[Federal Register Volume 87, Number 76 (Wednesday, April 20, 2022)]
[Notices]
[Pages 23517-23518]
[FR Doc No: 2022-08364]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

    Take notice that the Commission received the following Complaints
and Compliance filings in EL Dockets:

    Docket Numbers: EL21-38-000.
    Applicants: City Water, Light & Power-City of Springfield, IL.
    Description: Supplement to December 31, 2020 Proposed Revenue
Requirement for Reactive Supply Service under Midcontinent Independent
Transmission System Operator, Inc. Tariff Schedule 2 of City Water,
Light and Power of the City of Springfield, Illinois.
    Filed Date: 4/8/22.
    Accession Number: 20220408-5292.
    Comment Date: 5 p.m. ET 4/29/22.

    Take notice that the Commission received the following electric
rate filings:

    Docket Numbers: ER21-1002-001.
    Applicants: Tri-State Generation and Transmission Association, Inc.
    Description: Compliance filing: Compliance Filing Western Energy
Imbalance Market to be effective 4/1/2021.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5113.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1618-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Tariff Amendment: Notice of Cancellation of CSA, SA
No. 5211; Queue No. AB2-134 to be effective 3/14/2022.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5041.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1619-000.
    Applicants: Lanyard Power Holdings, LLC.
    Description: Sec.  205(d) Rate Filing: Proposed Revisions to
Reactive Rate Schedule_Requests for Limited Tariff Waiver to be
effective 6/1/2022.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5057.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1620-000.
    Applicants: Morgantown Station, LLC.
    Description: Sec.  205(d) Rate Filing: Proposed Revisions to
Reactive Rate Schedule_Request for Limited Tariff Waiver to be
effective 12/31/9998.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5058.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1621-000.
    Applicants: Tri-State Generation and Transmission Association, Inc.
    Description: Tariff Amendment: Notice of Cancellation of Service
Agreement No. 888 to be effective 3/14/2022.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5066.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1622-000.
    Applicants: Tri-State Generation and Transmission Association, Inc.
    Description: Tariff Amendment: Notice of Cancellation of Rate
Schedule FERC No. 279 to be effective 6/13/2022.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5070.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1623-000.
    Applicants: Hallador Power Company, LLC.
    Description: Baseline eTariff Filing: Baseline new reactive tariff
to be effective 12/31/9998.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5074.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1624-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Compliance filing: 2022-04-13_Schedule 29 and 29A
Waiver to be effective N/A.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5075.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1625-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: 2022-04-13_SA 1495 NSP-
Walleye Wind 2nd Rev GIA (G253 J569) to be effective 4/7/2022.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5111.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1626-000.
    Applicants: Southern California Edison Company.
    Description: Sec.  205(d) Rate Filing: E&P LA Desert Sunlight PV
TOT198-TOT199 (SA282) to be effective 4/14/2022.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5119.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1627-000.
    Applicants: AM Wind Repower LLC.
    Description: Baseline eTariff Filing: Market-Based Rate Application
to be effective 6/13/2022.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5120.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1628-000.
    Applicants: PacifiCorp.
    Description: Sec.  205(d) Rate Filing: Lucky Star Construction
Agreement to be effective 4/14/2022.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5136.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1629-000.
    Applicants: R-WS Antelope Valley Gen-Tie, LLC.
    Description: Sec.  205(d) Rate Filing: Assignment and Assumptions
of Co-Tenancy Interest in Shared Facilities to be effective 4/14/2022.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5137.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1630-000.
    Applicants: Rabbitbrush Solar, LLC.
    Description: Sec.  205(d) Rate Filing: Certificates of Concurrence
for Shared Facilities Common Ownership Agreements to be effective 4/14/
2022.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5147.
    Comment Date: 5 p.m. ET 5/4/22.

    Docket Numbers: ER22-1631-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Original ISA, Service
Agreement No. 6393; AE2-217 to be effective 3/14/2022.
    Filed Date: 4/13/22.
    Accession Number: 20220413-5171.
    Comment Date: 5 p.m. ET 5/4/22.

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

    Dated: April 13, 2022.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2022-08364 Filed 4-19-22; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 79, Number 103 (Thursday, May 29, 2014)]
[Proposed Rules]
[Pages 30787-30788]
[FR Doc No: 2014-12467]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 141

[FRL9911-60-OW]

Notice of Public Meeting and Webinar: Revisions to the
Unregulated Contaminant Monitoring Rule (UCMR 4) for Public Water
Systems

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of public meeting.

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SUMMARY: The U.S. Environmental Protection Agency (EPA) Office of
Ground Water and Drinking Water, Standards and Risk Management
Division's Technical Support Center (TSC) announces a public meeting
and webinar to discuss the approach to the fourth Unregulated
Contaminant Monitoring Rule (UCMR 4) for public drinking water systems.
EPA will present information concerning the status of the agency's
efforts in the areas of analyte selection, analytical methods, sampling
design, determination of minimum reporting levels and other possible
revisions relative to the current rule.

DATES: The public meeting and webinar will be held on Wednesday, June
25, 2014, from 9:00 a.m. to 4:30 p.m., Eastern Time. Persons wishing to
attend the meeting in-person or on-line via the webinar must register
by June 18, 2014, as described in the SUPPLEMENTARY INFORMATION
section.

ADDRESSES: The public meeting will be held at The Cadmus Group, Inc.,
third floor conference room located at 1555 Wilson Blvd. Suite 300,
Arlington, VA 22209. All attendees must show government-issued photo
identification (e.g., a driver's license) when signing in. This meeting
will also be simultaneously broadcast as a webinar, available through
the Internet.

FOR FURTHER INFORMATION CONTACT: Members of the public who wish to
receive further information about the meeting and webinar or have
questions about this notice should contact Brenda Parris or Melissa
Simic, Technical Support Center, Standards and Risk Management
Division, Office of Ground Water and Drinking Water (MS 140),
Environmental Protection Agency, 26 West Martin Luther King Drive,
Cincinnati, OH 45268; telephone number:<PHONE_NUMBER> or (513) 569-
7864; email address<EMAIL_ADDRESS>or<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. How may I participate in this meeting?

    Persons wishing to attend the meeting in-person or online via the
webinar must register in advance no later than 5:00 p.m., Eastern Time
on June 18, 2014, by sending an email to<EMAIL_ADDRESS>
The agenda for the public meeting and webinar will include time for
public involvement. To ensure adequate time for public involvement,
individuals or organizations interested in making a statement should
mention their interest when they register. All presentation materials
should be emailed to<EMAIL_ADDRESS>by June 18, 2014, so
that the information can be incorporated into the webinar. We ask that
only one person present the statement on behalf of a group or
organization, and that the statement be limited to ten minutes. Any
additional comments or written statements from attendees will be taken
if time permits or can be sent to UCMRWebinar@

cadmusgroup.com after the public meeting and webinar. The number of
seats and webinar connections available for the meeting is limited and
will be available on a first-come, first-served basis.

B. How can I get a copy of the meeting and webinar materials?

    The meeting materials will be sent by email to the registered
attendees prior to the public meeting and webinar; copies will also be
provided for attendees at the meeting. Information about registration
and participation in the meeting and webinar can be found on the EPA's
Unregulated Contaminant Monitoring Program Meetings and Materials Web
page: http://water.epa.gov/lawsregs/rulesregs/sdwa/ucmr/calendar.cfm.
    Special Accommodations: Individuals with disabilities who wish to
attend the meeting in person can request special accommodations by
contacting<EMAIL_ADDRESS>no later than June 18, 2014.

II. Background

    The Safe Drinking Water Act (SDWA) requires the EPA to promulgate
rules establishing criteria for a monitoring program for unregulated
contaminants in drinking water. Monitoring varies based on system size,
source water, and contaminants likely to be found. SDWA also specifies
that for systems serving 10,000 persons or fewer, only a representative
sample of systems must monitor. Per SDWA, EPA is required to issue,
every five years, a list of not more than 30 unregulated contaminants
to be monitored by public water systems. The third and most recent rule
(UCMR 3) was published on May 2, 2012. The fourth (UCMR 4) is scheduled
to be published by December 2016.

    Dated: May 20, 2014.
Peter Grevatt,
Director, Office of Ground Water and Drinking Water.
[FR Doc. 2014-12467 Filed 5-28-14; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 85, Number 157 (Thursday, August 13, 2020)]
[Notices]
[Pages 49377-49379]
[FR Doc No: 2020-17721]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2020-N-1550]

New Drugs Regulatory Program Modernization: Implementation of the
Integrated Assessment of Marketing Applications and Integrated Review
Documentation; Public Workshop; Request for Comments

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of public workshop; request for comments.

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SUMMARY: The Food and Drug Administration (FDA or the Agency) is
announcing the following public workshop entitled ``New Drugs
Regulatory Program Modernization: Implementation of the Integrated
Assessment of Marketing Applications and Integrated Review
Documentation.'' The purpose of the public workshop is to seek public
comments/feedback on the Integrated Review documentation generated by
the new Integrated Assessment of marketing applications for new drug
products developed as part of the New Drugs Regulatory Program
Modernization. The Agency hopes to receive public feedback on how this
Integrated Review documentation can continue supporting our
stakeholders' needs. Please see information and examples relevant to
the Integrated Review at http://wcms-internet.fda.gov/drugs/news-events-human-drugs/integrated-assessment-marketing-applications-workshop-10302020-10302020.

DATES: The public workshop will be held virtually and broadcast via
webcast only on October 30, 2020, from 9 a.m. to 3 p.m. Registration to
attend the meeting and other information can be found at http://wcms-internet.fda.gov/drugs/news-events-human-drugs/integrated-assessment-marketing-applications-workshop-10302020-10302020. The public meeting
may be extended or may end early depending on the level of public
participation. Submit either electronic or written comments on this
public workshop by December 30, 2020. See the SUPPLEMENTARY INFORMATION
section for registration date and information.

ADDRESSES: You may submit comments as follows. Please note that late,
untimely filed comments will not be considered. Electronic comments
must be submitted on or before December 30, 2020. The https://www.regulations.gov electronic filing system will accept comments until
11:59 p.m. Eastern Time at the end of December 30, 2020. Comments
received by mail/hand delivery/courier (for written/paper submissions)
will be considered timely if they are postmarked or the delivery
service acceptance receipt is on or before that date.

Electronic Submissions

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

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand Delivery/Courier (for written/paper
submissions): Dockets Management Staff (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets
Management Staff, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2020-N-1550 for ``New Drugs Regulatory Program Modernization:
Implementation of the Integrated Assessment of Marketing Applications
and Integrated Review Documentation.'' Received comments, those filed
in a timely manner (see ADDRESSES), will be placed in the docket and,
except for those submitted as ``Confidential Submissions,'' publicly
viewable at https://www.regulations.gov or at the Dockets Management
Staff between 9 a.m. and 4 p.m., Monday through Friday,<PHONE_NUMBER>.

     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on https://www.regulations.gov.
Submit both copies to the Dockets Management Staff. If you do not wish
your name and contact information to be made publicly available, you
can provide this information on the cover sheet and not in the body of
your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: https://www.govinfo.gov/content/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852,<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Rhonda M. Hearns-Stewart, Center for
Drug Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 22, Rm. 3249, Silver Spring, MD 20993-0002, 240-
402-3180<EMAIL_ADDRESS>with the subject line
``Collecting Public Feedback on the Integrated Assessment.''

SUPPLEMENTARY INFORMATION:

I. Background

    The Integrated Assessment of marketing applications includes a new
process and review template for the assessment and documentation of new
drug product marketing applications (e.g., new drug applications or
biologics license applications (BLAs)) in the Center for Drug
Evaluation and Research. The resultant Integrated Review is the product
of an interdisciplinary team assessment process that provides
collaborative discussions of key review issues that span multiple
disciplines and includes resolution of important issues pertinent to
benefit-risk assessments. This interdisciplinary approach facilitates
clarity of decision making and ensures input from relevant disciplines
in the consideration of scientific issues. FDA believes the format and
content of the Integrated Review documentation will provide sufficient
detail concerning the evidence of efficacy and assessment of risk and
risk management as well as a clearer description of FDA's analysis of
the scientific issues raised by the application and the scientific
reasoning supporting the benefit-risk determination. The overall
objective is to more effectively communicate the basis for FDA's
decision on applications.
    This new Integrated Review document replaces the current
documentation, which included a separate review document authored by
each discipline. It also replaces the multidisciplinary review (i.e.,
Unireview) in which each discipline provided a separate review section
but within a single review document. FDA is currently undergoing a
phased implementation of the Integrated Review documentation for new
molecular entities, original BLAs, and select efficacy supplements. FDA
plans to expand the scope to other marketing application types in the
near future.
    The following guiding principles informed the Integrated Assessment
process and associated Integrated Review documentation:
     The importance of conducting an issue-focused assessment,
     enhanced communication both within the review team and
with the applicant, and
     strong interdisciplinary collaboration.
    The Integrated Review documentation template has three main
components:
     Executive Summary:
    [cir] Represents FDA's conclusions regarding key scientific and
regulatory issues while describing any differences of scientific
opinion or perspective,
    [cir] provides a summary of FDA's decision and assessment of the
application, including FDA's benefit-risk determination (as currently
employed in marketing application reviews), and
    [cir] provides an overall Agency assessment, including an overview
of the major decisions made during the review process, and a brief
discussion of the basis for the decisions.
     Interdisciplinary Assessment:
    [cir] Includes succinct, integrated, focused analyses of the
evidence of benefit, risk and risk management, and therapeutic
individualization (e.g., special populations, drug interactions).
    [cir] Highlights key review issues (including analyses specific to
key issues) the review team thinks are pertinent to the decision-making
process. Issues are presented and assessed in an interdisciplinary
manner.
    [cir] Includes any dissenting data interpretations.
     Discipline-Specific Appendices:
    [cir] Contains assessments and analyses that are supportive and/or
important to key facts/data or conclusions included in the overall
review, and in certain instances may include discipline-specific
content (e.g., relevant pharmacology/toxicology information),
    [cir] May contain work that did not directly impact the overall
assessment of benefit-risk, regulatory action, labeling, or risk-
mitigation plans, and
    [cir] includes separate reviews of reviewers who disagree with
significant elements of the Executive Summary and Interdisciplinary
Assessment sections or the decision of the Signatory Authority.
    In general, the first two parts of the Integrated Review document
would be expected to provide a complete explanation of FDA's action and
supporting analyses, with the third component (the appendices)
providing additional detail on the comprehensive analyses FDA conducted
in its review of the drug application.
    The target audiences for this document are diverse and include
those with a specific interest in the application such as the lay
public, drug sponsors, researchers, and others who are seeking to
understand the basis for FDA's decision.
    As part of FDA's ongoing evaluation of the Integrated Assessment
and its implementation, the Agency is interested in receiving responses
to the following questions/topics, in addition to any general comments
the public might have. For convenience, it would be helpful if
commenters refer to the numbered question and topic when submitting
responses and comments.

II. Topics for Discussion at the Public Workshop

    The Agency is soliciting public feedback on how the Integrated
Review can continue supporting our stakeholders' needs.
    The Agency welcomes any relevant information specific to the
Integrated Review that stakeholders wish to share

at the meeting or in a submission to the docket, but we emphasize that
the focus of this meeting is to seek input that prioritizes feedback
specifically on characteristics of the Integrated Review document.
Please see information and examples relevant to the Integrated Review
at http://wcms-internet.fda.gov/drugs/news-events-human-drugs/integrated-assessment-marketing-applications-workshop-10302020-10302020.
    Furthermore, we anticipate that the most informative suggestions
would not be specific to an indication, a therapeutic area, or a
disease but rather apply across multiple indications, therapeutic
areas, or diseases. We are particularly interested in the topics that
follow:
    1. We are interested in preserving for stakeholders what they find
most useful in FDA reviews.
    a. Comparing the Integrated Review to previous reviews, is there
any information you are having difficulty locating?
    b. Are you able to use the Integrated Review for the same purpose
that you used previous reviews? If not, please provide specific
examples.
    2. We are interested in specific recommendations about any areas of
the Integrated Review documentation of the Integrated Assessment that
can be improved to meet the needs of stakeholders.
    3. We are interested in stakeholders' views regarding the
advantages and disadvantages of an interdisciplinary assessment
presentation of key review issues and resulting integration of the
assessments of multiple disciplines into a single Integrated Review
document.
    4. We would like to know whether the new format of the Integrated
Review document for the Integrated Assessment can provide clarity of
benefit-risk assessments and inform your knowledge of FDA's basis for
making decisions.

III. Participating in the Public Workshop

    Registration: Please visit the following website to register:
https://www.eventbrite.com/e/integrated-assessment-of-marketing-applications-workshop-tickets-102979608782. Please provide complete
contact information for each attendee, including name, title,
affiliation, address, email, and telephone.
    Persons interested in attending this virtual public workshop must
register by September 30, 2020, by 11:59 p.m. Eastern Time.
    Requests for Oral Presentations: During online registration you may
indicate if you wish to present during a public comment session or
participate in a specific session, and which topic(s) you wish to
address. We will do our best to accommodate requests to make public
comments and requests to participate in the focused sessions.
Individuals and organizations with common interests are urged to
consolidate or coordinate their presentations, and request time for a
joint presentation, or submit requests for designated representatives
to participate in the focused sessions. Following the close of
registration, we will determine the amount of time allotted to each
presenter and the approximate time each oral presentation is to begin,
and will select and notify participants by October 14, 2020. All
requests to make oral presentations must be received by the close of
registration on September 30, 2020, by 11:59 p.m. EST. If selected for
presentation, submit electronic copies of any presentation materials
(Power Point or PDF) to<EMAIL_ADDRESS>no later than
October 21, 2020. No commercial or promotional material will be
permitted to be presented or distributed at the public workshop.
    Streaming Webcast of the Public Workshop: This webcast for this
public workshop is available at https://collaboration.fda.gov/newdrugs103020/. If you have never attended a Connect Pro event before,
test your connection at https://collaboration.fda.gov/common/help/en/support/meeting_test.htm. To get a quick overview of the Connect Pro
program, visit https://www.adobe.com/go/connectpro_overview. FDA has
verified the website addresses in this document, as of the date this
document publishes in the Federal Register, but websites are subject to
change over time.
    Transcripts: Please be advised that as soon as a transcript of the
public workshop is available, it will be accessible at https://www.regulations.gov. It may be viewed at the Dockets Management Staff
(see ADDRESSES). A link to the transcript will also be available on the
internet at http://wcms-internet.fda.gov/drugs/news-events-human-drugs/integrated-assessment-marketing-applications-workshop-10302020-10302020.

    Dated: August 7, 2020.
Lowell J. Schiller,
Principal Associate Commissioner for Policy.
[FR Doc. 2020-17721 Filed 8-12-20; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register: December 23, 2005 (Volume 70, Number 246)]
[Notices]
[Page 76275-76276]
[DOCID:fr23de05-56]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER95-362-022]

Stand Energy Corporation; Notice of Compliance Filing

December 15, 2005.
    Take notice that on December 5, 2005, Stand Energy Corporation
submitted for filing tariff sheets revising its existing Rate Schedule
No. 1, pursuant to the Commission's November 3, 2005 Order in Alcan
Power Marketing, Inc, 113 FERC ] 61,123 (2005).
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211, 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to

become a party must file a notice of intervention or motion to
intervene, as appropriate. Such notices, motions, or protests must be
filed on or before the comment date. Anyone filing a motion to
intervene or protest must serve a copy of that document on the
Applicant and all the parties in this proceeding.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov.
 Persons unable to file electronically should submit an

original and 14 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the

``eLibrary'' link and is available for review in the Commission's
Public Reference Room in Washington, DC. There is an ``eSubscription''
link on the Web site that enables subscribers to receive e-mail
notification when a document is added to a subscribed docket(s). For
assistance with any FERC Online service, please e-mail
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For

TTY, call<PHONE_NUMBER>.
    Comment Date: 5 p.m. Eastern Time on December 27, 2005.

Magalie R. Salas,
Secretary.
 [FR Doc. E5-7753 Filed 12-22-05; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 83, Number 90 (Wednesday, May 9, 2018)]
[Notices]
[Pages 21334-21335]
[FR Doc No: 2018-09445]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Thirty Sixth RTCA SC-214 Standards for Air Traffic Data
Communications Services Plenary

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

ACTION: Thirty Sixth RTCA SC-214 Standards for Air Traffic Data
Communications Services Plenary.

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SUMMARY: The FAA is issuing this notice to advise the public of a
meeting of Thirty Sixth RTCA SC-214 Standards for Air Traffic Data
Communications Services Plenary.

DATES: The meeting will be held June 25-28, 2018 9:00 a.m.-5:00 p.m.

ADDRESSES: The meeting will be held at: EUROCAE, 9-23 rue Paul
Lafargue, ``Le

Trangle'' building, 93200, Saint-Denis, France.

FOR FURTHER INFORMATION CONTACT: Karan Hofmann at [email protected] or
202-330-0680, or The RTCA Secretariat, 1150 18th Street NW, Suite 910,
Washington, DC 20036, or by telephone at<PHONE_NUMBER>, fax at (202)
833-9434, or website at 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., App.), notice is
hereby given for a meeting of the Thirty Sixth RTCA SC-214 Standards
for Air Traffic Data Communications Services Plenary. The agenda will
include the following:

1. Welcome and Administrative Remarks
2. Introductions
3. Agenda Review
4. Meeting-Minutes Review
5. Review/Resolution of DO-224D FRAC Comments
6. Review/Resolution of DO-281C and ED-92C Final Review and
Comment(FRAC)/Open Consultation Comments
7. Approve release of DO-224D for presentation to PMC
8. Approve release of DO-281C for presentation to PMC and ED-92C to
Council
9. Industry Presentation: Connectionless VDL2 Network
10. Schedule Update
11. Date, Place and Time of Next Meeting
12. Other Topics
13. Adjourn Plenary

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

    Issued in Washington, DC, on April 30, 2018.
Michelle Swearingen,
Systems and Equipment Standards Branch, AIR-6B0, Policy and Innovation
Division, AIR-600, Federal Aviation Administration.
[FR Doc. 2018-09445 Filed 5-8-18; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register Volume 79, Number 137 (Thursday, July 17, 2014)]
[Notices]
[Pages 41711-41717]
[FR Doc No: 2014-16824]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-72595; File No. SR-FINRA-2014-032]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change To Amend Rule 7710 Relating to Fees for the OTC
Reporting Facility and Delete Rule 7740 Relating to Historical Research
and Administrative Reports

July 11, 2014.
    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 July 2, 2014, Financial Industry Regulatory Authority, Inc.
(``FINRA'') 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 FINRA. FINRA has
designated the proposed rule change as constituting a ``non-
controversial'' rule change under paragraph (f)(6) of Rule 19b-4 under
the Act,\3\ which renders the proposal effective upon receipt of this
filing by the Commission. 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.
    \3\ 17 CFR 240.19b-4(f)(6).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA is proposing to amend Rule 7710 (OTC Reporting Facility)
relating to fees for the OTC Reporting Facility (``ORF'') and delete
Rule 7740 (Historical Research and Administrative Reports) upon
migration of the ORF to FINRA's Multi-Product Platform (``MPP'').
    The text of the proposed rule change is available on FINRA's Web
site at http://www.finra.org, at the principal office of FINRA 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, FINRA 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. FINRA has prepared summaries, set forth in sections A,
B, and C below, of the most significant aspects of such statements.

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

1. Purpose
    The ORF is the FINRA facility used by members to report
transactions in OTC Equity Securities, as defined in Rule 6420 (i.e.,
equity securities that are not NMS stocks), and transactions in
Restricted Equity Securities, as defined in Rule 6420, effected
pursuant to Securities Act Rule 144A.\4\ Currently, the ORF utilizes
technology provided by The NASDAQ OMX Group, Inc. (``NASDAQ'') that is
based on NASDAQ's proprietary Automated

Confirmation Transaction (``ACT'') platform.
---------------------------------------------------------------------------

    \4\ 17 CFR 230.144A.
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    The MPP is a platform owned by FINRA and developed by NASDAQ, as
FINRA's technology service provider, that consolidates FINRA's
technology for gathering and disseminating trade execution and, where
applicable, quotation data, conducting trade comparisons and gathering
associated regulatory data for debt and equity securities. FINRA's
Alternative Display Facility (``ADF''), which is a quotation display
and trade reporting facility for OTC transactions in NMS stocks, and
FINRA's Trade Reporting and Compliance Engine (``TRACE''), which is the
facility for reporting OTC transactions in eligible fixed income
securities, currently operate on the MPP. Prior to migration to the
MPP, TRACE, ADF and ORF operated on separate technology platforms.\5\
As described more fully below, member firms currently can elect to
access TRACE and the ADF via a web browser on the MPP and also have the
option of receiving ADF and TRACE data via trade journals through
FINRA's Automated Data Delivery Service (``FINRA ADDS''). FINRA will
expand these optional services to the ORF upon migration to the MPP.
---------------------------------------------------------------------------

    \5\ While TRACE, ADF and ORF will operate completely on the MPP,
including their front-end user-facing systems, two additional FINRA
facilities--the FINRA/Nasdaq Trade Reporting Facility (``FINRA/
Nasdaq TRF'') and FINRA/NYSE Trade Reporting Facility (``FINRA/NYSE
TRF''), established in conjunction with NASDAQ and NYSE, as the
Business Members, respectively, for reporting OTC transactions in
NMS stocks--will use the MPP only to submit audit trail data to
FINRA Market Regulation. The front-end user-facing systems of the
TRFs will not be on the MPP, but instead will continue to be
separately provided by the TRF Business Members.
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    The ORF will migrate to the MPP on September 15, 2014 and as of
that date will no longer operate on the ACT platform.\6\ Accordingly,
FINRA is proposing to (1) adopt fees for web browser access to the ORF
and for real-time ``time and sales'' ORF data through the web browser;
(2) enhance FINRA ADDS to include ORF data for ORF participants and
clearing firms and to adopt fees for such services; (3) amend Rule 7710
relating to transaction reporting fees to clarify the application of
the rule, without modifying the fee amounts specified in the rule; and
(4) delete Rule 7740 relating to historical reports.
---------------------------------------------------------------------------

    \6\ FINRA has provided firms with extensive information relating
to ORF migration on its Web site at www.finra.org/Industry/Compliance/MarketTransparency/ORF/P470179.
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Proposed Web Browser Access Fees
    Today, most firms report trades to the ORF on an automated basis
via a computer-to-computer interface (``CTCI''). However, firms also
have the option of reporting trades to the ORF through a web browser.
Any firm that chooses to use the web browser today must subscribe to
NASDAQ's ACT Workstation product and pay the associated fees charged by
NASDAQ under NASDAQ rules.\7\ Following migration of the ORF from the
ACT platform to the MPP, ORF participants will use FINRA's web browser
for accessing the ORF on the MPP; firms will no longer use the ACT
Workstation.\8\ As noted above, FINRA currently offers web browser
access to TRACE and the ADF on the MPP. FINRA provides two levels of
web browser access for TRACE (with Level I offering trade reporting and
trade management functionality, and Level II offering trade reporting
and trade management functionality plus access to real-time ``time and
sales'' TRACE data). For the ADF, FINRA provides one level of web
browser access, i.e., trade reporting and trade management
functionality.\9\
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    \7\ See, e.g., NASDAQ Rule 7015 (Access Services).
    \8\ In addition to web browser access, members can report trades
to the ORF via CTCI (as noted above), a Financial Information
eXchange (``FIX'') line or indirectly via third party intermediaries
(e.g., service bureaus). Today, firms utilize NASDAQ's services
(e.g., for CTCI) and pay the associated fees under NASDAQ rules.
See, e.g., NASDAQ Rule 7015. FINRA notes that, following migration
to the MPP, members will continue to be able to connect to the ORF
using any of these three methods; however, FINRA is not proposing to
charge a connectivity fee under FINRA rules at this time. Firms that
report to the ORF via CTCI or FIX--either directly or indirectly
through third party intermediaries--will pay NASDAQ, as FINRA's
technology service provider for the MPP, charges associated with FIX
and CTCI ports to connect to the ORF data center, as they do today.
    \9\ As discussed in FINRA's proposed rule change relating to ADF
fees, FINRA does not offer Level II web browser access for the ADF.
See Securities Exchange Act Release No. 71528 (February 12, 2014),
79 FR 9550 (February 19, 2014) (Notice of Filing and Immediate
Effectiveness; File No. SR-FINRA-2014-007). As described in that
filing, TRACE is the sole platform for the reporting of fixed income
trades and therefore, the transaction data that is provided through
the Level II access is already available to FINRA. In contrast,
offering all real-time NMS transaction data through the ADF web
browser would entail gathering such information from the relevant
Securities Information Processors (``SIPs'').
    As with TRACE, the ORF is the sole platform for reporting
transactions in OTC Equity Securities, and as such, the transaction
data is already available to FINRA. Therefore, FINRA is able to
offer Level II web browser access for the ORF.
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    FINRA is proposing to offer two levels of web browser access to the
ORF: Level I (Trade Report or Clearing Firm View Only) access and Level
II (Full Service) access. Level I access permits a member to report
transactions to the ORF via the web browser. In addition to reporting
trades through the web browser, members will be able to access Trade
Management functions, such as trade reconciliation, cancel and correct,
will have access to reference data such as the Security Daily List and
will be able to access their trade data for the current trading day
plus three prior days.
    Clearing member firms also can subscribe to Level I web browser
access to view data regarding their correspondents' trades reported to
the ORF associated with the subscribing clearing firm's Clearing
Number.\10\ Clearing firms have this ability today via the ACT
Workstation and have requested similar functionality upon migration of
the ORF to the MPP. With Level I web browser access, clearing firms
will be able to access their correspondents' trade data for the current
trading day plus three prior days.\11\ Clearing firms will only be able
to view their correspondents' data, including, e.g., trades for which
their correspondents are the reporting party as well as the contra
party, open trades, declined trades, etc., and also reference data.
Level I web browser access for clearing firms will not include the
other Trade Management functions described above, e.g., a clearing firm
will not be able to cancel or correct trades on behalf of its
correspondents. FINRA notes that clearing firms currently do not have
web browser access to view their correspondents' ADF and TRACE trade
data.
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    \10\ Clearing member firms have unique Clearing Numbers that
their correspondents use to identify the clearing firm associated
with each trade.
    \11\ FINRA notes that under the terms of the FINRA Participant
Agreement signed by members prior to reporting to the ORF, FINRA has
ownership of the data submitted to the ORF and may use it for any
purpose FINRA deems necessary. Thus, FINRA does not believe it would
be necessary to obtain additional specific permission from
correspondents before providing their ORF trade data to their
clearing firms.
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    Pursuant to proposed Rule 7710(b)(1), FINRA is proposing to charge
$20 per month per user ID for Level I (Trade Report or Clearing Firm
View Only) web browser access to the ORF. The proposed fee is identical
to the fee currently charged under Rule 7510(c)(1) for web browser
access and similar trade management functionality for the ADF, and
under Rule 7730(a)(1) for Level I Trade Report Only web browser access
and trade management functionality for TRACE.\12\
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    \12\ FINRA notes that a member that utilizes the TRACE web
browser, the ADF web browser and the ORF web browser would pay three
separate fees under Rules 7730(a)(1), 7510(c)(1) and 7710(b).
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    Level II (Full Service) web browser access permits the reporting of

transactions to the ORF and related Trade Management functionality, as
discussed above, as well as access to real-time ``time and sales'' ORF
data for a given security through the web browser. Specifically, firms
will be able to query--by security symbol and trade date--for the
following real-time ORF data: (1) Trade details for disseminated trades
in a given time period, which data will include the 52-week high and
low prices and the dates such prices were attained; (2) the daily high
price, low price, last sale price, most recent trade price and volume
in a given time period; and (3) the weekly high price, low price and
volume in a given time period, including the dates the high and low
prices were attained.\13\ As noted above, FINRA currently offers Level
II web browser access for TRACE, which enables firms to conduct similar
queries (by CUSIP and trade date) for TRACE transaction data.
---------------------------------------------------------------------------

    \13\ FINRA notes that firms that subscribe to the UTP SIP Level
I entitlement receive the real-time OTC Bulletin Board (``OTCBB'')
quote feed (or BBDS) and real-time ORF transaction feed (or TDDS),
in addition to other data. The proposed rule change would not impact
a firm's subscription to UTP SIP Level I data or fees for such data.
Effective January 1, 2014, the professional subscriber fee was
increased from $20 to $23 per subscriber per month. See UTP Vendor
Alert 2013--10 (September 26, 2013), available at
www.nasdaqtrader.com/TraderNews.aspx?id=uva2013-10.
     While a Level II web browser subscriber will be able to see all
ORF trades at the time of the query in a specific security, the
subscriber will not see the continuous TDDS data feed, and the web
browser will not include quote data from the BBDS. Thus, FINRA
believes that subscribers most likely will use the ORF ``time and
sales'' data for middle and back office functions such as trade
reconciliation and compliance.
---------------------------------------------------------------------------

    Pursuant to proposed Rule 7710(b)(2), FINRA is proposing to charge
$25 per month per user ID for Level II web browser access to the ORF,
i.e., $20 for Level I access plus an additional $5 for access to the
``time and sales'' function of the web browser. While the data query
functionality of the web browser will be comparable for ORF and TRACE
data, FINRA is not proposing to mirror the fee structure for TRACE
Level II access. Among other things, the fees for TRACE Level II access
reflect the fact that there are multiple data sets available for TRACE
(e.g., Corporate Bond Data Set, Agency Data Set, etc.).\14\ Since there
is only one data set for ORF, FINRA believes that a flat fee is
appropriate. In addition, given that there are other sources for ORF
data, i.e., the above-referenced UTP SIP Level I entitlement, and given
the current fees for such data, FINRA believes that the proposed fee of
$25 for Level II web browser access for the ORF (i.e., $20 for Level I
access plus an additional $5 for data access) is reasonable.
---------------------------------------------------------------------------

    \14\ Under Rule 7730(a)(1)(B), the fee for Level II Full Service
web browser access for TRACE is $50 per month for one data set or
$80 per month for two data sets for the first or a single user ID;
and for additional user IDs, the fee is $80 per month per user ID
for one data set or $140 per month per user ID for two data sets.
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Proposed Fees for ORF Data Through FINRA's Automated Data Delivery
Service
    FINRA ADDS is a secure Web site that provides members, by market
participant identifier (``MPID''), access to trade journal files
containing key information regarding the member's trades reported to
FINRA. Members use the trade journal files to reconcile the trade
information captured by their own systems against the information
captured by the FINRA trade reporting systems. Currently, FINRA ADDS
makes recent ADF and TRACE trade journals available for free through
the FINRA ADDS Web site and offers subscribers the option of receiving
historical data and retrieving data automatically via Secure File
Transfer Protocol (``SFTP'') for a fee. FINRA is proposing to enhance
FINRA ADDS to include ORF data, to be delivered in the same format and
via the same two methods currently used for TRACE and ADF data, and
charge fees for such data pursuant to proposed paragraph (c) of Rule
7710.
    Under proposed Rule 7710(c)(1), FINRA will provide member
subscribers with their own trade data (as FINRA ADDS currently does for
TRACE and the ADF). The ORF trade journals provided through FINRA ADDS
will replace the equity trade journals for ORF currently provided by
NASDAQ. Through the FINRA ADDS Web site, a member will have access to
ORF trade data associated with its MPID for the three prior business
days free of charge without having to subscribe to the additional
optional data services discussed below. As noted above, firms that have
web browser access will also be able to download up to three days'
worth of their prior day ORF trade data through the Trade Management
functionality on the MPP at no additional charge (once the firm has
paid any applicable fees, e.g., for ORF web browser access); however,
the data will not be in same format as available through FINRA
ADDS.\15\
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    \15\ Specifically, the Trade Management data through the web
browser will be ``living'' for three days after trade date (T+3),
whereas FINRA ADDS files will be produced at the end of the trading
day and will not change (e.g., to reflect trades that were
subsequently canceled or corrected). For example, on Wednesday, a
member firm cancels a trade that it executed on Monday. Through
FINRA ADDS, the member will see the trade from Monday, with no
indication that the trade was subsequently canceled. Through Trade
Management, the status of the trade will be updated from ``New'' to
``Canceled.'' FINRA notes that firms that report trades via CTCI, a
FIX line or a third party intermediary may have additional options
for accessing their trade data, e.g., a firm that uses FIX could
elect to receive ``drop copies'' of individual trade reports.
---------------------------------------------------------------------------

    Through FINRA ADDS, members can access their own data for dates
older than the most recent three business days for a monthly fee, if
they elect to subscribe to receive this additional data through FINRA
ADDS (referred to as ``ORF Data Delivery Plus'' service).\16\ The fee
will be charged per month to an MPID that is a subscriber for ORF Data
Delivery Plus reports (``Plus Reports''), which will be provided in
response to requests by the MPID.\17\ The proposed fees under Rule
7710(c)(1)(A) are based on (1) the average number of transactions
reported to the ORF per month to which the MPID was a party in the
prior calendar year, which number is used to assign the MPID to one of
four tiers \18\ and (2) the number of Plus Reports the subscriber
receives in a month.\19\ The proposed fees range from a low of $10 (for
a member in the lowest tier \20\ requesting up to five Plus Reports per
month) to a high of $100 a month (for a member in the highest tier \21\
requesting more than 25 Plus Reports per month). The proposed fee
schedule for ORF data is identical to the current fee schedule for
TRACE data through FINRA ADDS under Rule 7730(g)(1); however, given the
significantly higher volume of trades reported to the ORF, the proposed
tiers under Rule 7710(c)(1)(A) are not

identical to the tiers under Rule 7730(g).\22\
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    \16\ Subscribers ultimately will be able to access up to two
years of trade journal files.
    \17\ To access trade information for multiple MPIDs, a firm must
obtain a subscription for each MPID.
    \18\ Once assigned to a tier, a subscriber remains in the tier
for the remainder of the calendar year. For example, an MPID that
subscribes in September 2014 will be assigned to a tier based upon
the ORF transactions reported in 2013 in which the MPID was a party,
and will remain in that tier until December 31, 2014. In 2015, the
MPID will be re-evaluated and assigned to a tier for 2015 fee
purposes, based upon the MPID's ORF trades in 2014. Where there is
no historical data associated with an MPID (e.g., the MPID is new),
the lowest tier would apply.
    \19\ A subscriber's fee will be assessed each month and
accordingly may vary during a calendar year, depending on the number
of reports FINRA makes available to the subscriber in response to
the subscriber's requests. The ORF Data Delivery Plus fee is based
upon the number of reports provided to avoid charging for data
requests that FINRA may be unable to provide (e.g., a request for
data that pre-dates migration of the ORF to the MPP).
    \20\ The lowest tier, Tier 4, applies to members with an average
of fewer than 1,000 transactions per month to which the member was a
party in the prior calendar year.
    \21\ The highest tier, Tier 1, applies to members with an
average of 50,000 or more transactions per month to which the member
was a party in the prior calendar year.
    \22\ FINRA notes that the fee schedule for ADF data through
FINRA ADDS under Rule 7510(d)(1) is identical to the proposed fee
schedule for Tier 1 ORF data and the existing fee schedule for Tier
1 TRACE data through FINRA ADDS; however, FINRA did not further
divide the ADF fees into tiers, as there is not currently a baseline
of transaction activity from which FINRA can establish such
thresholds. See Securities Exchange Act Release No. 71528 (February
12, 2014), 79 FR 9550 (February 19, 2014) (Notice of Filing; File
No. SR-FINRA-2014-007).
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    Members also will have the option of subscribing to the SFTP
service for ORF trade data, which will enable them to automate the
process of retrieving their daily trade journal files. Files will be
made available on a daily basis to firms that subscribe to the ORF Data
Delivery SFTP service, and firms will be able to connect to FINRA ADDS
via SFTP to download their data. Pursuant to proposed Rule
7710(c)(1)(B), FINRA is proposing to charge the following fees to
members that elect to receive ORF data via SFTP: (1) A one-time set up
fee of $250 for each MPID that subscribes to the service and (2) a
monthly fee of $200 per MPID that subscribes to the service. The
proposed fees are identical to the current fees charged under Rules
7510(d)(2) and 7730(g)(2) for SFTP delivery of ADF and TRACE data,
respectively, through FINRA ADDS.
    Thus, firms have the option of subscribing to FINRA ADDS for their
ORF, ADF and TRACE trade data and can select the data delivery method
that best suits their needs.\23\ For example, a firm may subscribe to
the ORF Data Delivery SFTP service for automated retrieval of its data
to enable its back office to reconcile transaction and clearing data
captured by its own systems and the ORF, while another firm may
subscribe to the ORF Data Delivery Plus service if it does not need
automated data retrieval, but wants the ability to look up its
historical trade data and does not have all of that data stored in its
own systems.
---------------------------------------------------------------------------

    \23\ FINRA notes that a member that subscribes to FINRA ADDS for
TRACE, ADF and ORF data would pay three separate fees under Rules
7730(g), 7510(d) and 7710(c).
---------------------------------------------------------------------------

    Under proposed Rule 7710(c)(2), member clearing firms that elect to
subscribe to FINRA ADDS will have access to data regarding their
correspondents' clearing eligible trades reported to the ORF associated
with the subscribing clearing firm's Clearing Number. FINRA is
providing this data at the request of clearing firms, and it will
replace the clearing firm trade journal files for ORF currently
provided by NASDAQ. Similar to the ORF data provided to firms under
proposed Rule 7710(c)(1), ORF data for clearing firms will be available
through the FINRA ADDS Web site and via SFTP. Through the FINRA ADDS
Web site, a clearing firm will have access to its correspondents' ORF
trade data associated with its Clearing Number for the three prior
business days free of charge without having to subscribe to the
additional optional data services discussed below.\24\
---------------------------------------------------------------------------

    \24\ As discussed above, clearing firms that subscribe to Level
I web browser access under proposed Rule 7710(b) also will be able
to download up to three days' worth of their correspondents' prior
day ORF trade data at no additional charge.
---------------------------------------------------------------------------

    Through FINRA ADDS, clearing firms can access their correspondents'
data for dates older than the most recent three business days for a
monthly fee. Pursuant to proposed Rule 7710(c)(2)(A), clearing firms
that subscribe to access data via the Web site (``Clearing Data
Delivery Plus'' access) will be charged a flat fee of $150 per Clearing
Number \25\ per month, irrespective of the number of reports received.
FINRA believes that it is appropriate to charge a flat fee for Clearing
Data Delivery Plus; the small number of clearing firms relative to the
number of ORF participants is not conducive to establishing tiers based
on transaction activity or number of correspondents. Pursuant to
proposed Rule 7710(c)(2)(B), clearing firms that subscribe to the SFTP
service (``Clearing Data Delivery SFTP'') will be charged a one-time
start-up fee of $250 per Clearing Number and a fee of $300 per month
per Clearing Number. The one-time start-up fees under proposed
paragraphs (c)(1)(B)(i) and (c)(2)(B)(i) for firms receiving their own
ORF trade data and clearing firms receiving their correspondents' ORF
trade data are identical. However, the higher monthly fee for receiving
automated clearing firm trade journals via SFTP under proposed
paragraph (c)(2)(B)(ii) (compared to the fee for receiving firm trade
journals via SFTP under proposed paragraph (c)(1)(B)(ii)) reflects the
more complex queries, and in some cases, larger data sets associated
with clearing firm trade journals. FINRA notes that clearing firm trade
journals are not offered for TRACE or the ADF because currently these
facilities do not send any of their participants' trades to
clearing.\26\
---------------------------------------------------------------------------

    \25\ To access trade information for multiple Clearing Numbers,
a firm must obtain a subscription for each Clearing Number.
    \26\ FINRA further notes that the proposed fees are less than
the current fees for clearing firm trade journals provided by
NASDAQ, which fees range from $750 per month to $1,750 per month
under NASDAQ Rule 7060, although these fees also include data for a
larger universe of transactions (i.e., ORF, FINRA/Nasdaq TRF and
NASDAQ Market Center).
---------------------------------------------------------------------------

    The proposed fees for ORF web browser access, including access to
real-time ``time and sales'' data, and ORF data via FINRA ADDS would
allow FINRA to recoup some of the costs of developing and maintaining
these services for the ORF on the MPP. Although FINRA already provides
web browser access and data for TRACE and the ADF through FINRA ADDS,
FINRA will incur additional development and maintenance costs to add
ORF to these services. Any time that a new type of data--in this
instance ORF data--is added, there is additional development cost to
modify the Web site so that users can access that data. Additionally,
each new type of data increases the volume of data that FINRA's systems
must store in order to make it available for subscribers, i.e., there
would be no need for FINRA ADDS to consume and store ORF data if it
were not being made available to firms. FINRA believes that extending
the availability of these optional services to ORF participants and
their clearing firms will provide firms with the enhanced tools to meet
their trade reporting and trade management obligations without placing
significant financial or operational burdens on them.
    FINRA staff discussed the proposed fees under Rules 7710(b)(1) and
(c)(1) with several of FINRA's industry advisory committees. The
committees were supportive and had a few clarifying questions. One
committee member asked whether the proposed fees effectively are a fee
reduction for firms, given that the proposed fees are lower than the
current NASDAQ fees. FINRA notes that it will be a reduction for
members that only report trades to the ORF; however, members that also
report trades to the FINRA/Nasdaq TRF \27\ would still be subject to
NASDAQ's fees (e.g., for the ACT Workstation for purposes of reporting
to the FINRA/Nasdaq TRF). Another committee member asked whether FINRA
would reduce the proposed fees, if they were considered to be too high.
FINRA notes that it evaluates its fees on an ongoing basis, and if any
fees are determined to be unreasonable or not equitably allocated among
members, FINRA would revisit them.
---------------------------------------------------------------------------

    \27\ As previously noted, the FINRA/Nasdaq TRF is a FINRA
facility for reporting OTC trades in NMS stocks. The front-end user-
facing system is provided by NASDAQ, as the TRF Business Member, and
operates on NASDAQ's ACT technology platform.
---------------------------------------------------------------------------

Proposed Amendments to Existing Transaction Reporting Fees
    FINRA is proposing to amend Rule 7710 to clarify the rule's
application without modifying the transaction

reporting fee amounts specified in the rule.\28\ First, FINRA is
proposing to clarify that in the case of trades where the same market
participant is on both sides of a trade report (e.g., a cross
transaction, which can be reported with the Executing Party's MPID on
both sides of the trade), applicable fees assessed on a ``per side''
basis will be assessed once, rather than twice, and the market
participant will be assessed applicable charges as the Executing Party
side only.\29\ The proposed rule text is identical to the text of
current Rule 7620A relating to fees for reporting to the FINRA/Nasdaq
TRF and is consistent with the manner in which trades reported to the
ORF are billed today.
---------------------------------------------------------------------------

    \28\ FINRA also is proposing to designate the current text of
Rule 7710 as new paragraph (a) (Transaction Related Charges).
    \29\ FINRA also is proposing to adopt Supplementary Material
that defines ``Executing Party (EP)'' for purposes of Rule 7710 as
the member with the trade reporting obligation under FINRA rules.
Under Rule 6622(b), in a trade between a member and non-member or
customer, the member has the obligation to report the trade, and in
a trade between two members, the member that receives an order for
handling or execution or is presented an order against its quote,
does not subsequently re-route the order, and executes the
transaction, has the obligation to report the trade.
---------------------------------------------------------------------------

    Second, FINRA is proposing to clarify that trades reported for
regulatory purposes only (i.e., trades that are submitted neither for
public dissemination nor clearing through the ORF, also referred to as
``non-tape, non-clearing reports'') are not assessed a fee. The
proposed amendment would codify FINRA's current billing methodology as
set forth in NASD Notice to Members (``NTM'') 00-79 (November
2000).\30\
---------------------------------------------------------------------------

    \30\ NTM 00-79 announced new requirements for riskless principal
trade reporting and noted that ``[n]o ACT fee will be assessed for
the non-tape, non-clearing report. An ACT fee will be assessed for
the clearing-only report, however, because the firm is receiving
clearing services in connection with the report.''
---------------------------------------------------------------------------

    Third, FINRA is proposing to amend the provision of Rule 7710 that
imposes a ``Late Report--T+N'' fee of $0.288 on each party to a late
trade report that is submitted one or more days after trade date
(T+N).\31\ Under the proposed rule change, the Late Report--T+N fee
(which will remain set at $0.288) will be imposed only on the
``Executing Party,'' as defined for purposes of Rule 7710 in the
proposed Supplementary Material. The responsibility for reporting
trades is imposed on only one party to the trade, and as such, FINRA
believes that the Late Report--T+N trade report fee should only be
imposed on one party to the trade as well. The proposed rule change
would ensure that the contra party to a trade is not subject to a fee
due to late trade reporting by the Executing Party. The proposed
amendment is identical to Rule 7620A relating to fees for the FINRA/
Nasdaq TRF.
---------------------------------------------------------------------------

    \31\ Under FINRA rules, trades that are executed between 8:00
p.m. and midnight and trades that are executed on non-business days
(pursuant to amendments approved, but not yet effective, under SR-
FINRA-2013-050) must be reported by 8:15 a.m. the next business day
following execution. Such T+N trades are timely and will not be
assessed the late fee under Rule 7710. All other T+N trades are late
under FINRA rules and as such are subject to this fee.
---------------------------------------------------------------------------

    Fourth, FINRA is proposing to delete the ``Query'' charge under
Rule 7710, which relates to functionality that is specific to ACT and
will not apply on the MPP. Upon migration of the ORF to the MPP,
members will be able to search for their trades, but there will be no
charge for such functionality. In addition, FINRA is proposing to amend
Rule 7710 to clarify that the Corrective Transaction Charge applies to
``Cancel/Correct'' transactions only. The ORF will no longer support
``Error, Inhibit, Kill, or No/Was'' transactions, which are ACT-
specific.
    Finally, FINRA notes that Rule 7710 currently provides that
transactions that are not subject to comparison \32\ through the ORF
will be charged a fee of $0.029 per side. FINRA is not proposing to
amend the text of this provision. However, in the course of a recent
review of ORF billing methodology, FINRA determined that, with respect
to a limited subset of trades, this fee currently is not charged in
strict conformance with the rule. Specifically, for ``tape only''
transactions between two FINRA members (i.e., transactions that are
reported for public dissemination purposes and are not cleared through
the ORF or locked-in via AGU or QSR), only the reporting party
currently is charged. The contra party is not charged for such
transactions, notwithstanding that the rule states that the fee applies
to both sides of the transaction. Upon migration of the ORF to the MPP,
FINRA intends to charge this fee in accordance with the express terms
of the rule. Accordingly, both sides of the trade will be charged for
all transactions reported to the ORF that are not subject to
comparison, including all ``tape only'' trades that are not cleared
through the ORF, as well as trades that are cleared through the ORF and
locked-in via AGU or QSR agreements.\33\ Although the rule language
will remain unchanged, some firms that are identified as the contra
party on trade reports submitted to the ORF may see an increase in
their fees.\34\ FINRA will contact the firms that will be most affected
by the change in billing methodology to make them aware of the
potential increase in their invoices.\35\
---------------------------------------------------------------------------

    \32\ Transactions that are not subject to comparison include
trades that are not cleared through the ORF and trades that are
locked-in for clearing at the time of submission via an automatic
give-up agreement (``AGU'') or qualified special representative
(``QSR'') agreement.
    \33\ As noted above, for trades that are submitted for
regulatory purposes only, i.e., non-tape, non-clearing reports,
neither side will be charged a fee.
    \34\ FINRA reviewed ORF monthly invoices for the period from
July 2013 through February 2014 and determined that fewer than a
dozen member firms that receive invoices for ORF trade reporting are
regularly identified as the contra party on trades for which they
are not charged a fee. Most of these firms would see a relatively
modest increase in their invoices for any given month. Firms with
very small invoices may see a larger percentage increase; however,
the actual dollar increase would be relatively small, on average
less than $100. Several firms may see a larger dollar increase;
however, given the average amount of their total monthly invoices,
such increase would represent only a small percentage (e.g., 2% to
3%) increase in their overall fees. In addition, FINRA notes that
during this same eight-month period, there were approximately 60
firms that received no invoices for ORF trade reporting but were
identified as the contra party on trades. These firms will begin to
receive ORF invoices. Of these firms, all but two were parties to a
small number of trades in any given month, and as such, the change
in billing methodology will not have a significant impact on them.
    \35\ Given that the amounts at issue are relatively modest in
terms of FINRA's overall revenues and ORF revenues, FINRA does not
intend to retroactively bill affected contra parties in accordance
with the rule.
---------------------------------------------------------------------------

Proposed Deletion of Rule 7740
    Rule 7740 sets forth the fees to be paid by the purchaser of
Historical Research Reports regarding OTC Bulletin Board (``OTCBB'')
securities through the OTCBB Web site. As the OTCBB has lost quotation
activity in recent years (today, there is virtually no quotation data
available through the OTCBB Web site), the value of these reports has
declined significantly, and FINRA believes that users have found
alternative ways to obtain this data.\36\ FINRA has determined that in
light of this decline, FINRA will no longer provide these reports once
the ORF has migrated to the MPP because the value of the reports does
not outweigh the cost of development work to provide them on the new
platform. Accordingly,

FINRA is proposing to delete Rule 7740 in its entirety.\37\
---------------------------------------------------------------------------

    \36\ For example, there were 274 requests for reports pursuant
to Rule 7740 in 2012, and that number fell to 92 through November of
2013. FINRA notes that the main consumers of these reports have
historically been issuers that used them to get basic quote and
trade data for their securities. Member firms have generally not
relied on these reports as a source of market data. These reports
provide only aggregate data by security, while, for example, the
equity trade journals offer detailed trade information for all
trades to which a firm's MPID was a party.
    \37\ FINRA notes that any future proposal to provide historical
quote and trade information for OTC Equity Securities would be
subject to a separate proposed rule change.
---------------------------------------------------------------------------

    FINRA has filed the proposed rule change for immediate
effectiveness. The operative date will be the date of ORF migration to
the MPP. The ORF is scheduled to migrate to the MPP on September 15,
2014.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\38\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest, and Section 15A(b)(5) of the Act,\39\ which requires,
among other things, that FINRA rules provide for the equitable
allocation of reasonable dues, fees and other charges among members and
issuers and other persons using any facility or system that FINRA
operates or controls. FINRA believes that the proposed fees are
reasonable in light of FINRA's regulatory and operational costs,
including personnel, infrastructure and technology costs, and that they
are equitably allocated and not unfairly discriminatory because they
will apply uniformly to members that are parties to trades submitted to
the ORF or that choose to purchase the optional services discussed
herein.
---------------------------------------------------------------------------

    \38\ 15 U.S.C. 78o-3(b)(6).
    \39\ 15 U.S.C. 78o-3(b)(5).
---------------------------------------------------------------------------

    FINRA further believes that the proposed fees for web browser
access for the ORF under proposed Rule 7710(b) are consistent with the
Act because the web browser is one of a number of options available to
members for meeting their trade reporting and trade management
obligations (other options include CTCI, FIX and third party service
providers). Members can elect the option that they determine is the
most cost-effective and best suits their business model, and the
proposed fees for the web browser would only be charged to member
participants and clearing firms that elect to subscribe. The proposed
fee for ORF Level I web browser access is identical to the existing fee
for web browser access for the ADF under Rule 7510(c)(1) and Level I
web browser access for TRACE under Rule 7730(a)(1), which fees were
adopted pursuant to proposed rule changes filed with the SEC. Thus,
members will pay the same fee for the same trade reporting and trade
management functionality offered through the web browser for the ORF,
TRACE and ADF on the MPP. The ORF Level I web browser also will provide
clearing firms with access to their correspondents' trades for the same
fee.
    Level II web browser access also is optional and members can obtain
real-time ORF transaction data from other sources (e.g., the UTP SIP
Level 1 entitlement discussed above). FINRA believes that it is
appropriate to charge a lower fee for ORF Level II access than TRACE
Level II access, given that there is only one data set for the ORF and
there are multiple data sets for TRACE. In addition, FINRA believes
that the proposed fee is reasonable in light of the current costs of
ORF data through the UTP SIP Level 1 entitlement, which is an
alternative source for ORF data, albeit in a different format than that
presented through the web browser. For these reasons, FINRA believes
that the proposed Level I and Level II web browser access fees are
reasonable, equitably allocated and not unfairly discriminatory, and
they should not be an undue burden on firms while allowing FINRA to
recover some of the cost of developing and maintaining the web browser
system for the ORF.
    FINRA also believes that the proposed fees for ORF data through
FINRA ADDS under proposed Rule 7710(c) are consistent with the Act
because FINRA ADDS is an optional service, and the fees would only be
charged to member participants and clearing firms that elect to
subscribe. The fees for members that subscribe to their own ORF trade
data are identical to existing fees for TRACE data through FINRA ADDS
under Rule 7730(g), and the Tier 1 fees are also identical to existing
fees for ADF data through FINRA ADDS under Rule 7510(d). Such fees were
adopted pursuant to proposed rule changes filed with the SEC. FINRA
believes it is appropriate to charge identical fees for identical data
services for the ORF, TRACE and ADF on the MPP; however, given the
larger trading volume reported to the ORF, it is appropriate to have a
different tier structure for the ORF as compared to TRACE and the ADF.
For these reasons, FINRA believes that the proposed fees for ORF data
through FINRA ADDS are reasonable, equitably allocated and not unfairly
discriminatory. In addition, FINRA believes that the proposed fees for
clearing firms that elect to subscribe to their correspondents'
clearing eligible ORF trade data are reasonable, equitably allocated
and not unfairly discriminatory. While the proposed fees for clearing
firms are higher than the proposed fees for firms subscribing to
receive their own trade data, they reflect the more complex queries
and, in some cases, larger data sets associated with clearing firm
trade journals.
    FINRA further believes that the proposed clarifying amendments to
Rule 7710 are consistent with the Act because FINRA is not proposing to
modify the fee amounts specified in the rule, but rather is proposing
to clarify the application of the fees and to accurately reflect the
functionality of the ORF upon migration from NASDAQ's ACT platform to
the MPP. While the amount of the ``Late Report--T+N'' fee will continue
to be $0.288, contra parties to trades reported late on a T+N basis by
the Executing Party will no longer be charged for the late report, and
thus some members will see a reduction in fees as a result of the
proposed rule change. The amount of the non-comparison fee also will
remain unchanged (at $0.029); however, contra parties on ``tape only''
trade reports will start to be charged the non-comparison fee, and thus
some members will see an increase in fees as a result of the proposed
rule change. FINRA believes that the overall impact of the proposed
rule change on any given firm's fees will be relatively modest. For
these reasons, FINRA believes that the proposed clarifying changes to
Rule 7710 are appropriate and consistent with the Act, in that they are
reasonable, equitably allocated and not unfairly discriminatory.
    Finally, FINRA believes that the proposed deletion of Rule 7740 is
consistent with the Act because FINRA is proposing to eliminate fees
for historical reports that FINRA believes are of little value today
and not relied on by market participants as a source of market data.

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

    FINRA does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act. The proposed rule change will
not affect all FINRA members, but only those members that use the ORF.
Trade reporting in OTC equity securities tends to be highly
concentrated with the top 20 firms reporting approximately 87% of all
trades to the ORF annually. There are approximately 430 firms that have
reported trades to the ORF in a given year, and approximately 275 firms
that have reported trades to the ORF each month, over the past several
years. FINRA believes that most of the approximately 275 firms that
report trades every month will utilize at least

one user ID for web browser access with the most active firms possibly
utilizing several.\40\
---------------------------------------------------------------------------

    \40\ FINRA notes that, given the compressed time frame for
reporting (i.e., 10 seconds or less), it is anticipated that many
firms will choose an automated mechanism to report trades to the
ORF.
---------------------------------------------------------------------------

    Because the proposed fee for web browser access for trade reporting
is reasonable in amount and identical to existing fees for the same
access to other FINRA facilities, FINRA does not believe that payment
of such fee by any member, or any group or class of members, will
result in a burden on competition to such members. Similarly, with
respect to the proposed fees for ORF data through the web browser and
FINRA ADDS, because the proposed fees are both optional and reasonable
in amount and comparable to existing fees for the same data relating to
different products through other FINRA facilities, FINRA does not
believe that the payment of such fees by any member, or any group or
class of members, will result in a burden on competition to such
industry members relative to other industry members that elect not to
subscribe to the optional services.\41\ With respect to the proposed
clarifying changes to the transaction reporting fees set forth in Rule
7710 (to be designated as 7710(a)), as discussed above, some members
may see an increase in fees, while others may see a decrease. However,
the overall change is likely to be relatively modest. Thus, because the
proposed rule change is not expected to have a significant impact on
the fees paid by market participants, FINRA does not believe that the
change will affect the competitive standing of members that report
trades to the ORF (e.g., the cost of reporting transactions to the ORF
would not make trading in OTC Equity Securities cost-prohibitive).
---------------------------------------------------------------------------

    \41\ FINRA notes that today, the number of subscribers for TRACE
data through FINRA ADDS is small: 16 firms subscribe to the Plus
Reports and five firms subscribe to the SFTP service. FINRA
anticipates that there will be much more interest in ORF data
through FINRA ADDS, given the differences in the equity versus fixed
income markets, but we are unable to provide an estimate of the
number of firms that are likely to subscribe at this time.
---------------------------------------------------------------------------

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

    Written comments were neither solicited nor received.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \42\ and Rule 19b-
4(f)(6) thereunder.\43\
---------------------------------------------------------------------------

    \42\ 15 U.S.C. 78s(b)(3)(A).
    \43\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-FINRA-2014-032 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-FINRA-2014-032. 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 FINRA.
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-FINRA-2014-
032, and should be submitted on or before August 7, 2014.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\44\
---------------------------------------------------------------------------

    \44\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-16824 Filed 7-16-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 82, Number 58 (Tuesday, March 28, 2017)]
[Rules and Regulations]
[Pages 15290-15291]
[FR Doc No: 2017-06109]

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

Coast Guard

33 CFR Part 117

[Docket No. USCG-2017-0070]
RIN 1625-AA09

Drawbridge Operation Regulation; Elizabeth River, Elizabeth, NJ

AGENCY: Coast Guard, DHS.

ACTION: Final rule.

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

SUMMARY: The Coast Guard is removing the existing drawbridge operation
regulations for five bridges across the Elizabeth River. These bridges
were either removed in their entirety or replaced with a fixed bridge,
making the operating regulations no longer necessary.

DATES: This rule is effective March 28, 2017.

ADDRESSES: To view documents mentioned in this preamble as being
available in the docket, go to http://www.regulations.gov, type USCG-
2017-0070 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 Mr. Jeffrey Stieb, Project Officer, First Coast Guard
District Bridge Program, telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Table of Abbreviations

CFR Code of Federal Regulations
FR Federal Register
NPRM Notice of proposed rulemaking
Sec.  Section
U.S.C. United States Code

II. Background Information and Regulatory History

    The Coast Guard is issuing this final rule without prior notice and
opportunity to comment pursuant to authority under section 4(a) of the
Administrative Procedure Act (APA) (5 U.S.C. 553(b)). This provision
authorizes an agency to issue a rule without prior notice and
opportunity to comment when the agency for good cause finds that those
procedures are ``impracticable, unnecessary, or contrary to the public
interest.'' Under 5 U.S.C. 553(b), the Coast Guard finds that good
cause exists for not publishing an NPRM with respect to this rule
because the New Jersey Transit Rail Operations railroad bridge, mile
0.7, the Baltic Street bridge, mile 0.9, the Summer Street bridge, mile
1.3, the South Street bridge, mile 1.8, and the Bridge Street bridge,
mile 2.1 at the Elizabeth River that once required draw operations in
33 CFR 117.718(b), have been removed in their entirety or converted to
a fixed bridge. Therefore, the regulation is no longer necessary or
applicable and shall be removed from publication. It is unnecessary to
publish an NPRM because this regulatory action does not purport to
place any restrictions on mariners but rather removes restrictions that
have no further use or value.
    Under 5 U.S.C. 553(d)(3), the Coast Guard finds that good cause
exists for making this rule effective in less than 30 days after
publication in the FR. This rule merely requires an administrative
change to the CFR in order to omit a regulatory requirement that is no
longer applicable or necessary. The modifications have already taken
place and the removal of the regulation will not affect mariners
currently operating on this waterway. Therefore, a delayed effective
date is unnecessary.

III. Legal Authority and Need for Rule

    The Coast Guard is issuing this rule under authority 33 U.S.C. 499.
    The New Jersey Transit Rail Operations railroad bridge, mile 0.7,
the Baltic Street bridge, mile 0.9, the Summer Street bridge, mile 1.3,
the South Street bridge, mile 1.8, and the Bridge Street bridge, mile
2.1, at the Elizabeth River that once required draw operations in 33
CFR 117.718(b) were removed in their entirety or converted to fixed
bridges over thirty years ago. It has come to the attention of the
Coast Guard that the governing regulation for these drawbridges was
never removed subsequent to the removal of the drawbridge or conversion
to a fixed bridge. The elimination of these drawbridges necessitates
the removal of the drawbridge operation regulation in 33 CFR 117.718(b)
that pertains to these former drawbridges.
    The purpose of this rule is to remove 33 CFR 117.718(b), which
refers to these bridges, from the CFR since the bridges are no longer
able to be opened.

IV. Discussion of Final Rule

    The Coast Guard is changing the regulation in 33 CFR 117.718 by
removing restrictions related to the draw operations for bridges that
are no longer drawbridges. The change removes paragraph (b) of the
regulation governing these bridges. This change does not affect nor
does it alter the operating schedule that is currently designated
paragraph (a), which governs the remaining drawbridge on the Elizabeth
River.

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 13563 emphasizes the importance of
quantifying both costs and benefits, of reducing costs, of harmonizing
rules, and of promoting flexibility. 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.

    This regulatory action determination is based on the fact that
these bridges either no longer exist or no longer operate as a
drawbridge. The removal of the operating schedule from 33 CFR part 117,
subpart B, will have no effect on the movement of waterway or land
traffic.

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 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.
    For the reasons stated in section IV.A above this final rule would
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.

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.

F. Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guides the Coast Guard in complying with the National Environmental
Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and have made a
determination that this action is one of a category of actions which do
not individually or cumulatively have a significant effect on the human
environment. This rule simply promulgates the operating regulations or
procedures for drawbridges. This action is categorically excluded from
further review, under figure 2-1, paragraph (32)(e), of the
Instruction.
    Under figure 2-1, paragraph (32)(e), of the Instruction, an
environmental analysis checklist and a categorical exclusion
determination are not 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; and Department of
Homeland Security Delegation No. 0170.1.

Sec.  117.718  [Amended]

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2. In Sec.  117.718, remove paragraph (b) and redesignate paragraph (a)
as an undesignated paragraph.

    Dated: March 10, 2017.
S.D. Poulin,
Rear Admiral, U.S. Coast Guard, Commander, First Coast Guard District.
[FR Doc. 2017-06109 Filed 3-27-17; 8:45 am]
BILLING CODE 9110-04-P