-027). On April 10, 2017, the Exchange
withdrew that filing and submitted this filing.

                                                       VIX
----------------------------------------------------------------------------------------------------------------
                                              Monthly contracts traded                      Fee rebate
                                   -----------------------------------------------------------------------------
               Tier                                                                   Current        Proposed
                                           Current                Proposed           (percent)       (percent)
----------------------------------------------------------------------------------------------------------------
1.................................  10,000-49,000........  10,000-99,999........               3               5
2.................................  50,000-99,000........  100,000-299,999......               6              15
3.................................  100,000 and above....  300,000 and above....               9              25
----------------------------------------------------------------------------------------------------------------

    The Exchange believes the proposed changes incentivizes the sending
of Customer orders to the Exchange while maintaining an incremental
incentive for Customers to strive for the highest tier level.

2. Statutory Basis

    The Exchange believes the proposed rule change is consistent with
the Securities Exchange Act of 1934 (the ``Act'') and the rules and
regulations thereunder applicable to the Exchange and, in particular,
the requirements of Section 6(b) of the Act.\4\ Specifically, the
Exchange believes the proposed rule change is consistent with the
Section 6(b)(5) \5\ requirements that the rules of an exchange be
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in regulating, clearing,
settling, processing information with respect to, and facilitating
transactions in securities, to remove impediments to and perfect the
mechanism of a free and open market and a national market system, and,
in general, to protect investors and the public interest. The Exchange
also believes the proposed rule change is consistent with Section
6(b)(4) of the Act,\6\ which provides that Exchange rules may provide
for the equitable allocation of reasonable dues, fees, and other
charges among its Trading Permit Holders.
---------------------------------------------------------------------------

    \4\ 15 U.S.C. 78f(b).
    \5\ 15 U.S.C. 78f(b)(5).
    \6\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

    The Exchange believes it's reasonable to increase the Frequent
Trader rebates for VIX because it provides Customers an opportunity to
receive increased rebates for reaching certain qualifying volume
thresholds that they would not otherwise receive. The proposed rule
change is designed to encourage greater Customer VIX options trading,
which, along with bringing greater VIX options trading opportunities to
all market participants, would bring in more fees to the Exchange, and
such fees can be used to recoup the Exchange's costs and expenditures
from maintaining VIX options. The Exchange believes it's also
reasonable to increase the qualifying volume thresholds for VIX as it
still allows the Exchange to maintain an incremental incentive for
Customers to strive for the highest tier level and because the Exchange
has increased the rebates for each of the tiers. The Exchange believes
it's equitable and not unfairly discriminatory to establish higher
rebates under the Frequent Trader Program for VIX as compared to SPX
and RUT options because the Exchange would like to encourage more VIX
trading. The Exchange believes that the proposed change is not unfairly
discriminatory because it will apply to all Frequent Trader Customers.

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

    CBOE does not believe that the proposed rule change will impose any
burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act because, while the rebates apply
only to Customers, the proposed change is designed to encourage
increased Customer VIX options volume, which provides greater trading
opportunities for all market participants. The Exchange believes that
the proposed rule change will not cause an unnecessary burden on
intermarket competition because VIX is only traded on CBOE. To the
extent that the proposed changes make CBOE a more attractive
marketplace for market participants at other exchanges, such market
participants are welcome to become CBOE market participants.

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

    The Exchange neither solicited nor received comments on the
proposed rule change.

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) of the Act \7\ and paragraph (f) of Rule 19b-4 \8\
thereunder. 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.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78s(b)(3)(A).
    \8\ 17 CFR 240.19b-4(f).
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IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-CBOE-2017-033 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-CBOE-2017-033. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549 on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-CBOE-2017-033 and should be
submitted on or before May 11, 2017.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\9\
---------------------------------------------------------------------------

    \9\ 17 CFR 200.30-3(a)(12).
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Brent J. Fields,
Secretary.
[FR Doc. 2017-07954 Filed 4-19-17; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 85, Number 247 (Wednesday, December 23, 2020)]
[Notices]
[Pages 83982-83983]
[FR Doc No: 2020-28332]

=======================================================================
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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

[Docket No. USCG-2020-0622]

Collection of Information Under Review by Office of Management
and Budget; OMB Control Number 1625-0084

AGENCY: Coast Guard, DHS.

ACTION: Thirty-day notice requesting comments.

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SUMMARY: In compliance with the Paperwork Reduction Act of 1995 the
U.S. Coast Guard is forwarding an Information Collection Request (ICR),
abstracted below, to the Office of Management and Budget (OMB), Office
of Information and Regulatory Affairs (OIRA), requesting an extension
of its approval for the following collection of information: 1625-0084,
Audit Reports under the Internation Safety Management Code; without
change. Our ICR describes the information we seek to collect from the
public. Review and comments by OIRA ensure we only impose paperwork
burdens commensurate with our performance of duties.

DATES: You may submit comments to the Coast Guard and OIRA on or before
January 22, 2021.

ADDRESSES: Comments to the Coast Guard should be submitted using the
Federal eRulemaking Portal at https://www.regulations.gov. Search for
docket number [USCG-2020-0622. Written comments and recommendations to
OIRA for the proposed information collection should be sent within 30
days of publication of this notice to https://www.reginfo.gov/public/do/PRAMain. Find this particular information collection by selecting
``Currently under 30-day Review--Open for Public Comments'' or by using
the search function.
    A copy of the ICR is available through the docket on the internet
at https://www.regulations.gov. Additionally, copies are available
from: COMMANDANT (CG-6P), ATTN: PAPERWORK REDUCTION ACT MANAGER, U.S.
COAST GUARD, 2703 MARTIN LUTHER KING JR. AVE SE, STOP 7710, WASHINGTON,
DC 20593-7710.

FOR FURTHER INFORMATION CONTACT: A.L. Craig, Office of Privacy
Management, telephone<PHONE_NUMBER>, or fax<PHONE_NUMBER>, for questions
on these documents.

SUPPLEMENTARY INFORMATION:

Public Participation and Request for Comments

    This notice relies on the authority of the Paperwork Reduction Act
of 1995; 44 U.S.C. chapter 35, as amended. An ICR is an application to
OIRA seeking the approval, extension, or renewal of a Coast Guard
collection of information (Collection). The ICR contains information
describing the Collection's purpose, the Collection's likely burden on
the affected public, an explanation of the necessity of the Collection,
and other important information describing the Collection. There is one
ICR for each Collection. The Coast Guard invites comments on whether
this ICR should be granted based on the Collection being necessary for
the proper performance of Departmental functions. In particular, the
Coast Guard would appreciate comments addressing: (1) The practical
utility of the Collection; (2) the accuracy of the estimated burden of
the Collection; (3) ways to enhance the quality, utility, and clarity
of information subject to the Collection; and (4) ways to minimize the
burden of the Collection on respondents, including the use of automated
collection techniques or other forms of information technology.
Consistent with the requirements of Executive Order 13771, Reducing
Regulation and Controlling Regulatory Costs, and Executive Order 13777,
Enforcing the Regulatory Reform Agenda, the Coast Guard is also
requesting comments on the extent to which this request for information
could be modified to reduce the burden on respondents. These comments
will help OIRA determine whether to approve the ICR referred to in this
Notice.
    We encourage you to respond to this request by submitting comments
and related materials. Comments to Coast Guard or OIRA must contain the
OMB Control Number of the ICR. They must also contain the docket number
of this request, [USCG-2020-0622], and must be received by January 22,
2021.

Submitting Comments

    We encourage you to submit comments through the Federal eRulemaking
Portal at https://www.regulations.gov. If your material cannot be
submitted using https://www.regulations.gov, contact the person in the
FOR FURTHER INFORMATION CONTACT section of this document for alternate
instructions. Documents mentioned in this notice, and all public
comments, are in our online docket at https://www.regulations.gov and
can be viewed by following that website's instructions. Additionally,
if you go to the online docket and sign up for email alerts, you will
be notified when comments are posted.
    We accept anonymous comments. All comments to the Coast Guard will
be posted without change to https://www.regulations.gov and will
include any personal information you have provided. For more about
privacy and submissions to the Coast Guard in response to this
document, see DHS's eRulemaking System of Records notice (85 FR 14226,
March 11, 2020). For more about privacy and submissions to OIRA in
response to this document, see the https://www.reginfo.gov, comment-
submission web page. OIRA posts its decisions on ICRs online at https://www.reginfo.gov/public/do/PRAMain after the comment period for each
ICR. An OMB Notice of Action on each ICR will become available via a
hyperlink in the OMB Control Number: 1625-0084.

Previous Request for Comments

    This request provides a 30-day comment period required by OIRA. The
Coast Guard published the 60-day notice (85 FR 64506, October 13, 2020)
required by 44 U.S.C. 3506(c)(2). That notice elicited no comments.
Accordingly, no changes have been made to the Collection.

Information Collection Request

    Title: Audit Reports under the International Safety Management
Code.
    OMB Control Number: 1625-0084.
    Summary: This information helps to determine whether U.S. vessels,
subject to SOLAS 74, engaged in international trade, are in compliance
with that treaty. Organizations recognized by the Coast Guard conduct
ongoing audits of vessels' and companies' safety management systems.
    Need: Title 46 U.S.C. 3203 authorizes the Coast Guard to prescribe
regulations regarding safety management systems. Title 33 CFR part 96
contains the rules for those systems and hence the safe operation of
vessels.
    Forms: None.
    Respondents: Owners and operators of vessels, and organizations
authorized to issue ISM Code certificates for the United States.
    Frequency: On occasion.
    Hour Burden Estimate: The estimated burden has increased from
10,221 hours to 15,512 hours a year due to an

increase in the estimated annual number of responses.
    Authority: The Paperwork Reduction Act of 1995; 44 U.S.C. chapter
35, as amended.

    Dated: December 17, 2020.
Kathleen Claffie,
Chief, Office of Privacy Management, U.S. Coast Guard.
[FR Doc. 2020-28332 Filed 12-22-20; 8:45 am]
BILLING CODE 9110-04-P


Outside stakeholder meetings  -  Pyrethroids

NPMA -EPA Pyrethroid Ecological Mitigation meetings: August 2, 2019

Pyrethroid Ecological Mitigation  -  August 2, 2019
 NPMA Participant: Jim Fredericks
 EPA: Cathryn Britton, Moana Appleyard, Khue Nguyen, Jon Williams, Nathan Sell, Melanie Biscoe
 Discussed: schedule and scope of mitigation.  NPMA provided description on perimeter and lawn applications from the perspective of Pest Control Operators.

PWG-EPA Pyrethroid Ecological Mitigation meetings: July 16, 2019

Pyrethroid Ecological Mitigation check-in- July 16, 2019
 PWG Participants: Jill Holihan, Chuck Levey
 EPA: Cathryn Britton, Moana Appleyard, Khue Nguyen, Melanie Biscoe, Kevin Costello
Discussed: schedule and scope of mitigation

PWG-EPA Pyrethroid Ecological Mitigation meetings: March 7, 2019

Pyrethroid Ecological Mitigation check-in- July 16, 2019
 PWG Participants: Jill Holihan, Chuck Levey
 EPA: Cathryn Britton, Moana Appleyard, Khue Nguyen, David Jones
Discussed: logistics for VFSMOD demonstration scheduled for 3-28-19

EPA -  California Department of Water Resources: February 25, 2019
Meeting topic: Pyrethroids in California surface water
Meeting notes:  Based on monitoring results, pyrethroids are still getting into surface water even after the Agency's 2013 Pyrethroid letter for urban outdoor applications.  Current label restrictions do not appear sufficient to reduce amount detected in water.  Would like further restrictions on consumer products; including structural applications, combo products with fertilizers, and the chemical bifenthrin.
Participants:
Dave Tamayo, California Department of Water Resources
USEPA: Cathryn Britton, Khue Nguyen, Moana Appleyard


[Federal Register Volume 84, Number 205 (Wednesday, October 23, 2019)]
[Rules and Regulations]
[Pages 56699-56701]
[FR Doc No: 2019-23046]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 117

[Docket No. USCG-2018-0091]
RIN 1625-AA09

Drawbridge Operation Regulation; Petaluma River, Haystack Landing
(Petaluma), CA

AGENCY: Coast Guard, DHS.

ACTION: Final rule.

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SUMMARY: The Coast Guard is changing the operating schedule that
governs the Northwestern Pacific (SMART) railroad bridge across the
Petaluma River, mile 12.4, at Haystack Landing (Petaluma), CA. The
change is necessary to help coordinate vessel passage with commuter
rail traffic. The schedule change would require vessels to provide a
30-minute advance notification for drawspan openings.

DATES: This rule is effective November 22, 2019.

ADDRESSES: To view documents mentioned in this preamble as being
available in the docket, go to http://www.regulations.gov. Type USCG-
2018-0091 in the ``SEARCH'' box and click ``SEARCH.'' Click on Open
Docket Folder on the line associated with this rulemaking.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or email Carl T. Hausner, Chief, Bridge Section, Eleventh Coast
Guard District; telephone<PHONE_NUMBER>; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Table of Abbreviations

CFR Code of Federal Regulations
DHS Department of Homeland Security
FR Federal Register
IAW In Accordance With
OMB Office of Management and Budget
NPRM Notice of Proposed Rulemaking (Advance, Supplemental)
Sec.  Section
SMART Sonoma-Marin Area Rail Transit
U.S.C. United States Code

II. Background Information and Regulatory History

    On March 27, 2019, the Coast Guard published a notice of proposed
rule making (NPRM) entitled ``Drawbridge Operation Regulation; Petaluma
River, Haystack Landing (Petaluma), CA'' in the Federal Register (84 FR
10745). Further, on March 22, 2019, Commander (dpw), Eleventh Coast
Guard District mailed notification of the NPRM to 33 interested parties
that regularily use the Petaluma River and published a notification of
the NPRM in the Local Notice to Mariners, No. 13/19. The Coast Guard
received no comments on this proposed rule.
    On March 2, 2018, the Coast Guard published a temporary deviation
from the operating schedule entitled ``Drawbridge Operation Regulation;
Petaluma River, Haystack Landing (Petaluma), CA'' in the Federal
Register (83 FR 8936). The March 2, 2018 proposed change to the bridge
operating schedule was tested to determine whether a permanent change
was warranted to allow the draw to open as follows:
    The draw shall open on signal from 6 a.m. to 11 p.m. if at least 2-
hours notice is given to the drawtender. At all other times, the draw
shall be maintained in the fully opened position, except for the
passage of trains or maintenance.
    Five comments were received in response to the first test
deviation. Four of the five comments submitted addressed the 2-hour
advance notificiation. The commenters stated that the lengthly advance
notification would be a burden on waterway users.
    On August 13, 2018, the Coast Guard published a second temporary
deviation from the operating schedule entitled ``Drawbridge Operation
Regulation; Petaluma River, Haystack Landing (Petaluma), CA'' in the
Federal Register (83 FR 39879). The August 13, 2018 proposed change to
the bridge operating schedule was tested to determine whether an
alternative permanent change, from the March 2, 2018 test deviation,
was warranted to allow the draw to open as follows:
    The draw shall open on signal from 6 a.m. to 11 p.m. if at least 30
minutes notice is given to the drawtender. At all other times, the draw
shall be maintained in the fully opened position, except for the
passage of trains or maintenance.
    Two comments were received in response to the second test
deviation. The first comment was directed at future navigation on the
Petaluma River and did not address the efficiency of the 30-minute
notice and the second comment was unrelated to the test deviation.

III. Legal Authority and Need for Rule

    The Coast Guard is issuing this rule under authority 33 U.S.C. 499.
The Northwestern Pacific (SMART) railroad bridge across the Petaluma
River, mile 12.4, at Haystack Landing (Petaluma), CA is a single leaf
bascule bridge which provides 3.6 feet of vertical navigational
clearance at Mean High Water in the closed-to-navigation position and
unlimited vertical clearance in the fully opened position. IAW 33 CFR
117.187(a); The draw of the Northwestern Pacific (SMART) railroad
bridge, mile 12.4, at Haystack Landing (Petaluma), shall be maintained
in the fully open position, except for the crossing of trains or for
maintenance. When the draw is closed and visibility is from the
drawtender's station is less than one mile up or down the channel, the
drawtender shall sound two long blasts every minute. When the draw is
reopened, the drawthender shall sound three short blasts.
    On October 22, 2015, SMART requested the Coast Guard consider
changing the operating schedule due to the commencement of commuter
rail service on a previously rarely used rail line. Due to an increase
in communter rail traffic, SMART requested the drawspan remain in the
closed-to-navigation position during commute hours to avoid unnecessary
bridge openings and that vessels provide an advance notification to the
bridge tender for an opening during these hours. Two test deviations
were conducted to determine if the proposed operation regulation change
would meet the reasonable needs of navigation while benefiting land
traffic. It was determined that a 30-minute advance notification would
meet the reasonable needs of navigation while benefiting commuter rail
traffic. The Petaluma River supports commercial and recreational
traffic. Currently 32 commuter trains cross the bridge each day.
Commercial waterway traffic on the river has decreased in the last year
due to an upstream tug and barge company moving their base of operation
down river, east of the bridge.

IV. Discussion of Comments, Changes and the Final Rule

    The preceding NPRM the Coast Guard issued provided a comment period
of 90 days and no comments were received. The Final Rule would require
the bridge to open on signal for vessels from 3 a.m. to 11 p.m. when a
30-minute notification is given to the drawtender. At all other times
the bridge would be maintained in the open-to-navigation postion except
for the crossing of trains or for maintenance. This Final Rule would
meet the reasonable needs of navigation while benefiting commuter rail
transportation and would reduce wear and tear on the drawspan. In a
related matter, SMART also owns the

Blackpoint railroad bridge, mile 0.8, over the Petaluma River. This
Final Rule would change the names of both the Northwestern Pacific
railroad bridge, mile 0.8, at Blackpoint and the Northwestern Pacifc
railroad bridge, mile 12.4, at Haystack Landing (Petaluma) in the
regulations to reflect that ownership.

V. Regulatory Analyses

    We developed this rule after considering numerous statutes and
Executive Orders related to rulemaking. Below we summarize our analyses
based on a number of these statutes and Executive Orders, and we
discuss First Amendment rights of protesters.

A. Regulatory Planning and Review

    Executive Orders 12866 and 13563 direct agencies to assess the
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits. Executive Order 13771 directs agencies to control
regulatory costs through a budgeting process. This rule has not been
designated a ``significant regulatory action,'' under Executive Order
12866. Accordingly, it has not been reviewed by the Office of
Management and Budget (OMB) and pursuant to OMB guidance it is exempt
from the requirements of Executive Order 13771.
    This regulatory action determination is based on the ability that
vessels can still transit the bridge given advanced notice.

B. Impact on Small Entities

    The Regulatory Flexibility Act of 1980 (RFA), 5 U.S.C. 601-612, as
amended, requires federal agencies to consider the potential impact of
regulations on small entities during rulemaking. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000. The Coast Guard received no comments from the Small Business
Administration on this rule. The Coast Guard certifies under 5 U.S.C.
605(b) that this rule will not have a significant economic impact on a
substantial number of small entities. While some owners or operators of
vessels intending to transit the bridge may be small entities, for the
reasons stated in section V.A above, this rule will not have a
significant economic impact on any vessel owner or operator.
    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this rule. If the rule would affect your
small business, organization, or governmental jurisdiction and you have
questions concerning its provisions or options for compliance, please
contact the person listed in the FOR FURTHER INFORMATION CONTACT,
above.
    Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247). The Coast Guard will not retaliate against small
entities that question or complain about this rule or any policy or
action of the Coast Guard.

C. Collection of Information

    This rule calls for no new collection of information under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

D. Federalism and Indian Tribal Government

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. We have analyzed this rule under that Order and have
determined that it is consistent with the fundamental federalism
principles and preemption requirements described in Executive Order
13132.
    Also, this rule does not have tribal implications under Executive
Order 13175, Consultation and Coordination with Indian Tribal
Governments, because it does not have a substantial direct effect on
one or more Indian tribes, on the relationship between the Federal
Government and Indian tribes, or on the distribution of power and
responsibilities between the Federal Government and Indian tribes. The
Coast Guard received no comments on this this section. If you believe
this rule has implications for federalism or Indian tribes, please
contact the person listed in the FOR FURTHER INFORMATION CONTACT,
above.

E. Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this rule will not result in
such an expenditure, we do discuss the effects of this rule elsewhere
in this preamble. The Coast Guard received no comments on this section.

F. Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 023-01, U.S. Coast Guard Environmental Planning
Policy COMDTINST 5090.1 (series) and U.S. Coast Guard Environmental
Planning Implementation Procedures (series) which guide the Coast Guard
in complying with the National Environmental Policy Act of 1969 (NEPA)
(42 U.S.C. 4321-4370f). We have made a determination that this action
is one of a category of actions that do not individually or
cumulatively have a significant effect on the human environment. This
rule promulgates the operating regulations or procedures for
drawbridges. This action is categorically excluded from further review,
under paragraph L49, of Chapter 3, Table 3-1 of the U.S. Coast Guard
Environmental Planning Implementation Procedures.
    Neither a Record of Environmental Consideration nor a Memorandum
for the Record are required for this rule.

G. Protest Activities

    The Coast Guard respects the First Amendment rights of protesters.
Protesters are asked to contact the person listed in the ``For Further
Information Contact'' section to coordinate protest activities so that
your message can be received without jeopardizing the safety or
security of people, places or vessels.

List of Subjects in 33 CFR Part 117

    Bridges.

    For the reasons discussed in the preamble, the Coast Guard amends
33 CFR part 117 as follows:

PART 117--DRAWBRIDGE OPERATION REGULATIONS

0
1. The authority citation for part 117 continues to read as follows:

    Authority:  33 U.S.C. 499; 33 CFR 1.05-1; Department of Homeland
Security Delegation No. 0170.1.

0
2. Revise Sec.  117.187 to read as follows:

Sec.  117.187   Petaluma River.

    (a) The draw of the SMART Blackpoint railroad bridge, mile 0.8 at
Blackpoint, shall be maintained in the fully open position, except for
the crossing of trains or for maintenance. When the draw is closed and
visibility from the drawtender's station is less than one mile up or
down the channel, the drawtender shall sound two long blasts every
minute. When the draw is reopened, the drawtender shall sound three
short blasts.
    (b) The draw of the SMART Haystack Landing railroad bridge, mile
12.4 at Petaluma, shall open on signal from 3 a.m. to 11 p.m. if at
least 30 minutes notice is given to the drawtender. At all other times,
the draw shall be maintained in the fully open position, except for the
crossing of trains or for maintenance. When the draw is closed and
visibility from the drawtender's station is less than one mile up or
down the channel, the drawtender shall sound two long blasts every
minute. When the draw is reopened, the drawtender shall sound three
short blasts.
    (c) The draw of the Petaluma highway bridge at ``D'' Street, mile
13.7, at Petaluma, shall open on signal if at least four hours notice
is given for openings from 6 a.m. to 6 p.m., and if at least 24 hours
notice is given for openings from 6 p.m. to 6 a.m.

    Dated: October 15, 2019.
Peter W. Gautier,
Rear Admiral, U.S. Coast Guard, Commander, Eleventh Coast Guard
District.
[FR Doc. 2019-23046 Filed 10-22-19; 8:45 am]
 BILLING CODE 9110-04-P


[Federal Register Volume 77, Number 66 (Thursday, April 5, 2012)]
[Notices]
[Page 20621]
[FR Doc No: 2012-8155]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 12790-001]

Pomperaug Hydro Project; Andrew Peklo III; Notice Extending
Deadline for Comments

    On January 18, 2012, Office of Energy Projects staff held a
technical meeting in Woodbury, CT. The meeting was transcribed by a
court reporter; however, due to various processing delays, the
transcript was not added to the public record for the Pomperaug Hydro
Project (FERC No. 12790) until March 21, 2012. Because the transcript
for the technical meeting was not available to the public until after
the expiration of the comment period established in the Commission's
January 12, 2012, notice, the deadline for filing comments is extended
to April 13, 2012.
    Comments may be filed electronically via the Internet. See 18 CFR
385.2001(a)(1)(iii) and the instructions on the Commission's Web site
http://www.ferc.gov/docs-filing/efiling.asp. Commenters can submit
brief comments up to 6,000 characters, without prior registration,
using the eComment system at http://www.ferc.gov/docs-filing/ecomment.asp. You must include your name and contact information at the
end of your comments. For assistance, please contact FERC Online
Support. Although the Commission strongly encourages electronic filing,
documents may also be paper-filed. To paper-file, mail an original and
seven copies to: Kimberly D. Bose, Secretary, Federal Energy Regulatory
Commission, 888 First Street NE., Washington, DC 20426.
    If you have questions, please contact Steve Kartalia at (202) 502-
6131, or via email at<EMAIL_ADDRESS>
    Dated: March 29, 2012.
Kimberly D. Bose,
Secretary.
[FR Doc. 2012-8155 Filed 4-4-12; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 85, Number 152 (Thursday, August 6, 2020)]
[Notices]
[Page 47788]
[FR Doc No: 2020-17183]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. EL18-6-004]

FirstEnergy Service Company; Notice of Filing

    Take notice that on July 30, 2020, FirstEnergy Service Company
submitted a Notice of Change in Circumstances in compliance with the
Federal Energy Regulatory Commission (Commission), in the above
captioned proceeding, on February 2, 2018.\1\
---------------------------------------------------------------------------

    \1\ FirstEnergy Corp., 162 FERC ] 61,087 (2018) (2018 Waiver
Order).
---------------------------------------------------------------------------

    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. On or
before the comment date, it is not necessary to serve motions to
intervene or protests on persons other than the Applicant.
    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.
    In addition to publishing the full text of this document in the
Federal Register, The Commission provides all interested persons an
opportunity to view and/or print the contents of this document via the
internet through the Commission's Home Page (http://www.ferc.gov) using
the ``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. At this time,
the Commission has suspended access to Commission's Public Reference
Room, due to the proclamation declaring a National Emergency concerning
the Novel Coronavirus Disease (COVID-19), issued by the President on
March 13, 2020. For assistance, contact FERC at
<EMAIL_ADDRESS>or call toll-free,<PHONE_NUMBER> or TYY,
(202) 502-8659.
    Comment Date: 5:00 p.m. Eastern Time on August 20, 2020.

    Dated: July 31, 2020.
Kimberly D. Bose,
Secretary.
[FR Doc. 2020-17183 Filed 8-5-20; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 86, Number 78 (Monday, April 26, 2021)]
[Notices]
[Pages 22080-22082]
[FR Doc No: 2021-08566]

=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-91618; File No. SR-NYSE-2021-20]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing of Proposed Rule Change Amending Section 102.04 of the
NYSE Listed Company Manual To Establish Limits on Investments in
Unregistered Investment Vehicles by Listed Closed End Funds

April 20, 2021.
    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 April 9, 2021, New York Stock Exchange LLC (``NYSE'' or
the ``Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as described in Items I,
II, and III below, which Items have been prepared by the self-
regulatory organization. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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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 Section 102.04 of the NYSE Listed
Company Manual (``Manual'') to establish limits on investments in
unregistered investment vehicles by listed closed end funds. 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.

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 will generally authorize the listing of a closed-end
management investment company (a ``Fund'') registered under the
Investment Company Act of 1940 (the ``Investment Company Act'')
pursuant to the provisions of Section 102.04(A) of the Manual. Section
102.04(A) does not include any explicit restrictions on the kinds of
investments a listed Fund may include in its portfolio. The Exchange
proposes to amend Section 102.04(A) to provide for a limited ability of
listed Funds to invest in private fund vehicles that are not themselves
registered under the Investment Company Act, including alternative
asset classes such as hedge funds and private equity funds. The SEC has
amended its own rules with respect to mutual funds to formally
establish permitted levels of investments by mutual funds in illiquid
investment categories. The longstanding guidance from SEC staff has
been that mutual funds should not exceed a 15% limitation on illiquid
investments, including private funds. In 2016, the Commission adopted
Investment Company Act Rule 22e-4(b)(1)(iv) to codify this policy.\4\
In light of this development in the SEC's regulation of mutual funds
and the continuing interest demonstrated by issuers, the Exchange now
proposes to amend Section 102.04(A) to provide for a limited ability of
Funds to invest in private funds.
---------------------------------------------------------------------------

    \4\ 17 CFR 270.22e-4(b)(1)(iv).
---------------------------------------------------------------------------

    The proposed amendment to Section 102.04(A) of the Manual would
include a new definition of ``Private Funds.'' A ``Private Fund'' for
purposes of Section 102.04(A) as amended would mean (1) in the case of
an entity organized under the laws of the United States or any state
therein, a limited partnership, limited liability company, trust,
corporation or similar incorporated or unincorporated entity that would
be an investment company under Section 3(a) of the Investment Company
Act but for the exception provided from that definition by either
Sections 3(c)(1) or 3(c)(7) of the Investment Company Act and (2) in
the case of an entity not organized under the laws of the United States
or any state, an entity that is only permitted to offer its securities
in the United States in a private offering that complies with Section
7(d) and either 3(c)(1) or 3(c)(7) of the Investment Company Act and
the interpretations of the SEC thereunder.
    The Exchange proposes to exclude from the definition of Private
Funds any funds that are issuers of collateralized debt obligations
(``CDOs'') or collateralized loan obligations (``CLOs''). The issuers
of CDOs and CLOs are private investment vehicles not registered under
the Investment Company Act, and differ from hedge funds and private
equity funds in material respects. Most importantly, there is an active
secondary trading market for CDOs and CLOs and there are services that
report trading prices for those markets. As a result, there is a
significant degree of transparency in the valuation of CDOs and CLOs,
as the market typically values them based on general market prices for
debt issuances with the same credit rating and seniority as the
tranches included in the specific CDO or CLO. Considering the greater
liquidity and transparency of CDOs and CLOs, the Exchange proposes to
exclude investments in those asset classes from its definition of
Private Funds and, thus, does not propose to apply to CDOs and CLOs the
proposed limits on listed Funds' investments in Private Funds.
    Accordingly, the Exchange proposes that a ``Private Fund'' not
include any entity that meets the following requirements:
    (i) The entity is engaged in the business of purchasing, or
otherwise acquiring, and holding Eligible Assets (as defined below)
(and in activities related or incidental thereto);
    (ii) all securities issued by the entity are either (A) initially
sold to qualified institutional buyers as defined in Rule 144A under
the Securities Act or to persons involved in the organization or
operation of the issuer or an affiliate, as defined in Rule 405 under
the Securities Act, of such a person or (B) fixed-income securities or
other securities which entitle their holders to receive payments that
depend primarily on the cash flow from Eligible Assets;
    (iii) the entity appoints a trustee that meets the requirements of
Section 26(a)(1) of the Investment Company Act and that is not
affiliated, as defined in Rule 405 under the Securities Act, with such
entity or with any person involved in the organization or operation of
such entity, which does not offer or provide credit or credit
enhancement to such entity and that executes an agreement or instrument
concerning such entity's

securities containing provisions to the effect set forth in Section
26(a)(3) of the Investment Company Act;
    (iv) the entity takes reasonable steps to cause the trustee to have
a perfected security interest or ownership interest valid against third
parties in those Eligible Assets that principally generate the cash
flow needed to pay the fixed-income security holders, provided that
such assets otherwise required to be held by the trustee may be
released to the extent needed at the time for the operation of the
issuer; and
    (v) the entity takes actions necessary for the cash flows derived
from Eligible Assets for the benefit of the holders of fixed-income
securities to be deposited periodically in a segregated account that is
maintained or controlled by the trustee consistent with the rating (if
any) of the outstanding fixed-income securities.
    ``Eligible Assets'' means financial assets, either fixed or
revolving, that by their terms convert into cash within a finite time
period plus any rights or other assets designed to assure the servicing
or timely distribution of proceeds to security holders.
Proposed Limitations on Investments in Private Funds
    Under the proposed amended form of Section 102.04(A), the Exchange
would not authorize the initial listing of any Fund where, at the time
of original listing
    (A) Private Funds on an aggregated basis represent more than 15% of
the Fund's net assets
    (B) any single Private Fund represents more than 5% of the Fund's
net assets; or
    (C) the Fund invests or intends to invest in Private Funds and has
not adopted and does not maintain fundamental policies (as such term is
used in the Investment Company Act of 1940) providing that:
    (i) Such Fund may not at any time make an additional investment in
a Private Fund if, immediately after giving effect to such investment,
Private Funds would represent more than 15% of such Fund's net assets
or such individual Private Fund would represent more than 5% of such
Fund's net assets; and
    (ii) if at any time such Fund (a) holds more than 15% of its net
assets in Private Funds or (b) violates its fundamental policy
prohibiting any additional investment in a Private Fund such that,
immediately after giving effect to such investment, such individual
Private Fund would represent more than 5% of such Fund's net assets:
     The Fund must immediately inform the Exchange of such
occurrence and publicly disclose such occurrence in a manner consistent
with the Exchange's immediate release policy as set forth in Sections
202.05 and 202.06 of the Manual;
     management must report such an occurrence to the Fund's
board of directors within one business day of the occurrence, with an
explanation of the extent and causes of the occurrence, and how the
Fund plans, as the case may be, to (i) reduce its investments in
Private Funds to no more than 15% of its net assets within a reasonable
period of time, or (ii) reduce its investment in the individual Private
Fund with respect to which it has exceeded the ownership interest
permitted by the applicable fundamental policy to a level no greater
than its ownership interest immediately prior to the transaction giving
rise to such condition, in each case within a reasonable period of
time; and
     if the amount, as the case may be, of (i) the Fund's
investments in Private Funds is still above 15% of its net assets, or
(ii) the Fund's investment in the individual Private Fund with respect
to which it has exceeded the investment limit of its fundamental policy
is still above its ownership interest immediately prior to the
transaction giving rise to such condition, in each case 30 days from
the occurrence (and at each consecutive 30 day period thereafter), the
Fund's board of directors, including a majority of directors who are
not interested persons (as such term is defined in Section 2(a)(19) of
the Investment Company Act of 1940) of the Fund, must assess whether
the plan presented to it pursuant to the requirements set forth above
continues to be in the best interest of the Fund.
    Any listed Fund in good standing may commence investing in Private
Funds, but may do so only if it first adopts the required fundamental
policies described above. The Fund must consult with the Exchange
before taking this action. Any such Fund will also be subject to the
ongoing requirements with respect to investments in Private Funds set
forth above.
    Today Exchange rules do not restrict the investment by listed Funds
in Private Funds. The proposed amendment to Section 102.04(A) would
amend the Exchange's listing rules to restrict the investment by Funds
in Private Funds, such as hedge funds and private equity funds, which
are illiquid and consequently difficult to value. The Exchange notes
that the SEC has addressed identical concerns about the inclusion of
illiquid asset classes in mutual fund portfolios by adopting a rule
imposing a 15% limitation on the acquisition of such assets by mutual
funds. By adopting an identical restriction for listed Funds, the
Exchange believes that it is similarly appropriately addressing these
concerns for listed Funds. Furthermore, the Exchange notes that its own
proposal goes further than the restriction the SEC has imposed upon
mutual funds by also requiring a diversification in any listed Fund's
holdings of Private Funds. The Exchange believes that the proposed 5%
limitation on any individual Private Fund investment would limit the
materiality of any individual Private Fund investment with respect to
the Fund portfolio as a whole and that this provision provides a
significant additional protection for investors in listed Funds over
and above the protection provided to mutual fund investors by the
comparable rule under the Investment Company Act.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\5\ in general, and furthers the
objectives of Section 6(b)(5) of the Act,\6\ in particular, because it
is designed to prevent fraudulent and manipulative acts and practices,
promote just and equitable principles of trade, remove impediments to
and perfect the mechanism of a free and open market and a national
market system, and protect investors and the public interest. The
Exchange believes that the proposal protects investors and the public
interest because it strictly limits both the aggregate investment by
listed Funds in Private Funds and the percentage any individual Private
Fund investment may represent in a listed Fund's portfolio. The
Exchange believes that these restrictions appropriately address
concerns about the illiquidity of Private Fund investments by limiting
the materiality of Private Fund investments to a listed Fund's
portfolio both in the aggregate and for any individual Private Fund
investment. The Exchange notes that the 15% aggregate investment limit
in the proposal is the same as the limit applied by the SEC to mutual
funds under Investment Company Act rules, while the 5% limit on
individual investments in the proposal is an augmentation of the SEC's
limitations with respect to mutual funds. The Exchange believes that it
is consistent with the protection of investors and the public interest
to exempt CDOs and CLOs from these

restrictions, as there is a more active trading market for CDOs and
CLOs than for Private Funds and there is more consistency and
transparency in valuing them.
---------------------------------------------------------------------------

    \5\ 15 U.S.C. 78f(b).
    \6\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change would
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The purpose of the proposal
is to enhance competition by providing a listing market for Funds that
wish to have the ability to invest in Private Funds, while
appropriately restricting Funds in pursuing that strategy to protect
investors. The proposed amendment would not impose any burden on
competition between newly-listed Funds and those that are already
listed, as currently-listed Funds that are in good standing would be
eligible to invest in Private Funds on the same terms as newly-listed
Funds. Other listing venues can adopt similar rules if they so desire.
As such, the Exchange does not believe that the proposal imposes any
burden on competition.

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

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

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

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSE-2021-20 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-NYSE-2021-20. 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 (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 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-NYSE-2021-20 and should be submitted on
or before May 17, 2021.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\7\
---------------------------------------------------------------------------

    \7\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-08566 Filed 4-23-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 37 (Thursday, February 24, 2011)]
[Notices]
[Pages 10360-10361]
[FR Doc No: 2011-4141]

=======================================================================
-----------------------------------------------------------------------

ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPPT-2003-0004; FRL-8864-8]

Access to Confidential Business Information by Guident
Technologies Inc. and Its Identified Subcontractors

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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

SUMMARY: EPA has authorized its contractor, Guident Technologies, Inc.
of Herndon, VA and Its Identified Subcontractors, to access information
which has been submitted to EPA under

all sections of the Toxic Substances Control Act (TSCA). Some of the
information may be claimed or determined to be Confidential Business
Information (CBI).

DATES: Access to the confidential data will occur no sooner than March
3, 2011.

FOR FURTHER INFORMATION CONTACT: For technical information contact:
Pamela Moseley, Information Management Division (7407M), Office of
Pollution Prevention and Toxics, Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460-0001; telephone number:
(202) 564-8956; fax number:<PHONE_NUMBER>; e-mail address:
<EMAIL_ADDRESS>    For general information contact: The TSCA-Hotline, ABVI-Goodwill,
422 South Clinton Ave., Rochester, NY 14620; telephone number: (202)
554-1404; e-mail address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this notice apply to me?

    This action is directed to the public in general. This action may,
however, be of interest to all who manufacture, process, or distribute
industrial chemicals. Since other entities may also be interested, the
Agency has not attempted to describe all the specific entities that may
be affected by this action. If you have any questions regarding the
applicability of this action to a particular entity, consult the
technical person listed under FOR FURTHER INFORMATION CONTACT.

B. How can I get copies of this document and other related information?

    EPA has established a docket for this action under docket
identification (ID) number EPA-HQ-OPPT-2003-0004. All documents in the
docket are listed in the docket index available at http://www.regulations.gov. 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 electronically at http://www.regulations.gov, or, if only available in hard copy, at the OPPT
Docket. The OPPT Docket is located in the EPA Docket Center (EPA/DC) at
Rm. 3334, EPA West Bldg., 1301 Constitution Ave., NW., Washington, DC.
The EPA/DC Public Reading Room hours of operation are 8:30 a.m. to 4:30
p.m., Monday through Friday, excluding legal holidays. The telephone
number of the EPA/DC Public Reading Room is<PHONE_NUMBER>, and the
telephone number for the OPPT Docket is<PHONE_NUMBER>. Docket visitors
are required to show photographic identification, pass through a metal
detector, and sign the EPA visitor log. All visitor bags are processed
through an X-ray machine and subject to search. Visitors will be
provided an EPA/DC badge that must be visible at all times in the
building and returned upon departure.

II. What action is the agency taking?

    Under EPA contract number GS-35F-0799M, Order Number EP11D000021,
contractor Guident Technologies, Inc. of 198 Van Buren St., Herndon,
VA; Impact Innovations Systems, Inc. of 9720 Capital Court, Suite 403,
Manassas, VA; and Logistics Management Institute of 2000 Corporate
Ridge, McLean, VA will assist the Office of Pollution Prevention and
Toxics (OPPT) by developing/modifying the scanning capability for MTS
Phase 1. Development will be transferred (Captiva) from the development
environment to the EPA confidential business environment. They will
also provide maintenance support of production-level CBITS application.
In accordance with 40 CFR 2.306(j), EPA has determined that under EPA
contract number GS-35F-0799M, Order Number EP11D000021, Guident and Its
Identified Subcontractors will require access to CBI submitted to EPA
under all sections of TSCA to perform successfully the duties specified
under the contract. Guident and Its Identified Subcontractors'
personnel will be given access to information submitted to EPA under
all sections of TSCA. Some of the information may be claimed or
determined to be CBI.
    EPA is issuing this notice to inform all submitters of information
under all sections of TSCA that EPA may provide Guident and Its
Identified Subcontractors access to these CBI materials on a need-to-
know basis only. All access to TSCA CBI under this contract will take
place at EPA Headquarters in accordance with EPA's TSCA CBI Protection
Manual.
    Access to TSCA data, including CBI, will continue until October 24,
2011. If the contract is extended, this access will also continue for
the duration of the extended contract without further notice.
    Guident and Its Identified Subcontractors' personnel will be
required to sign nondisclosure agreements and will be briefed on
appropriate security procedures before they are permitted access to
TSCA CBI.

List of Subjects

    Environmental protection, Confidential business information.

    Dated: February 17, 2011.
Matthew Leopard,
Director, Information Management Division, Office of Pollution
Prevention and Toxics.
[FR Doc. 2011-4141 Filed 2-23-11; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 78, Number 25 (Wednesday, February 6, 2013)]
[Notices]
[Pages 8657-8659]
[FR Doc No: 2013-02624]

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SECURITIES AND EXCHANGE COMMISSION

Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change Relating to
Amendment to EDGA Rule 13.9

January 31, 2013.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on January 22, 2013 the EDGA Exchange, Inc. (the ``Exchange'' or
``EDGA'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II, which items have been prepared by the self-regulatory organization.
The Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
---------------------------------------------------------------------------

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

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

    The Exchange proposes a rule change to amend Rule 13.9 to allow
Members the option to opt-out their routed orders from inclusion in the
Edge Routed

Liquidity Report\SM\ on a market participant identifier(s)
(``MPID(s)'') basis. All of the changes described herein are applicable
to EDGA Members. The text of the proposed rule change is available on
the Exchange's Internet Web site at www.directedge.com, at the
Exchange's principal office, and at the Public Reference Room of the
Commission.

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 these statements may be examined at
the places specified in Item IV below. The self-regulatory organization
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, Proposed Rule Change

1. Purpose
    In SR-EDGA-2012-38 (the ``Filing''),\3\ the Exchange introduced a
new market data product, Edge Routed Liquidity Report (``Edge Routed
Liquidity Report'' or the ``Service'') to Members \4\ and non-Members
of the Exchange (collectively referred to as ``Subscribers''). The Edge
Routed Liquidity Report is a data feed that contains all historical
order information for orders routed to away destinations by the
Exchange. The Filing stated that Edge Routed Liquidity Report is
offered as either a standard report (the ``Standard Report'') or a
premium report (the ``Premium Report'') (the Standard Report and the
Premium Report shall be collectively referred to as the ``Reports'').
In SR-EDGA-2012-42,\5\ the Exchange amended Rule 13.9 to provide
additional information regarding the features of the Standard Report
and the Premium Report.
---------------------------------------------------------------------------

    \3\ Securities Exchange Act Release No. 67765 (August 31, 2012),
77 FR 55248 (September 7, 2012) (SR-EDGA-2012-38).
    \4\ A Member is any registered broker or dealer that has been
admitted to membership in the Exchange.
    \5\ See Securities Exchange Act Release No. 67909 (September 21,
2012), 77 FR 59441 (September 27, 2012) (SR-EDGA-2012-42).
---------------------------------------------------------------------------

    The Exchange proposes to amend Rule 13.9 to state that Members will
have the ability to request, on a MPID basis, and in a form prescribed
by the Exchange, that their routed orders will not be included in the
Edge Routed Liquidity Report.
    If a Member wishes to opt-out their routed orders from inclusion in
the Service, such Member must submit a request to the Exchange in a
form prescribed by the Exchange. Such request will prevent the display
of the Member's routed orders in the Service effective as of the day
the request was submitted. Members can notify the Exchange via email if
they wish to revoke their election. Such request will be effective as
of the day the request was submitted.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with the objectives of Section 6 of the Act,\6\ in general, and with
Section 6(b)(5) of the Act \7\ in particular, which requires, among
other things, that the Exchange's rules are not designed to unfairly
discriminate between customers, issuers, brokers or dealers and are
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in regulating, clearing,
settling, processing information with respect to, and facilitating
transactions in securities, to remove impediments to and perfect the
mechanism of a free and open market and a national market system, and,
in general, to protect investors and the public interest.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78f.
    \7\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that the proposed amendment is consistent
with those principles as Members' election to be included or excluded
in the Service is completely voluntary at any time. Providing Members
the ability to opt-out their routed orders from inclusion in the
Service makes available an additional choice that previously did not
exist. Members that do not wish to represent their orders in the
Service for any reason will be allowed to opt-out their routed orders
(on an MPID basis) from being included in the Service and any Member
may cancel their subscription to the Service at any time.
    The Exchange also believes that the proposed amendment is
consistent with the principles of Section 6(b)(5) of the Act because
allowing Members the ability to opt-out their routed order data from
inclusion in the Service does not implicate any concerns related to
manipulation or fraud. Because all data in the Service is displayed on
an anonymous basis, Subscribers will be unaware of which Members have
chosen to opt-out their routed order data from the Service.
    Lastly, the proposal is nondiscriminatory because it applies
uniformly to all Members. The Exchange believes that it is important to
make this feature transparent to Subscribers of the Service by
proposing to codify this principle in Rule 13.9.

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. As the Service
is similar to those historical data products already provided by other
exchanges, the Exchange believes the Service increases competition in
the market for historical data products.\8\ In addition, the Exchange
believes that the ability of Members to exclude their routed orders
from the Service will help to maintain the competitiveness of the
Service. This is because the Exchange believes that this additional
feature will attract greater order flow to the Exchange as certain
Members that do not wish their routed order information from being
provisioned within the Service will simply exclude their routed orders
from the Service as opposed to taking that additional order flow to
other competing exchanges. Accordingly, allowing Members the option to
exclude their routed order flow from the Service enables the Exchange
to remain competitive with other exchanges.
---------------------------------------------------------------------------

    \8\ See Securities Exchange Act Release No. 61885 (April 9,
2010), 75 FR 20018 (April 16, 2010) (SR-BATS-2010-002) (adopting
BATS market data products, including BATS Historical Data Products);
see also, NYSE Technologies, Market Data, www.nyxdata.com (providing
information regarding historical data products offered by the NYSE;
see also, NASDAQ Rules 7022 and 7023 (establishing fees for
Historical Research and Administrative Reports and NASDAQ Depth-of-
Book Data); see also, Securities Exchange Act Release No. 61416
(January 25, 2010), 75 FR 5821 (February 4, 2010) (SR-NASDAQ-2010-
010) (relating to NASDAQ rule governing Historical ModelView
product); see also, Securities Exchange Act Release No. 66403
(February 15, 2012), 77 FR 10593 (February 22, 2012) (SR-EDGA-2012-
05) (adopting EdgeBook Cloud service); see also, Securities Exchange
Act Release No. 66402 (February 15, 2012), 77 FR 10595 (February 22,
2012) (SR-EDGX-2012-05) (adopting EdgeBook Cloud service).
---------------------------------------------------------------------------

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

    The Exchange has not solicited, and does not intend to solicit,
comments on this proposed rule change. The Exchange has not received
any

unsolicited written comments from its Members or other interested
parties.

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

    Because the foregoing proposed rule change: (1) Does not
significantly affect the protection of investors or the public
interest; (2) does not impose any significant burden on competition;
and (3) by its terms does not become operative for 30 days after the
date of this filing, or such shorter time as the Commission may
designate if consistent with the protection of investors and the public
interest, the proposed rule change has become effective pursuant to
Section 19(b)(3)(A) \9\ of the Act and Rule 19b-4(f)(6) thereunder.\10\
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    A proposed rule change filed under 19b-4(f)(6) normally may not
become operative prior to 30 days after the date of filing.\11\
However, Rule 19b-4(f)(6)(iii) \12\ permits the Commission to designate
a shorter time if such action is consistent with the protection of
investors and the public interest. The Exchange has requested that the
Commission waive the 30-day operative delay. The Exchange notes that
waiver of the 30-day operative delay will allow Members who wish to
opt-out their routed orders from inclusion in the Service to do so
immediately without further delay. The Exchange notes that, without the
ability to opt-out their routed orders from inclusion in the Service,
Members may elect to redirect their routed order flow to the Exchange's
competitors. Accordingly, the Exchange believes that this additional
feature should not be delayed as it will allow the Exchange to remain
competitive with other market centers. The Commission believes that
waiving the 30-day operative delay is consistent with the protection of
investors and the public interest because such waiver would allow
Members who wish to maintain order flow to the Exchange but who do not
want their routed orders included in the Service to opt-out
immediately. For this reason, the Commission designates the proposed
rule change to be operative upon the operative date of the Filing.\13\
---------------------------------------------------------------------------

    \11\ 17 CFR 240.19b-4(f)(6)(iii). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
    \12\ Id.
    \13\ For the purposes only of waiving the 30-day operative
delay, the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of such 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-EDGA-2013-02 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.

All submissions should refer to File Number SR-EDGA-2013-02. 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 office of EDGA. 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-EDGA-2013-02 and should be
submitted on or before February 27, 2013.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\14\
---------------------------------------------------------------------------

    \14\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-02624 Filed 2-5-13; 8:45 am]
BILLING CODE 8011-01-P