[Federal Register: April 30, 2010 (Volume 75, Number 83)]
[Rules and Regulations]
[Page 22693-22695]
[DOCID:fr30ap10-2]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2010-0411; Directorate Identifier 2010-NE-19-AD;
Amendment 39-16278; AD 2010-09-13]
RIN 2120-AA64

Airworthiness Directives; Turbomeca Makila 2A Turboshaft Engines

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule; request for comments.

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SUMMARY: We are adopting a new airworthiness directive (AD) for the
products listed above. This AD results from mandatory continuing
airworthiness information (MCAI) issued by an aviation authority of
another country to identify and correct an unsafe condition on an
aviation product. The MCAI describes the unsafe condition as:

    Some digital engine control units (DECUs) used to control MAKILA
2A and MAKILA 2A1 engines have an ambient pressure (P0) sensor with
a measurement accuracy that may be outside the range required for
satisfactory functioning of the engines throughout the entire
operating envelope. In certain extreme flight conditions, the lack
of P0 measurement accuracy could potentially cause an engine
flameout if the engine is operating on a replacement fuel.
    The issue is limited to a batch of 24 DECUs, of which 23 are
known to be still in service. Since 01 January 2010, any such DECU
returned to an approved repair centre has had its P0 sensor checked
and replaced as necessary.

    We are issuing this AD to prevent an uncommanded engine in-flight
shutdown which could result in a forced autorotation landing or
accident.

DATES: This AD becomes effective May 17, 2010.
    We must receive comments on this AD by June 1, 2010.

ADDRESSES: You may send comments by any of the following methods:
     Federal eRulemaking Portal: Go to http://
www.regulations.gov and follow the instructions for sending your
comments electronically.
     Mail: U.S. Department of Transportation, 1200 New Jersey
Avenue, SE., West Building Ground Floor, Room W12-140, Washington, DC
20590-0001.
     Hand Delivery: Deliver to Mail address above between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
     Fax:<PHONE_NUMBER>.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://
www.regulations.gov; or in person at the Docket Operations office
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this AD, the regulatory evaluation,
any comments received, and other information. The street address for
the Docket Operations office (telephone<PHONE_NUMBER>) is the same as
the Mail address provided in the ADDRESSES section. Comments will be
available in the AD docket shortly after receipt.

FOR FURTHER INFORMATION CONTACT: Kevin Dickert, Aerospace Engineer,
Engine Certification Office, FAA, Engine & Propeller Directorate, 12
New England Executive Park, Burlington, MA 01803; e-mail:
<EMAIL_ADDRESS>telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Discussion

    The European Aviation Safety Agency (EASA), which is the Technical
Agent for the Member States of the European Community, has issued AD
2010-0068-E (corrected), dated April 13, 2010 (referred to after this
as ``the MCAI''), to correct an unsafe condition for the specified
products. The MCAI states:

    Some DECUs used to control MAKILA 2A and MAKILA 2A1 engines have
an ambient pressure (P0) sensor with a measurement accuracy that may
be outside the range

required for satisfactory functioning of the engines throughout the
entire operating envelope. In certain extreme flight conditions, the
lack of P0 measurement accuracy could potentially cause an engine
flameout if the engine is operating on a replacement fuel.
    The issue is limited to a batch of 24 DECUs, of which 23 are
known to be still in service. Since 01 January 2010, any such DECU
returned to an approved repair centre has had its P0 sensor checked
and replaced as necessary.

    You may obtain further information by examining the MCAI in the AD
docket.

FAA's Determination and Requirements of This AD

    This product has been approved by the aviation authority of France
and is approved for operation in the United States. Pursuant to our
bilateral agreement with France, they have notified us of the unsafe
condition described in the MCAI and service information referenced
above. We are issuing this AD because we evaluated all information
provided by EASA, and determined the unsafe condition exists and is
likely to exist or develop on other products of the same type design.
This AD requires replacement of certain S/N DECUs within 75 flight
hours after the effective date of this AD.

Differences Between the AD and the MCAI or Service Information

    We have required different actions in this AD from those in the
MCAI and service information in order to follow FAA policies. These
differences are described in a separate paragraph of the AD. These
requirements take precedence over the actions in the MCAI.

FAA's Determination of the Effective Date

    Since no domestic operators use this product, notice and
opportunity for public comment before issuing this AD are unnecessary.
Therefore, we are adopting this regulation immediately.

Comments Invited

    This AD is a final rule that involves requirements affecting flight
safety, and we did not precede it by notice and opportunity for public
comment. We invite you to send any written relevant data, views, or
arguments about this AD. Send your comments to an address listed under
the ADDRESSES section. Include ``Docket No. FAA-2010-0411; Directorate
Identifier 2010-NE-19-AD'' at the beginning of your comments. We
specifically invite comments on the overall regulatory, economic,
environmental, and energy aspects of this AD. We will consider all
comments received by the closing date and may amend this AD because of
those comments.
    We will post all comments we receive, without change, to http://
www.regulations.gov, including any personal information you provide. We
will also post a report summarizing each substantive verbal contact
with FAA personnel concerning this AD. Using the search function of the
Web site, anyone can find and read the comments in any of our dockets,
including, if provided, the name of the individual who sent the comment
(or signed the comment on behalf of an association, business, labor
union, etc.). You may review the DOT's complete Privacy Act Statement
in the Federal Register published on April 11, 2000 (65 FR 19477-78).

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. ``Subtitle VII: Aviation
Programs,'' describes in more detail the scope of the Agency's
authority.
    We are issuing this rulemaking under the authority described in
``Subtitle VII, Part A, Subpart III, Section 44701: General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.

Regulatory Findings

    We determined that this AD will not have federalism implications
under Executive Order 13132. This AD will not have 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.
    For the reasons discussed above, I certify this AD:
    1. Is not a ``significant regulatory action'' under Executive Order
12866;
    2. Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979); and
    3. Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.
    We prepared a regulatory evaluation of the estimated costs to
comply with this AD and placed it in the AD docket.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Safety.

Adoption of the Amendment

0
Accordingly, under the authority delegated to me by the Administrator,
the FAA amends 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13  [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new AD:

2010-09-13 Turbomeca: Amendment 39-16278.; Docket No. FAA-2010-0411;
Directorate Identifier 2010-NE-19-AD.

Effective Date

    (a) This airworthiness directive (AD) becomes effective May 17,
2010.

Affected ADs

    (b) None.

Applicability

    (c) This AD applies to Turbomeca Makila 2A turboshaft engines
with any of the following serial number (S/N) digital engine control
units (DECUs) installed, if the DECU has not been returned to an
approved repair center since January 1, 2010.

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

------------------------------------------------------------------------
      S/N 93            S/N 165            S/N 193           S/N 234
     S/N 115            S/N 167            S/N 201           S/N 242
     S/N 138            S/N 171            S/N 215           S/N 296
     S/N 149            S/N 174            S/N 216           S/N 303
     S/N 151            S/N 176            S/N 218           S/N 308
     S/N 156            S/N 189            S/N 231                --
------------------------------------------------------------------------

    These engines are installed on, but not limited to, Eurocopter
France EC 225LP helicopters.

Reason

    (d) Some DECUs used to control MAKILA 2A and MAKILA 2A1 engines
have an ambient pressure (P0) sensor with a measurement accuracy
that may be outside the range required for satisfactory functioning
of the engines throughout the entire operating envelope. In certain
extreme flight conditions, the lack of P0 measurement accuracy could
potentially cause an engine flameout if the engine is operating on a
replacement fuel.
    The issue is limited to a batch of 24 DECUs, of which 23 are
known to be still in service. Since 01 January 2010, any such DECU
returned to an approved repair centre has had its P0 sensor checked
and replaced as necessary.

Actions and Compliance

    (e) Unless already done, within 75 flight hours after the
effective date of this AD, replace the S/N DECUs listed in
applicability paragraph (c) of this AD:
    (1) With a DECU having a S/N not listed in paragraph (c); or
    (2) With a DECU having a S/N listed in paragraph (c), that has
been returned to an approved repair center since January 1, 2010.

FAA AD Differences

    (f) This AD differs from the Mandatory Continuing Airworthiness
Information (MCAI) and/or service information as follows:
    (1) EASA AD 2010-0068-E (corrected), dated April 13, 2010,
requires, for helicopters having two affected DECUs, that one of the
DECUs be replaced before the next flight, and the other DECU be
replaced within 75 flight hours after the effective date of the AD.
    (2) This AD requires all affected DECUs be replaced within 75
flight hours after the effective date of this AD.
    (3) Although EASA AD 2010-0068-E (corrected), dated April 13,
2010, also applies to the Makila 2A1 engine, this AD does not apply
to that model because it has no U.S. type certificate.

Alternative Methods of Compliance (AMOCS)

    (g) The Manager, Engine Certification Office, FAA, has the
authority to approve AMOCs for this AD, if requested using the
procedures found in 14 CFR 39.19.

Related Information

    (h) Refer to MCAI EASA Airworthiness Directive 2010-0068-E
(corrected), dated April 13, 2010, and Turbomeca Alert Mandatory
Service Bulletin No. A298 73 2815, Version A, dated March 18, 2010,
for related information. Contact Turbomeca, 40220 Tarnos, France;
telephone 33 05 59 74 40 00, fax 33 05 59 74 45 15, for a copy of
this service information.
    (i) Contact Kevin Dickert, Aerospace Engineer, Engine
Certification Office, FAA, Engine & Propeller Directorate, 12 New
England Executive Park, Burlington, MA 01803; e-mail:
<EMAIL_ADDRESS>telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>,
for more information about this AD.

Material Incorporated by Reference

    (j) None.

    Issued in Burlington, Massachusetts, on April 23, 2010.
Peter A. White,
Assistant Manager, Engine and Propeller Directorate, Aircraft
Certification Service.
[FR Doc. 2010-9963 Filed 4-29-10; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 84, Number 231 (Monday, December 2, 2019)]
[Notices]
[Page 65993]
[FR Doc No: 2019-25949]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-4413-DR; Docket ID FEMA-2019-0001]

Alaska; Amendment No. 1 to Notice of a Major Disaster Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of a major disaster declaration
for State of Alaska (FEMA-4413-DR), dated January 31, 2019, and related
determinations.

DATES: This change occurred on November 6, 2019.

FOR FURTHER INFORMATION CONTACT: Dean Webster, Office of Response and
Recovery, Federal Emergency Management Agency, 500 C Street SW,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The Federal Emergency Management Agency
(FEMA) hereby gives notice that pursuant to the authority vested in the
Administrator, under Executive Order 12148, as amended, Robert Forgit,
of FEMA is appointed to act as the Federal Coordinating Officer for
this disaster.
    This action terminates the appointment of Timothy B. Manner as
Federal Coordinating Officer for this disaster.

    The following Catalog of Federal Domestic Assistance Numbers
(CFDA) are to be used for reporting and drawing funds: 97.030,
Community Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis
Counseling; 97.033, Disaster Legal Services; 97.034, Disaster
Unemployment Assistance (DUA); 97.046, Fire Management Assistance
Grant; 97.048, Disaster Housing Assistance to Individuals and
Households In Presidentially Declared Disaster Areas; 97.049,
Presidentially Declared Disaster Assistance--Disaster Housing
Operations for Individuals and Households; 97.050, Presidentially
Declared Disaster Assistance to Individuals and Households--Other
Needs; 97.036, Disaster Grants--Public Assistance (Presidentially
Declared Disasters); 97.039, Hazard Mitigation Grant.

Pete Gaynor,
Acting Administrator, Federal Emergency Management Agency.
[FR Doc. 2019-25949 Filed 11-29-19; 8:45 am]
 BILLING CODE 9111-23-P


[Federal Register Volume 78, Number 248 (Thursday, December 26, 2013)]
[Notices]
[Pages 78506-78507]
[FR Doc No: 2013-30789]

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DEPARTMENT OF TRANSPORTATION

Pipeline and Hazardous Materials Safety Administration

[Docket No. PHMSA-2013-0261; Notice No. 13-21]

Research and Development; Public Meeting

AGENCY: Pipeline and Hazardous Materials Safety Administration (PHMSA),
Department of Transportation.

ACTION: Notice of public meeting.

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SUMMARY: This notice is to advise interested persons that PHMSA will
conduct a public meeting for the Research and Development Forum to be
held January 17, 2014, in Washington, DC. During this meeting, PHMSA
will host the session to present the results of recently completed and
current research projects. In addition, PHMSA will solicit comments
relative to potential new research projects which may be considered for
inclusion in its future work.

Information Regarding the Research and Development Public Meeting

DATES: Friday, January 17, 2014; 8:30 a.m.-5:00 p.m.

ADDRESSES: The meeting will be held at the DOT Headquarters, West
Building, Oklahoma Conference Room, and 1200 New Jersey Avenue SE.,
Washington, DC 20590.
    Written Comments: PHMSA invites interested persons to submit any
relevant data or information to the docket of this proceeding (PHMSA-
2013-0261) by any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
     Fax: 1-202-366-3650.
     Mail: Docket Management System; U.S. Department of
Transportation, West Building, Ground Floor, Room W12-140, Routing
Symbol M-30, 1200 New Jersey Avenue SE., Washington, DC 20590.
     Hand Delivery: To the Docket Management System; Room W12-
140 on the ground floor of the West Building, 1200 New Jersey Avenue
SE.,

Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays.
    Instructions: All submissions must include the agency name and
docket number for this notice at the beginning of the comment. To avoid
duplication, please use only one of these four methods. All comments
received will be posted without change to the Federal Docket Management
System (FDMS), including any personal information.
    Docket: For access to the dockets to read background documents or
comments received, go to http://www.regulations.gov or DOT's Docket
Operations Office (see ADDRESSES).
    Privacy Act: Anyone is able to search the electronic form of any
written communications and comments received into any of our dockets by
the name of the individual submitting the document (or signing the
document, if submitted on behalf of an association, business, labor
union, etc.). You may review DOT's complete Privacy Act Statement in
the Federal Register published on April 11, 2000 (65 FR 19477) which
may be viewed at http://www.gpo.gov/fdsys/pkg/FR-2000-04-11/pdf/00-8505.pdf.
    Registration: It is requested that attendees pre-register for this
meeting by emailing TaNika Dyson at<EMAIL_ADDRESS>Failure
to pre-register may delay your access to the building. Participants
attending in person are encouraged to arrive early to allow time for
security checks necessary to obtain access to the building.

FOR FURTHER INFORMATION CONTACT: Lucy DiGhionno or Dr. Kin Wong, Office
of Hazardous Materials Safety, Research and Development, Department of
Transportation, Washington, DC 20590;<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The primary purpose of this meeting is to
present the results of recently completed actions and to seek comments
relative to potential new research projects which may be considered for
inclusion in future work. PHMSA will consider comments received for
proposed list of new projects identified in the draft agenda. The
meeting agenda and event information may be obtained from PHMSA's Web
site at http://phmhqnwas027vg.ad.dot.gov/about/calendar.
    Topics on the agenda for the Research and Development Forum
include:
 Modeling for Toxic Inhalation Hazard Zones
 Acute Exposure Guidelines and Emergency Response Guidebook
Update
 Self-Contained Breathing Apparatus
 Cargo Tank Rollover Special Study
 Study on Improving Nurse Tank Safety
 R&D Initiatives on Packaging Testing
 Paperless Hazard Communications Pilot Program
 Odorization of LP Gas
 Safety Effectiveness of Pressure Relief Devices
 Explosives Testing
 Improving the Safety of Ammonium Nitrate Transport

Magdy El-Sibaie,
Associate Administrator.
[FR Doc. 2013-30789 Filed 12-24-13; 8:45 am]
BILLING CODE 4910-60-P


[Federal Register Volume 85, Number 249 (Tuesday, December 29, 2020)]
[Notices]
[Page 85658]
[FR Doc No: 2020-28739]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-3538-EM; Docket ID FEMA-2020-0001]

Louisiana; Amendment No. 3 to Notice of an Emergency Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of an emergency declaration for
the State of Louisiana (FEMA-3538-EM), dated August 23, 2020, and
related determinations.

DATES: This amendment was issued September 11, 2020.

FOR FURTHER INFORMATION CONTACT: Dean Webster, Office of Response and
Recovery, Federal Emergency Management Agency, 500 C Street SW,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Notice is hereby given that the incident
period for this emergency is closed effective August 27, 2020.

The following Catalog of Federal Domestic Assistance Numbers (CFDA)
are to be used for reporting and drawing funds: 97.030, Community
Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling;
97.033, Disaster Legal Services; 97.034, Disaster Unemployment
Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048,
Disaster Housing Assistance to Individuals and Households In
Presidentially Declared Disaster Areas; 97.049, Presidentially
Declared Disaster Assistance--Disaster Housing Operations for
Individuals and Households; 97.050, Presidentially Declared Disaster
Assistance to Individuals and Households--Other Needs; 97.036,
Disaster Grants--Public Assistance (Presidentially Declared
Disasters); 97.039, Hazard Mitigation Grant.

Pete Gaynor,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2020-28739 Filed 12-28-20; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register: September 14, 2010 (Volume 75, Number 177)]
[Notices]
[Page 55847-55848]
[DOCID:fr14se10-126]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Fourteenth Meeting: EUROCAE WG-72: RTCA Special Committee 216:
Aeronautical Systems Security (Joint Meeting)

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of EUROCAE WG-72: RTCA Special Committee 216:
Aeronautical Systems Security (Joint Meeting).

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SUMMARY: The FAA is issuing this notice to advise the public of a
meeting of EUROCAE WG-72: RTCA Special Committee 216: Aeronautical
Systems Security (Joint Meeting).

DATES: The meeting will be held October 12-14, 2010 starting at 9 a. m.
to 5 p. m.

ADDRESSES: The meeting will be held at Third Floor, Conference Room 6
(CR/6) International Civil Aviation Organization (ICAO), Headquarters,
999 University Street, Montr[eacute]al, Quebec H3C 5H7, Canada,
Internet ICAO home page: http://www.icao.int.

FOR FURTHER INFORMATION CONTACT: RTCA Secretariat, 1828 L Street, NW.,
Suite 805, Washington, DC, 20036; telephone<PHONE_NUMBER>; fax (202)
833-9434; Web site http://www.rtca.org.

SUPPLEMENTARY INFORMATION: Pursuant to section 10(a) (2) of the Federal
Advisory Committee Act (Pub. L. 92-463, 5 U.S.C., Appendix 2), notice
is hereby given for a EUROCAE WG-72: RTCA Special Committee 216:
Aeronautical Systems Security (Joint Meeting) meeting. The meeting is
expected to start at 9 on the first day and to finish by 17:00 each
day.
    A complete list of participants must be supplied in advance to
support

preparation of building entry passes. Please send your intentions to
attend by Monday, October 1, 2010 to<EMAIL_ADDRESS>(alt:
amber.l.kemmerling@boeing.com). Non-pre-registered attendees will not
be admitted.
    The agenda will include:
Day 1:
     Welcome/Introductions/Administrative Remarks.
     Agenda Overview and Approval of the Summary of the 13th
meeting held June 8-11, 2010, (RTCA Paper No. 137-10/SC216-029).
     Report on the PMC/ICC action on TOR:
     Publication Progress and Update.
     Subgroup and Action Item Reports.
     Plenary review of disposition of comments to ED202.
Days 2 & 3:
     Subgroup Meetings/Break-outs.
     Subgroup Reports on Break-outs.
     Establish Dates, Location and Agenda for Next Meeting(s).
     Any Other Business.
    Attendance is open to the interested public but limited to space
availability. With the approval of the chairmen, members of the public
may present oral statements at the meeting. Persons wishing to present
statements or obtain information should contact the person listed in
the FOR FURTHER INFORMATION CONTACT section. Members of the public may
present a written statement to the committee at any time.

    Issued in Washington, DC, on September 8, 2010.
Robert L. Bostiga,
RTCA Advisory Committee.
[FR Doc. 2010-22879 Filed 9-13-10; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 81, Number 172 (Tuesday, September 6, 2016)]
[Notices]
[Pages 61221-61222]
[FR Doc No: 2016-21229]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2013-N-1064]

Agency Information Collection Activities; Proposed Collection;
Comment Request; Application for Participation in the Medical Device
Fellowship Program

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA) is announcing an
opportunity for public comment on the proposed collection of certain
information by the Agency. Under the Paperwork Reduction Act of 1995
(the PRA), Federal Agencies are required to publish notice in the
Federal Register concerning each proposed collection of information,
including each proposed extension of an existing collection of
information, and to allow 60 days for public comment in response to the
notice. This notice solicits comments on the application for
participation in the Medical Device Fellowship Program.

DATES: Submit either electronic or written comments on the collection
of information by November 7, 2016.

ADDRESSES: You may submit comments as follows:

Electronic Submissions

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

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand delivery/Courier (for written/paper
submissions): Division of Dockets Management (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Division of
Dockets Management, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
[FDA-2013-N-1064] for ``Agency Information Collection Activities;
Proposed Collection; Comment Request; Application for Participation in
the Medical Device Fellowship Program.''
    Received comments will be placed in the docket and, except for
those submitted as ``Confidential Submissions,'' publicly viewable at
http://www.regulations.gov or at the

Division of Dockets Management between 9 a.m. and 4 p.m., Monday
through Friday.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on http://www.regulations.gov.
Submit both copies to the Division of Dockets Management. If you do not
wish your name and contact information to be made publicly available,
you can provide this information on the cover sheet and not in the body
of your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: http://www.fda.gov/regulatoryinformation/dockets/default.htm.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to http://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Division of Dockets Management, 5630 Fishers
Lane, Rm. 1061, Rockville, MD 20852.

FOR FURTHER INFORMATION CONTACT: FDA PRA Staff, Office of Operations,
Food and Drug Administration, 8455 Colesville Rd., COLE-14526, Silver
Spring, MD 20993-0002<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501-3520), Federal
Agencies must obtain approval from the Office of Management and Budget
(OMB) for each collection of information they conduct or sponsor.
``Collection of information'' is defined in 44 U.S.C. 3502(3) and 5 CFR
1320.3(c) and includes Agency requests or requirements that members of
the public submit reports, keep records, or provide information to a
third party. Section 3506(c)(2)(A) of the PRA (44 U.S.C. 3506(c)(2)(A))
requires Federal Agencies to provide a 60-day notice in the Federal
Register concerning each proposed collection of information, including
each proposed extension of an existing collection of information,
before submitting the collection to OMB for approval. To comply with
this requirement, FDA is publishing notice of the proposed collection
of information set forth in this document.
    With respect to the following collection of information, FDA
invites comments on these topics: (1) Whether the proposed collection
of information is necessary for the proper performance of FDA's
functions, including whether the information will have practical
utility; (2) the accuracy of FDA's estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used; (3) ways to enhance the quality,
utility, and clarity of the information to be collected; and (4) ways
to minimize the burden of the collection of information on respondents,
including through the use of automated collection techniques, when
appropriate, and other forms of information technology.

Application for Participation in the Medical Device Fellowship
Program--OMB Control Number 0910-0551--Extension

    Sections 1104, 1302, 3301, 3304, 3320, 3361, 3393, and 3394 of
title 5 of the United States Code authorize Federal Agencies to rate
applicants for Federal jobs. Collecting applications for the Medical
Device Fellowship Program will allow FDA's Center for Devices and
Radiological Health (CDRH) to easily and efficiently elicit and review
information from students and health care professionals who are
interested in becoming involved in CDRH activities. The process will
reduce the time and cost of submitting written documentation to the
Agency and lessen the likelihood of applications being misrouted within
the Agency mail system. It will assist the Agency in promoting and
protecting the public health by encouraging outside persons to share
their expertise with CDRH.
    FDA estimates the burden of this collection of information as
follows:

                                                     Table 1--Estimated Annual Reporting Burden \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Number of
                              FDA form                                  Number of      responses per     Total annual   Average  burden    Total hours
                                                                       respondents       respondent       responses       per response
--------------------------------------------------------------------------------------------------------------------------------------------------------
Application Form (FDA 3608)........................................             250                1              250                1              250
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of information.

    Dated: August 30, 2016.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2016-21229 Filed 9-2-16; 8:45 am]
 BILLING CODE 4164-01-P


[Federal Register Volume 82, Number 104 (Thursday, June 1, 2017)]
[Notices]
[Pages 25439-25443]
[FR Doc No: 2017-11370]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-80794; File No. SR-NYSEMKT-2017-30]

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of
Proposed Rule Change To Eliminate Requirements That Will Be Duplicative
of CAT

May 26, 2017.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on May 22, 2017, NYSE MKT LLC (``NYSE MKT'' or the ``Exchange'') filed
with the Securities and Exchange Commission (``SEC'' or ``Commission'')
the proposed rule change as described in Items I, II, and III below,
which Items have been prepared by the Exchange. 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.
---------------------------------------------------------------------------

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

    The Exchange proposes to delete the Order Audit Trail System
(``OATS'') rules in the Rule 7400--Equities Series (Order Audit Trail
System) and amend Rule 8211 of the Office Rules (Automated Submission
of Trading Data Requested by the Exchange) governing submission of
Electronic Blue Sheet trading data (``EBS'') as these Rules provide for
the collection of information that is duplicative of the data
collection requirements of the CAT once the Financial Industry
Regulatory Authority (``FINRA'') publishes a notice announcing the date
that it will retire its OATS and EBS rules. The proposed rule change is
available on the Exchange's Web site 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
Background
    Bats BYX Exchange, Inc., Bats BZX Exchange, Inc., Bats EDGA
Exchange, Inc., Bats EDGX Exchange, Inc., BOX Options Exchange LLC, C2
Options Exchange, Incorporated, Chicago Board Options Exchange,
Incorporated, Chicago Stock Exchange, Inc., FINRA, Investors' Exchange
LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC,
NASDAQ BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC,\3\
NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, the New York Stock
Exchange LLC, the Exchange, NYSE Arca, Inc. and NYSE National, Inc.\4\
(collectively, the ``Participants'') filed with the Commission,
pursuant to Section 11A of the Exchange Act \5\ and Rule 608 of
Regulation NMS thereunder,\6\ the CAT NMS Plan.\7\ The Participants
filed the Plan to comply with Rule 613 of Regulation NMS under the
Exchange Act.\8\ The Plan was published for comment in the Federal
Register on May 17, 2016,\9\ and approved by the Commission, as
modified, on November 15, 2016.\10\ On March 21, 2017, the Commission
approved \11\ the Exchange's new Rule 6800 Series to implement
provisions of the CAT NMS Plan that are applicable to Exchange member
organizations.\12\
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    \3\ ISE Gemini, LLC, ISE Mercury, LLC and International
Securities Exchange, LLC have been renamed Nasdaq GEMX, LLC, Nasdaq
MRX, LLC, and Nasdaq ISE, LLC, respectively. See Securities Exchange
Act Release No. 80248 (March 15, 2017), 82 FR 14547 (March 21, 2017)
(SR-ISEGemini-2017-13); Securities Exchange Act Release No. 80326
(March 29, 2017), 82 FR 16460 (April 4, 2017) (SR-ISEMercury-2017-
05); and Securities Exchange Act Release No. 80325 (March 29, 2017),
82 FR 16445 (April 4, 2017) (SR-ISE-2017-25).
    \4\ National Stock Exchange, Inc. has been renamed NYSE
National, Inc. See Securities Exchange Act Release No. 79902
(January 30, 2017), 82 FR 9258 (February 3, 2017) (SR-NSX-2016-16).
    \5\ 15 U.S.C. 78k-1.
    \6\ 17 CFR 242.608.
    \7\ See Letter from the Participants to Brent J. Fields,
Secretary, Commission, dated September 30, 2014; and Letter from
Participants to Brent J. Fields, Secretary, Commission, dated
February 27, 2015. On December 24, 2015, the Participants submitted
an amendment to the CAT NMS Plan. See Letter from Participants to
Brent J. Fields, Secretary, Commission, dated December 23, 2015.
    \8\ 17 CFR 242.613.
    \9\ Securities Exchange Act Release No. 77724 (April 27, 2016),
81 FR 30614 (May 17, 2016) (File No. 4-698).
    \10\ Securities Exchange Act Release No. 79318 (Nov. 15, 2016),
81 FR 84696 (November 23, 2016) (File No. 4-698) (``Approval
Order'').
    \11\ See Securities Exchange Act Release No. 80256 (March 15,
2017), 82 FR 14526 (March 21, 2017) (SR-NYSEMKT-2017-02) (Order
Approving Proposed Rule Changes to Adopt Consolidated Audit Trail
Compliance Rules).
    \12\ The Rule 6800 Series applies to Exchange member
organizations. The term ``member organization'' means a ``registered
broker or dealer (unless exempt pursuant to the Securities Exchange
Act of 1934) (the ``Act'') that is a member of FINRA or another
registered securities exchange. Member organizations that transact
business with public customers or conduct business on the Floor of
the Exchange shall at all times be members of FINRA. A registered
broker or dealer must also be approved by the Exchange and
authorized to designate an associated natural person to effect
transactions on the floor of the Exchange or any facility thereof.
This term shall include a natural person so registered, approved and
licensed who directly effects transactions on the floor of the
Exchange or any facility thereof.'' See Rule 2(b)(i)--Equities. The
term ``member organization'' also includes any registered broker or
dealer that is a member of FINRA or a registered securities exchange
which does not own a trading license and agrees to be regulated by
the Exchange as a member organization and which the Exchange has
agreed to regulate. See Rule 2(b)(ii)--Equities. See also Rule 0--
Equities (making clear that the proposed rule applies to
transactions conducted on the Equities Trading Systems).
---------------------------------------------------------------------------

    The Plan is designed to create, implement and maintain a CAT that
would capture customer and order event information for orders in NMS
Securities and OTC Equity Securities, across all markets, from the time
of order inception through routing, cancellation, modification, or
execution in a single consolidated data source. Pursuant to Appendix C
of the CAT NMS Plan, each Participant is required to conduct analyses
of which of its existing trade and order data rules and systems require
the collection of information that is duplicative of information
collected for the CAT.\13\ In addition, among other things, Section C.9
of Appendix C to the Plan, as modified by the Commission, requires each
Participant to ``file with the SEC the relevant rule change filing to
eliminate or modify its duplicative rules within six (6) months of the
SEC's approval of the CAT NMS Plan.'' \14\ The Plan notes that ``the
elimination of such rules and the retirement of such systems [will] be
effective at such time as CAT Data meets minimum standards of accuracy
and reliability.'' \15\
---------------------------------------------------------------------------

    \13\ Appendix C of CAT NMS Plan, Approval Order at 85010.
    \14\ Id.
    \15\ Id.
---------------------------------------------------------------------------

    After conducting its analysis of its rules in accordance with the
CAT NMS Plan, the Exchange has determined that the information
collected pursuant to the OATS and EBS rules is intended to be
collected by CAT. Therefore, the Exchange believes that the Rule 7400--
Equities Series will no longer be necessary once FINRA publishes notice
announcing the date it will retire its OATS rules. Similarly, the
Exchange believes that it will be necessary to clarify how the Exchange
will request EBS data under Rule 8211 after members are reporting to
the CAT. Accordingly, the Exchange proposes to amend Rule 8211 to add
new Supplementary Material clarifying how the Exchange will request
data under these rules after member organizations are reporting to the
CAT once FINRA publishes notice announcing the date it will retire its
OATS rules. Discussed below is a description of the duplicative rule
requirements as well as the timeline for eliminating the duplicative
rules.
    If the Commission approves the proposed rule change, the rule text
will be effective; however, the amendments will not be implemented
until FINRA publishes a notice announcing the date that it will retire
its OATS rules, at which time the Exchange will publish a regulatory
notice announcing implementation date of the proposed rule change. As
discussed below, FINRA will publish its notice once the CAT achieves
certain specific accuracy and reliability standards and FINRA has
determined that its usage of the CAT Data has not revealed material
issues that have not been corrected, confirmed that the CAT includes
all data necessary to allow FINRA to continue to meet its surveillance
obligations,\16\ and confirmed that the Plan Processor is sufficiently
meeting all of its obligations under the CAT NMS Plan.
---------------------------------------------------------------------------

    \16\ As noted in the Participants' September 23, 2016 response
to comment letters on the Plan, the Participants ``worked to keep
[the CAT] gap analyses up-to-date by including newly-added data
fields in these duplicative systems, such as the new OATS data
fields related to the tick size pilot and ATS order book changes, in
the gap analyses.'' Letter from Participants to Brent J. Fields,
Secretary, Commission, dated September 23, 2016, at 21. The
Participants noted that they ``will work with the Plan Processor and
the industry to develop detailed Technical Specifications to ensure
that by the time Industry Members are required to report to the CAT,
the CAT will include all data elements necessary to facilitate the
rapid retirement of duplicative systems.'' Id.
---------------------------------------------------------------------------

Duplicative OATS Requirements
    The Exchange's Rule 7400 Series consists of Rules 7410--Equities
through 7470--Equities and sets forth the recording and reporting
requirements of the OATS Rules. The OATS Rules require all Exchange
member organizations and associated persons to record in electronic
form and report to FINRA, on a daily basis, certain information with
respect to orders originated, received, transmitted, modified,
canceled, or executed by

members in all NMS stocks, as that term is defined in Rule 600(b)(47)
of Regulation NMS,\17\ traded on the Exchange, including NYSE-listed
securities. This information is used by FINRA staff to conduct
surveillance and investigations of member firms for violations of FINRA
rules and federal securities laws. The Exchange has determined that the
requirements of the Rule 7400--Equities Series are duplicative of
information available in the CAT and thus will no longer be necessary
once the CAT is operational.
---------------------------------------------------------------------------

    \17\ 17 CFR 242.600(B)(47).
---------------------------------------------------------------------------

    The Participants have provided OATS technical specifications to the
Plan Processor for the CAT for use in developing the Technical
Specifications for the CAT, and the Participants are working with the
Plan Processor to include the necessary OATS data elements in the CAT
Technical Specifications. Accordingly, the Exchange proposes to
eliminate its OATS Rules in accordance with the proposed timeline
discussed below.
Timeline for Elimination of Duplicative Rules
    The CAT NMS Plan states that the elimination of rules that are
duplicative of the requirements of the CAT and the retirement of the
related systems should be effective at such time as CAT Data meets
minimum standards of accuracy and reliability.\18\ As discussed in more
detail in its rule filing, FINRA believes that OATS may be retired at a
date after all Industry Members are reporting to the CAT when the
proposed error rate thresholds have been met, and FINRA has determined
that its usage of the CAT Data has not revealed material issues that
have not been corrected, confirmed that the CAT includes all data
necessary to allow FINRA to continue to meet its surveillance
obligations, and confirmed that the Plan Processor is sufficiently
meeting all of its obligations under the CAT NMS Plan.\19\
---------------------------------------------------------------------------

    \18\ Appendix C of CAT NMS Plan, Approval Order at 85010.
    \19\ See SR-FINRA-2017-013.
---------------------------------------------------------------------------

    The CAT NMS Plan requires that a rule filing to eliminate a
duplicative rule address whether ``the availability of certain data
from Small Industry Members two years after the Effective Date would
facilitate a more expeditious retirement of duplicative systems.'' \20\
FINRA believes that there is no effective way to retire OATS until all
current OATS reporters are reporting to the CAT. As discussed in
FINRA's filing, FINRA believes that having data from those Small
Industry Members currently reporting to OATS available two years after
the Effective Date would substantially facilitate a more expeditious
retirement of OATS and therefore supports an amendment to the Plan that
would require current OATS Reporters that are ``Small Industry
Members'' to report two years after the Effective Date (instead of
three).\21\
---------------------------------------------------------------------------

    \20\ Id. [sic].
    \21\ See SR-FINRA-2017-013. FINRA has represented that it
intends to work with the other Participants to submit a proposed
amendment to the Plan to require Small Industry Members that are
OATS Reporters to report two years after the Effective Date.
---------------------------------------------------------------------------

    The CAT NMS Plan also requires that this rule filing address
``whether individual Industry Members can be exempted from reporting to
duplicative systems once their CAT reporting meets specified accuracy
and reliability standards, including, but not limited to, ways in which
establishing cross-system regulatory functionality or integrating data
from existing systems and the CAT would facilitate such Individual
Industry Member exemptions.'' \22\
---------------------------------------------------------------------------

    \22\ Id. [sic].
---------------------------------------------------------------------------

    FINRA believes that a single cut-over from OATS to CAT is highly
preferable to a firm-by-firm approach and is not proposing to exempt
members from the OATS requirements on a firm-by-firm basis. FINRA
believes that that the overall accuracy and reliability thresholds for
the CAT described above [sic] would need to be met under any conditions
before firms could stop reporting to OATS. Moreover, as discussed above
[sic], FINRA supports amending the Plan to accelerate the reporting
requirements for Small Industry Members that are OATS Reporters to
report on the same timeframe as all other OATS Reporters. If such an
amendment were approved by the Commission, there would be no need to
exempt members from OATS requirements on a firm-by-firm basis.\23\
---------------------------------------------------------------------------

    \23\ Id.
---------------------------------------------------------------------------

    The CAT NMS Plan also requires that a rule filing to eliminate a
duplicative rule to provide ``specific accuracy and reliability
standards that will determine when duplicative systems will be retired,
including, but not limited to, whether the attainment of a certain
Error Rate should determine when a system duplicative of the CAT can be
retired.'' \24\ As discussed in Section A.3.(b) of Appendix C to the
CAT NMS Plan, the Participants established an initial Error Rate, as
defined in the Plan, of 5% on initially submitted data (i.e., data as
submitted by a CAT Reporter before any required corrections are
performed). The Participants noted in the Plan that their expectation
was that ``error rates after reprocessing of error corrections will be
de minimis.'' \25\ The Participants based this Error Rate on their
consideration of ``current and historical OATS Error Rates, the
magnitude of new reporting requirements on the CAT Reporters and the
fact that many CAT Reporters may have never been obligated to report
data to an audit trail.'' \26\
---------------------------------------------------------------------------

    \24\ Id. [sic].
    \25\ See CAT NMS Plan, Appendix C, Section A.3(b), at n.102.
    \26\ Id.
---------------------------------------------------------------------------

    As set forth in its filing, FINRA believes that, when assessing the
accuracy and reliability of the data for the purposes of retiring OATS,
the error thresholds should be measured in more granular ways and
should also include minimum error rates of post-correction data, which
represents the data most likely to be used by FINRA to conduct
surveillance. To ensure the CAT's accuracy and reliability, FINRA is
thus proposing that, before OATS could be retired, the CAT would
generally need to achieve a sustained error rate for Industry Member
reporting in each of the categories below for a period of at least 180
days of 5% or lower, measured on a pre-correction or as-submitted basis
and 2% or lower on a post-correction basis (measured at T+5).\27\ FINRA
is proposing to measure the 5% pre-correction and 2% post-correction
thresholds by averaging the error rate across the period, not require a
5% pre-correction and 2% post-correction maximum each day for 180
consecutive days. FINRA believes that measuring each of the thresholds
over the course of 180 days will ensure that the CAT consistently meets
minimum accuracy and reliability thresholds for Industry Member
reporting while also ensuring that single-day measurements do not
unduly affect the overall measurements.\28\ Consequently, FINRA is
proposing to use error rates in four categories, measured separately
for options and for equities, to assess whether the threshold pre- and
post-correction error rates are being met.\29\
---------------------------------------------------------------------------

    \27\ The Plan requires that the Plan Processor must ensure that
regulators have access to corrected and linked order and Customer
data by 8:00 a.m. Eastern Time on T+5. See CAT NMS Plan, Appendix C,
Section A.2(a).
    \28\ See SR-FINRA-2017-013.
    \29\ The categories are (1) rejection rates and data
validations; (2) intra-firm linkages; (3) order linkage rates; and
(4) Exchange and TRF/ORF match rates.
---------------------------------------------------------------------------

    In addition to these minimum error rates before OATS can be retired
FINRA believes that during the minimum 180-day period during which the
thresholds are calculated, FINRA's use of the data in the CAT must
confirm that (i) usage over that time period has not revealed material
issues that have not been

corrected, (ii) the CAT includes all data necessary to allow the
Exchange to continue to meet its surveillance obligations, and (iii)
the Plan Processor is sufficiently meeting all of its obligations under
the CAT NMS Plan. The Exchange believes this time period to use the CAT
Data is necessary to reveal any errors that may manifest themselves
only after surveillance patterns and other queries have been run and to
confirm that the Plan Processor is meeting its obligations and
performing its functions adequately.\30\
---------------------------------------------------------------------------

    \30\ See SR-FINRA-2017-013.
---------------------------------------------------------------------------

Rule 8211
    In addition to the OATS rules, Rule 8211 will also be affected by
the implementation of the CAT. Rule 8211 is the Exchange's rule
regarding the automated submission of specific trading data to the
Exchange upon request (commonly referred to as ``blue sheet'' data)
using the EBS system.
    Once broker-dealer reporting to the CAT has begun, the CAT will
contain much of the data the Participants would otherwise have
requested via the EBS system for purposes of NMS Securities and OTC
Equity Securities. Consequently, the Exchange will not need to use the
EBS system or request information pursuant to Rule 8211 for NMS
Securities or OTC Equity Securities for time periods after CAT
reporting has begun if the appropriate accuracy and reliability
thresholds are achieved, including an acceptable accuracy rate for
customer and account information. However, Rule 8211 cannot be
completely eliminated upon the CAT achieving the appropriate thresholds
because Exchange staff may still need to request information pursuant
to Rule 8211 for trading activity occurring before a member
organization was reporting to the CAT.\31\ In addition, the Rule 8211
applies to information regarding transactions involving securities that
will not be reportable to the CAT, such as fixed-income securities;
thus, the rule must remain in effect with respect to those transactions
until those transactions are captured in the CAT.
---------------------------------------------------------------------------

    \31\ Firms are required to maintain the trade information for
pre-CAT transactions in equities and options pursuant to applicable
rules, such as books and records retention requirements, for the
relevant time period, which is generally three or six years
depending upon the record. See 17 CFR 240.17a-3(a), 240.17a-4.
---------------------------------------------------------------------------

    The proposed rule change proposes to add new Supplementary Material
to the Rule 8211 to clarify how the Exchange will request data under
these rules after member organizations are reporting to the CAT.
Specifically, the proposed Supplementary Material to the Rule 8211 will
note that the Exchange will request information under Rule 8211 only if
the information is not available in the CAT because, for example, the
transactions in question occurred before the firm was reporting
information to the CAT or involved securities that are not reportable
to the CAT. In essence, under the new Supplementary Material, the
Exchange will make requests under these rules if and only if the
information is not otherwise available through the CAT.
    However, as noted above, FINRA believes that the CAT must meet
certain minimum accuracy and reliability standards before FINRA could
rely on the CAT Data to replace existing regulatory tools, including
EBS. Consequently, the proposed Supplementary Material will be
implemented only after FINRA publishes its notice after the CAT
achieves the thresholds set forth above with respect to OATS and an
accuracy rate for customer and account information of 95% for pre-
corrected data and 98% for post-correction data. In addition, as
discussed above, FINRA can rely on CAT Data to replace EBS requests
only after FINRA has determined that its usage of the CAT Data over a
180-day period has not revealed material issues that have not been
corrected, confirmed that the CAT includes all data necessary to allow
FINRA to continue to meet its surveillance obligations, and confirmed
that the CAT Plan Processor is fulfilling its obligations under the CAT
NMS Plan.
    As noted, if the Commission approves the proposed rule change, the
Exchange will announce the implementation date of the proposed rule
change in a regulatory notice that will be published once FINRA
publishes a notice announcing the date that it will retire its EBS
rules, which FINRA will do once it concludes the thresholds for
accuracy and reliability described above have been met and that the
Plan Processor is sufficiently meeting all of its obligations under the
CAT NMS Plan.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\32\ in general, and furthers the
objectives of Section 6(b)(5) of the Act,\33\ in particular, because it
is designed to prevent fraudulent and manipulative acts and practices,
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 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.
---------------------------------------------------------------------------

    \32\ 15 U.S.C. 78f(b).
    \33\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    In particular, the Exchange believes that the proposed rule change
implements, supports, interprets or clarifies the provisions of the
Plan, and is designed to assist the Exchange and its Members in meeting
regulatory obligations pursuant to, and milestones established by, the
Plan. In approving the Plan, the SEC noted that it ``is necessary and
appropriate in the public interest, for the protection of investors and
the maintenance of fair and orderly markets, to remove impediments to,
and perfect the mechanism of a national market system, or is otherwise
in furtherance of the purposes of the Act.'' \34\ To the extent that
this proposal implements, interprets or clarifies the Plan and applies
specific requirements to Members, the Exchange believes that this
proposal furthers the objectives of the Plan, as identified by the SEC,
and is therefore consistent with the Act.
---------------------------------------------------------------------------

    \34\ Approval Order, 81 FR at 84697.
---------------------------------------------------------------------------

    The Exchange also believes that adding a preamble to each current
Rule impacted by the Plan would remove impediments to and perfect the
mechanism of a free and open market and a national market system by
adding clarity and transparency to the Exchange's rules, reducing
potential confusion, and making the Exchange's rules easier to navigate
and understand.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The proposed change is not
designed to address any competitive issue but rather implement
provisions of the CAT NMS Plan, and is designed to assist the Exchange
in meeting its regulatory obligations pursuant to the Plan.

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-NYSEMKT-2017-30 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEMKT-2017-30. 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 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-NYSEMKT-2017-30, and should
be submitted on or before June 22, 2017.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\35\
---------------------------------------------------------------------------

    \35\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-11370 Filed 5-31-17; 8:45 am]
 BILLING CODE 8011-01-P