[Federal Register Volume 79, Number 48 (Wednesday, March 12, 2014)]
[Proposed Rules]
[Pages 13948-13949]
[FR Doc No: 2014-05356]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Docket No. FAA-2014-0104; Airspace Docket No. 13-AEA-4]
RIN 2120-AA66

Proposed Amendment and Revocation of Jet Routes; Northeast United
States

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: This action proposes to modify segments of jet routes J-64 and
J-80, and remove jet route J-77, in the northeastern United States. The
FAA is proposing this action because segments of these routes are
receiving minimal to no usage due to other more efficient routes in the
area. This action would eliminate unneeded route segments, reduce chart
clutter and improve chart readability.

DATES: Comments must be received on or before April 28, 2014.

ADDRESSES: Send comments on this proposal to the U.S. Department of
Transportation, Docket Operations, M-30, 1200 New Jersey Avenue SE.,
West Building Ground Floor, Room W12-140, Washington, DC 20590-0001;
telephone:<PHONE_NUMBER>. You must identify FAA Docket No. FAA-2014-
0104 and Airspace Docket No. 13-AEA-4 at the beginning of your
comments. You may also submit comments through the Internet at http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Paul Gallant, Airspace Policy and
Regulations Group, Office of Airspace Services, Federal Aviation
Administration, 800 Independence Avenue SW., Washington, DC 20591;
telephone:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Comments Invited

    Interested parties are invited to participate in this proposed
rulemaking by submitting such written data, views, or arguments as they
may desire. Comments that provide the factual basis supporting the
views and suggestions presented are particularly helpful in developing
reasoned regulatory decisions on the proposal. Comments are
specifically invited on the overall regulatory, aeronautical, economic,
environmental, and energy-related aspects of the proposal.
    Communications should identify both docket numbers (FAA Docket No.
FAA-2014-0104 and Airspace Docket No. 13-AEA-4) and be submitted in
triplicate to the Docket Management Facility (see ADDRESSES section for
address and phone number). You may also submit comments through the
Internet at http://www.regulations.gov.
    Commenters wishing the FAA to acknowledge receipt of their comments
on this action must submit with those comments a self-addressed,
stamped postcard on which the following statement is made: ``Comments
to FAA Docket No. FAA-2014-0104 and Airspace Docket No. 13-AEA-4.'' The
postcard will be date/time stamped and returned to the commenter.
    All communications received on or before the specified comment
closing date will be considered before taking action on the proposed
rule. The proposal contained in this action may be changed in light of
comments received. All comments submitted will be available for
examination in the public docket both before and after the comment
closing date. A report summarizing each substantive public contact with
FAA personnel concerned with this rulemaking will be filed in the
docket.

Availability of NPRM's

    An electronic copy of this document may be downloaded through the
Internet at http://www.regulations.gov.
    You may review the public docket containing the proposal, any
comments received and any final disposition in person in the Dockets
Office (see ADDRESSES section for address and phone number) between
9:00 a.m. and 5:00 p.m., Monday through Friday, except Federal
holidays. An informal docket may also be examined during normal
business hours at the office of the Eastern Service Center, Federal
Aviation Administration, Room 210, 1701 Columbia Ave., College Park, GA
30337.
    Persons interested in being placed on a mailing list for future
NPRM's should contact the FAA's Office of Rulemaking,<PHONE_NUMBER>,
for a copy of Advisory Circular No. 11-2A, Notice of Proposed
Rulemaking Distribution System, which describes the application
procedure.

Background

    On October 20, 2011, the FAA amended part of the high altitude
route structure in the northeastern United States to expedite the
routing of westbound traffic departing the New York Metropolitan area
and to realign high altitude overflight traffic to help reduce delays
within New York terminal airspace (76 FR 57902). The new and amended
routes from that action have enhanced air traffic flows in the area and
have become the routes of primary use. The FAA determined that jet
route J-77, and portions of jet routes J-64 and J-80, are receiving
minimal usage and have been made essentially redundant by other, more
efficient route options available in that area.

The Proposal

    The FAA is proposing an amendment to Title 14, Code of Federal
Regulations (14 CFR) part 71 to eliminate portions of jet routes J-64
and J-80 and to remove jet route J-77 in the northeastern United
States. The proposed changes would eliminate segments that no longer
benefit the efficiency of the National Airspace System, reduce chart
clutter and improve readability of the affected Enroute High Altitude
charts. The proposed route changes are outlined below.
    J-64: J-64, currently extending between Los Angeles, CA, and
Robbinsville, NJ, would terminate at the intersection of the Ravine,
PA, 102[deg](T)/113[deg](M) radial and the Lancaster, PA, 044[deg](T)/
053[deg](M) radial. This new termination point would be at the SARAA
fix, approximately 65 nautical miles northwest of the current end point
Robbinsville, NJ.
    J-77: J-77, currently extending between Boston, MA, and
Westminster, MD, would be removed. Other routes are available for
navigation between the Baltimore, MD, area and Boston, MA.
    J-80: J-80, currently extending between Oakland, CA, and Bangor,
ME, would terminate at Bellaire, OH, eliminating the segments between
Bellaire and Bangor, ME. RNAV route Q-480 and jet route J-581 provide
alternative routing between Bellaire, OH, and Bangor, ME.
    Where new navigation aid radials are cited in a proposed route
description, below, both True and Magnetic degrees are listed.
Otherwise, only True degrees are stated.
    Jet routes are published in paragraph 2004 of FAA Order 7400.9X
dated August 7, 2013, and effective September 15, 2013, which is
incorporated by reference in 14 CFR 71.1. The jet routes

in this document would be subsequently published in the Order.
    The FAA has determined that this proposed regulation only involves
an established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
Therefore, this proposed regulation: (1) Is not a ``significant
regulatory action'' under Executive Order 12866; (2) is not a
``significant rule'' under Department of Transportation (DOT)
Regulatory Policies and Procedures (44 FR 11034; February 26, 1979);
and (3) does not warrant preparation of a regulatory evaluation as the
anticipated impact is so minimal. Since this is a routine matter that
will only affect air traffic procedures and air navigation, it is
certified that this proposed rule, when promulgated, will not have a
significant economic impact on a substantial number of small entities
under the criteria of the Regulatory Flexibility Act.
    The FAA's authority to issue rules regarding aviation safety is
found in Title 49 of the United States Code. Subtitle I, Section 106
describes the authority of the FAA Administrator. Subtitle VII,
Aviation Programs, describes in more detail the scope of the agency's
authority.
    This rulemaking is promulgated under the authority described in
Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the
FAA is charged with prescribing regulations to assign the use of the
airspace necessary to ensure the safety of aircraft and the efficient
use of airspace. This regulation is within the scope of that authority
as it modifies the route structure as necessary to preserve the safe
and efficient flow of air traffic in the northeastern United States.

Environmental Review

    This proposal will be subject to an environmental analysis in
accordance with FAA Order 1050.1E, ``Environmental Impacts: Policies
and Procedures'' prior to any FAA final regulatory action.

List of Subjects in 14 CFR Part 71

    Airspace, Incorporation by reference, Navigation (air).

The Proposed Amendment

    In consideration of the foregoing, the Federal Aviation
Administration proposes to amend 14 CFR part 71 as follows:

PART 71--DESIGNATION OF CLASS A, B, C, D, AND E AIRSPACE AREAS; AIR
TRAFFIC SERVICE ROUTES; AND REPORTING POINTS

0
1. The authority citation for part 71 continues to read as follows:

     Authority:  49 U.S.C. 106(g), 40103, 40113, 40120; E.O. 10854,
24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.

Sec.  71.1  [Amended]

0
2. The incorporation by reference in 14 CFR 71.1 of FAA Order 7400.9X,
Airspace Designations and Reporting Points, dated August 7, 2013 and
effective September 15, 2013, is amended as follows:

Paragraph 2004--Jet Routes

* * * * *

J-64 [Amended]

    From Los Angeles, CA, via INT Los Angeles 083[deg] and Hector,
CA, 226[deg] radials; Hector; Peach Springs, AZ; Tuba City, AZ;
Rattlesnake, NM; Pueblo, CO; Hill City, KS; Pawnee City, NE; Lamoni,
IA; Bradford, IL; via the INT of the Bradford 089[deg] and the Fort
Wayne, IN, 280[deg] radials; Fort Wayne; Ellwood City, PA; Ravine,
PA; to INT Ravine 102[deg](T)/113[deg](M) and Lancaster, PA,
044[deg](T)/053[deg](M) radials.

J-77 [Removed]

J-80 [Amended]

    From Oakland, CA; Manteca, CA; Coaldale, NV; Wilson Creek, NV;
Milford, UT; Grand Junction, CO; Red Table, CO; Falcon, CO;
Goodland, KS; Hill City, KS; Kansas City, MO; Spinner, IL;
Brickyard, IN; to Bellaire, OH.

    Issued in Washington, DC, on March 6, 2014.
Donna Warren,
Acting Manager, Airspace Policy and Regulations Group.
[FR Doc. 2014-05356 Filed 3-11-14; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 83, Number 74 (Tuesday, April 17, 2018)]
[Notices]
[Pages 16849-16850]
[FR Doc No: 2018-08082]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Sunshine Act Meeting Notice

    The following notice of meeting is published pursuant to section
3(a) of the government in the Sunshine Act (Pub. L. 94-409), 5 U.S.C.
552b:

AGENCY HOLDING MEETING: Federal Energy Regulatory Commission.

DATE AND TIME: April 19, 2018, 10:00 a.m.

PLACE: Room 2C, 888 First Street NE, Washington, DC 20426.

STATUS: Open.

MATTERS TO BE CONSIDERED: Agenda.
    * Note--Items listed on the agenda may be deleted without further
notice.

CONTACT PERSON FOR MORE INFORMATION: Kimberly D. Bose, Secretary,
Telephone<PHONE_NUMBER>.
    For a recorded message listing items struck from or added to the
meeting, call<PHONE_NUMBER>.

    This is a list of matters to be considered by the Commission. It
does not include a listing of all documents relevant to the items on
the agenda. All public documents, however, may be viewed on line at
the Commission's website at http://ferc.capitolconnection.org/ sing
the eLibrary link, or may be examined in the Commission's Public
Reference Room.

                                                 1042nd--Meeting
                                                 Regular Meeting
                                          [April 19, 2018, 10:00 a.m.]
----------------------------------------------------------------------------------------------------------------
        Item No.                     Docket No.                                    Company
----------------------------------------------------------------------------------------------------------------
                                                 Administrative
----------------------------------------------------------------------------------------------------------------
A-1.....................  AD18-1-000......................  Agency Administrative Matters.
A-2.....................  AD18-2-000......................  Customer Matters, Reliability, Security and Market
                                                             Operations.
A-3.....................  AD06-3-000......................  Market Update.
----------------------------------------------------------------------------------------------------------------
                                                    Electric
----------------------------------------------------------------------------------------------------------------
E-1.....................  RM17-2-000......................  Uplift Cost Allocation and Transparency in Markets
                                                             Operated by Regional Transmission Organizations and
                                                             Independent System Operators.
E-2.....................  RM17-8-000......................  Reform of Generator Interconnection Procedures and
                                                             Agreements.
E-3.....................  RM17-11-000.....................  Revised Critical Infrastructure Protection
                                                             Reliability Standard CIP-003-7--Cyber Security--
                                                             Security Management Controls.
E-4.....................  Omitted.........................
E-5.....................  ER18-459-000, ER18-460-000......  PJM Interconnection L.L.C. and Ohio Valley Electric
                                                             Corporation.
E-6.....................  ER17-1016-001...................  PJM Interconnection, L.L.C.
E-7.....................  ER17-219-002....................  PacifiCorp.
E-8.....................  ER17-2229-001...................  Southwest Power Pool, Inc.
----------------------------------------------------------------------------------------------------------------
                                                      Hydro
----------------------------------------------------------------------------------------------------------------
H-1.....................  P-12715-013.....................  Fairlawn Hydroelectric Company, LLC.
H-2.....................  P-785-034.......................  Consumers Energy Company.
H-3.....................  P-14856-001.....................  America First Hydro LLC.
----------------------------------------------------------------------------------------------------------------
                                                  Certificates
----------------------------------------------------------------------------------------------------------------
C-1.....................  PL18-1-000......................  Certification of New Interstate Natural Gas
                                                             Facilities.
C-2.....................  CP17-469-000....................  WBI Energy Transmission, Inc.
C-3.....................  CP16-20-001.....................  High Island Offshore System, LLC.
C-4.....................  CP14-497-001....................  Dominion Transmission, Inc.
C-5.....................  CP15-77-001.....................  Tennessee Gas Pipeline Company, L.L.C.
C-6.....................  CP15-148-001....................  Tennessee Gas Pipeline Company, L.L.C.
----------------------------------------------------------------------------------------------------------------

    Dated: April 12, 2018.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
    A free webcast of this event is available through http://ferc.capitolconnection.org/. Anyone with internet access who desires
to view this event can do so by navigating to www.ferc.gov's
Calendar of Events and locating this event in the Calendar. The
event will contain a link to its webcast. The Capitol Connection
provides technical support for the free webcasts. It also offers
access to this event via television in the DC area and via phone
bridge for a fee. If you have any questions, visit http://ferc.capitolconnection.org/ or contact Danelle Springer or David
Reininger at<PHONE_NUMBER>.
    Immediately following the conclusion of the Commission Meeting,
a press briefing will be held in the Commission Meeting Room.
Members of the public may view this briefing in the designated
overflow room. This statement is intended to notify the public that
the press briefings that follow Commission meetings may now be
viewed remotely at Commission headquarters, but will not be telecast
through the Capitol Connection service.

[FR Doc. 2018-08082 Filed 4-13-18; 11:15 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 87, Number 81 (Wednesday, April 27, 2022)]
[Rules and Regulations]
[Pages 24863-24865]
[FR Doc No: 2022-08897]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Docket No. FAA-2021-0704; Airspace Docket No. 21-AWP-32]
RIN 2120-AA66

Amendment of United States Area Navigation (RNAV) Route Q-73;
Twenty Nine Palms, CA

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: This action amends United States Area Navigation (RNAV) route
Q-73 due to the creation of Special Activity Airspace (SAA) (Bristol
Air Traffic Assigned Airspace (ATCAA)) in the vicinity of Twenty Nine
Palms, CA.

DATES: Effective date 0901 UTC, July 14, 2022. The Director of the
Federal Register approves this incorporation by reference action under
1 CFR part 51, subject to the annual revision of FAA Order JO 7400.11
and publication of conforming amendments.

ADDRESSES: FAA Order JO 7400.11F, Airspace Designations and Reporting
Points, and subsequent amendments can be viewed online at https://www.faa.gov/air_traffic/publications/. For further information, you can
contact the Rules and Regulations Group, Federal Aviation
Administration, 800 Independence Avenue SW, Washington, DC 20591;
telephone:<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Jesse Acevedo, Rules and Regulations
Group, Office of Policy, Federal Aviation Administration, 800
Independence Avenue SW, Washington, DC 20591; telephone: (202) 267-
8783.

SUPPLEMENTARY INFORMATION:

Authority for This Rulemaking

    The FAA's authority to issue rules regarding aviation safety is
found in Title 49 of the United States Code. Subtitle I, Section 106
describes the authority of the FAA Administrator. Subtitle VII,
Aviation Programs, describes in more detail the scope of the agency's
authority. This rulemaking is promulgated under the authority described
in Subtitle VII, Part A, Subpart I, Section 40103. Under that section,
the FAA is charged with prescribing regulations to assign the use

of the airspace necessary to ensure the safety of aircraft and the
efficient use of airspace. This regulation is within the scope of that
authority as it modifies the air traffic service route structure in the
north central United States to maintain the efficient flow of air
traffic.

History

    The FAA published a notice of proposed rulemaking for Docket No.
FAA 2021-0704 in the Federal Register (86 FR 50493; September 9, 2021),
amending Q-73 in the vicinity of Twenty Nine Palms, CA, in order to
provide safe segregation of air traffic around the newly created
Bristol ATCAA. Interested parties were invited to participate in this
rulemaking effort by submitting comments on the proposal. There were no
comments received.
    United States Area Navigation Routes are published in paragraph
2006 of FAA Order JO 7400.11F dated August 10, 2021, and effective
September 15, 2021, which is incorporated by reference in 14 CFR 71.1.
The United States Area Navigation Routes listed in this document will
be published subsequently in FAA Order JO 7400.11.

Availability and Summary of Documents for Incorporation by Reference

    This document amends FAA Order JO 7400.11F, Airspace Designations
and Reporting Points, dated August 10, 2021, and effective September
15, 2021. FAA Order JO 7400.11F is publicly available as listed in the
ADDRESSES section of this document. FAA Order JO 7400.11F lists Class
A, B, C, D, and E airspace areas, air traffic service routes, and
reporting points.

The Rule

    This action amends 14 CFR part 71 by amending RNAV route Q-73 due
to the creation of SAA, Bristol ATCAA, in the vicinity of Twenty Nine
Palms, CA. The amendment adds two additional waypoints (WPs) between
LVELL and HAKMN in order to provide an adequate buffer between military
activities in that area.
    Q-73: Q-73 currently extends from the MOMAR, CA, WP to the CORDU,
ID, WP. The FAA is adding two WPs, the BLKWL, CA, WP, between the
LVELL, CA, WP and the ZELMA, CA, WP, and the KRLIE, CA, WP, between the
ZELMA, CA, WP and the HAKMN, NV, WP. The new WPs will provide safe
segregation of air traffic along Q-73 from military aircraft operating
within the adjacent SAA. The rest of the route would remain unchanged.
    FAA Order JO 7400.11, Airspace Designations and Reporting Points,
is published yearly and effective on September 15.

Regulatory Notices and Analyses

    The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
It, therefore: (1) Is not a ``significant regulatory action'' under
Executive Order 12866; (2) is not a ``significant rule'' under
Department of Transportation (DOT) Regulatory Policies and Procedures
(44 FR 11034; February 26, 1979); and (3) does not warrant preparation
of a regulatory evaluation as the anticipated impact is so minimal.
Since this is a routine matter that only affects air traffic procedures
and air navigation, it is certified that this rule, when promulgated,
does not have a significant economic impact on a substantial number of
small entities under the criteria of the Regulatory Flexibility Act.

Environmental Review

    The FAA has determined that this airspace action of amending RNAV
route Q-73 due to the creation of SAA, Bristol ATCAA, in the vicinity
of Twenty Nine Palms, CA qualifies for categorical exclusion under the
National Environmental Policy Act (42 U.S.C. 4321 et seq.) and its
implementing regulations at 40 CFR part 1500, and in accordance with
FAA Order 1050.1F, Environmental Impacts: Policies and Procedures,
paragraph 5-6.5a, which categorically excludes from further
environmental impact review rulemaking actions that designate or modify
classes of airspace areas, airways, routes, and reporting points (see
14 CFR part 71, Designation of Class A, B, C, D, and E Airspace Areas;
Air Traffic Service Routes; and Reporting Points). As such, this action
is not expected to result in any potentially significant environmental
impacts. In accordance with FAA Order 1050.1F, paragraph 5-2 regarding
Extraordinary Circumstances, the FAA has reviewed this action for
factors and circumstances in which a normally categorically excluded
action may have a significant environmental impact requiring further
analysis. Accordingly, the FAA has determined that no extraordinary
circumstances exist that warrant preparation of an environmental
assessment or environmental impact study.

Lists of Subjects in 14 CFR Part 71

    Airspace, Incorporation by reference, Navigation (air).

The Amendment

    In consideration of the foregoing, the Federal Aviation
Administration amends 14 CFR part 71 as follows:

PART 71--DESIGNATION OF CLASS A, B, C, D, AND E AIRSPACE AREAS; AIR
TRAFFIC SERVICE ROUTES; AND REPORTING POINTS

0
1. The authority citation for 14 CFR part 71 continues to read as
follows:

    Authority:  49 U.S.C. 106(f), 106(g), 40103, 40113, 40120; E.O.
10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p.389.

Sec.  71.1   [Amended]

0
2. The incorporation by reference in 14 CFR 71.1 of FAA Order JO
7400.11F, Airspace Designations and Reporting Points, dated August 10,
2021, and effective September 15, 2021, is amended as follows:

Paragraph 2006 United States Area Navigation Routes

* * * * *

Q-73 MOMAR, CA to CORDU, ID [Amended]

MOMAR, CA                     Fix                 (Lat. 33[deg]30'54.13'' N, long. 115[deg]56'40.14'' W)
LVELL, CA                     WP                  (Lat. 34[deg]12'37.38'' N, long. 115[deg]36'53.25'' W)
BLKWL, CA                     WP                  (Lat. 34[deg]22'01.06'' N, long. 115[deg]29'56.81'' W)
ZELMA, CA                     WP                  (Lat. 34[deg]46'59.99'' N, long. 115[deg]19'47.51'' W)
KRLIE, CA                     WP                  (Lat. 35[deg]08'24.42'' N, long. 115[deg]13'59.57'' W)
HAKMN, NV                     WP                  (Lat. 35[deg]30'28.31'' N, long. 115[deg]04'47.04'' W)
LAKRR, NV                     WP                  (Lat. 36[deg]05'07.72'' N, long. 114[deg]17'09.16'' W)
GUNTR, AZ                     WP                  (Lat. 36[deg]24'39.65'' N, long. 114[deg]02'11.55'' W)
ZAINY, AZ                     WP                  (Lat. 36[deg]39'24.73'' N, long. 113[deg]54'03.50'' W)
EEVUN, UT                     WP                  (Lat. 37[deg]02'52.90'' N, long. 113[deg]42'42.56'' W)
WINEN, UT                     WP                  (Lat. 37[deg]56'00.00'' N, long. 113[deg]30'00.00'' W)
CRITO, NV                     WP                  (Lat. 39[deg]18'00.00'' N, long. 114[deg]33'00.00'' W)
BROPH, ID                     WP                  (Lat. 42[deg]43'15.71'' N, long. 114[deg]52'31.80'' W)
DERSO, ID                     WP                  (Lat. 43[deg]21'42.63'' N, long. 115[deg]08'01.66'' W)

ZATIP, ID                     WP                  (Lat. 46[deg]13'17.48'' N, long. 116[deg]31'37.57'' W)
CORDU, ID                     Fix                 (Lat. 48[deg]10'46.41''N, long. 116[deg]40'21.84''W)

* * * * *

    Issued in Washington, DC, on April 20, 2022.
Scott M. Rosenbloom,
Manager, Airspace Rules and Regulations.
[FR Doc. 2022-08897 Filed 4-26-22; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 84, Number 107 (Tuesday, June 4, 2019)]
[Notices]
[Page 25815]
[FR Doc No: 2019-11522]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2018-N-1262]

Notice of Approval of Product Under Voucher: Rare Pediatric
Disease Priority Review Voucher

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA) is announcing the
issuance of approval of a product redeeming a priority review voucher.
The Federal Food, Drug, and Cosmetic Act (FD&C Act), as amended by the
Food and Drug Administration Safety and Innovation Act (FDASIA),
authorizes FDA to award priority review vouchers to sponsors of
approved rare pediatric disease product applications that meet certain
criteria. FDA is required to publish notice of the issuance of vouchers
as well as the approval of products redeeming a voucher. FDA has
determined that MAYZENT (siponimod) approved March 26, 2019, meets the
redemption criteria.

FOR FURTHER INFORMATION CONTACT: Althea Cuff, Center for Drug
Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Silver Spring, MD 20993-0002,<PHONE_NUMBER>, Fax: 301-
796-9858, email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Under section 529 of the FD&C Act (21 U.S.C.
360ff), which was added by FDASIA, FDA will report the issuance of rare
pediatric disease priority review vouchers and the approval of products
for which a voucher was redeemed. FDA has determined that MAYZENT
(siponimod), approved March 26, 2019, meets the redemption criteria.
    For further information about the Rare Pediatric Disease Priority
Review Voucher Program and for a link to the full text of section 529
of the FD&C Act, go to https://www.fda.gov/ForIndustry/DevelopingProductsforRareDiseasesConditions/RarePediatricDiseasePriorityVoucherProgram/default.htm. For further
information about MAYZENT (siponimod) approved March 26, 2019, go to
the ``[email protected]'' website at https://www.accessdata.fda.gov/scripts/cder/daf/.

    Dated: May 29, 2019.
Lowell J. Schiller,
Principal Associate Commissioner for Policy.
[FR Doc. 2019-11522 Filed 6-3-19; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register: April 18, 2007 (Volume 72, Number 74)]
[Notices]
[Page 19556-19560]
[DOCID:fr18ap07-100]

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

[Release No. 34-55612; File No. 4-536]

Program for Allocation of Regulatory Responsibilities Pursuant to
Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of
Regulatory Responsibilities Between the Chicago Board Options Exchange,
Incorporated and the National Association of Securities Dealers, Inc.

April 10, 2007.
    Pursuant to Section 17(d) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 17d-2 thereunder,\2\ notice is hereby given that
on April 5, 2007, the Chicago Board Options Exchange, Incorporated
(``CBOE'') and the National Association of Securities Dealers, Inc.
(``NASD'') (together with the CBOE, the ``Parties'') filed with the
Securities and Exchange Commission (``Commission'' or ``SEC'') a plan
for the allocation of regulatory responsibilities with respect to the
CBOE Stock Exchange, LLC (``CBSX''), dated April 4, 2007 (``17d-2
Plan''). The Commission is publishing this notice to solicit comments
on the 17d-2 Plan from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78q(d).
    \2\ 17 CFR 240.17d-2.
---------------------------------------------------------------------------

I. Introduction

    Section 19(g)(1) of the Act,\3\ among other things, requires every
self-regulatory organization (``SRO'') registered as either a national
securities exchange or national securities association to examine for,
and enforce compliance by, its members and persons associated with its
members with the Act, the rules and regulations thereunder, and the
SRO's own rules, unless the SRO is relieved of this responsibility
pursuant to Section 17(d) or Section 19(g)(2) of the Act.\4\ Without
this relief, the statutory obligation of each individual SRO could
result in a pattern of multiple examinations of broker-dealers that
maintain memberships in more than one SRO (``common members''). Such
regulatory duplication would add unnecessary expenses for common
members and their SROs.
---------------------------------------------------------------------------

    \3\ 15 U.S.C. 78s(g)(1).
    \4\ 15 U.S.C. 78q(d) and 15 U.S.C. 78s(g)(2), respectively.
---------------------------------------------------------------------------

    Section 17(d)(1) of the Act \5\ was intended, in part, to eliminate
unnecessary multiple examinations and regulatory duplication.\6\ With
respect to a common member, Section 17(d)(1) authorizes the Commission,
by rule or order, to relieve an SRO of the responsibility to receive
regulatory reports, to examine for and enforce compliance with
applicable statutes, rules, and regulations, or to perform other
specified regulatory functions.
---------------------------------------------------------------------------

    \5\ 15 U.S.C. 78q(d)(1).
    \6\ See Securities Act Amendments of 1975, Report of the Senate
Committee on Banking, Housing, and Urban Affairs to Accompany S.
249, S. Rep. No. 94-75, 94th Cong., 1st Session 32 (1975).
---------------------------------------------------------------------------

    To implement Section 17(d)(1), the Commission adopted two rules:
Rule 17d-1 and Rule 17d-2 under the Act.\7\ Rule 17d-1 authorizes the
Commission to name a single SRO as the designated examining authority
(``DEA'') to examine common members for compliance with the financial
responsibility requirements imposed by the Act, or by Commission or SRO
rules.\8\ When an SRO has been named as a common member's DEA, all
other SROs to which the common member belongs are relieved of the
responsibility to examine the firm for compliance with the applicable
financial responsibility rules. On its face, Rule 17d-1 deals only with
an SRO's obligations to enforce member compliance with financial
responsibility requirements. Rule 17d-1 does not relieve an SRO from
its obligation to examine a common member for compliance with its own
rules and provisions of the federal securities laws governing matters
other than financial responsibility, including sales practices and
trading activities and practices.
---------------------------------------------------------------------------

    \7\ 17 CFR 240.17d-1 and 17 CFR 240.17d-2, respectively.
    \8\ See Securities Exchange Act Release No. 12352 (April 20,
1976), 41 FR 18808 (May 7, 1976).
---------------------------------------------------------------------------

    To address regulatory duplication in these and other areas, the
Commission adopted Rule 17d-2 under the Act.\9\ Rule 17d-2 permits SROs
to propose joint plans for the allocation of regulatory
responsibilities with respect to their common members. Under paragraph
(c) of Rule 17d-2, the Commission may declare such a plan effective if,
after providing for appropriate notice and comment, it determines that
the plan is necessary or appropriate in the public interest and for the
protection of investors; to foster cooperation and coordination among
the SROs; to remove impediments to, and foster the development of, a
national market system and a national clearance and settlement system;
and is in conformity with the factors set forth in Section 17(d) of the
Act. Commission approval of a plan filed pursuant to Rule 17d-2
relieves an SRO of those regulatory responsibilities allocated by the
plan to another SRO.
---------------------------------------------------------------------------

    \9\ See Securities Exchange Act Release No. 12935 (October 28,
1976), 41 FR 49091 (November 8, 1976).
---------------------------------------------------------------------------

II. Proposed Plan

    The Commission recently approved proposed rule changes submitted by
CBOE to establish the CBSX as a facility of CBOE.\10\ CBSX is a fully
automated marketplace for trading of non-option securities by CBOE
members.
---------------------------------------------------------------------------

    \10\ Accordingly, CBOE serves as CBSX's self-regulatory
organization and has regulatory responsibility for the activities of
CBSX. See Securities Exchange Act Release Nos. 55326 (February 21,
2007), 72 FR 8816 (February 27, 2007) (SR-CBOE-2006-106) (relating
to a permit program for CBSX); 55389 (March 2, 2007), 72 FR 10575
(March 8, 2007) (SR-CBOE-2006-110) (relating to governance structure
of CBSX); and 55392 (March 2, 2007), 72 FR 10572 (March 8, 2007)
(SR-CBOE-2006-112) (relating to trading rules for CBSX).
---------------------------------------------------------------------------

    Pursuant to the proposed 17d-2 Plan, NASD would assume certain
examination and enforcement responsibilities for common members with
respect to certain applicable laws, rules, and regulations. The
proposed 17d-2 Plan is intended to reduce regulatory duplication, with
respect to CBSX, for firms that are common members of both CBOE and
NASD.\11\
---------------------------------------------------------------------------

    \11\ The proposed 17d-2 Plan refers to these common members as
``Dual Members.'' See Paragraph 1(c) of the proposed 17d-2 Plan.
---------------------------------------------------------------------------

    The text of the plan delineates regulatory responsibilities with
respect to the Parties, including responsibility for CBOE rules
applicable to the CBSX. Included in the proposed plan is an exhibit
(the ``CBOE Certification of Common Rules,'' referred to herein as the
``Certification'') that lists every CBOE rule, and the federal
securities laws, rules, and regulations thereunder, for which NASD
would bear responsibility under the plan for overseeing and enforcing
with respect to common members.
    In particular, under the 17d-2 Plan, NASD would assume examination
and enforcement responsibility relating to compliance by dual members
and persons associated therewith with the rules of CBOE that are
substantially similar to the applicable rules of NASD

(``Common Rules''),\12\ as well as any provisions of the federal
securities laws and the rules and regulations thereunder delineated in
the Certification.\13\ Under the plan, CBOE would retain full
responsibility for surveillance and enforcement with respect to trading
activities or practices involving CBOE's own marketplace, including,
without limitation, CBOE's rules relating to the rights and obligations
of market makers; registration pursuant to its unique rules (i.e., non-
Common Rules); its duties as a DEA pursuant to Rule 17d-1 under the
Act; and any rules that are not Common Rules.
---------------------------------------------------------------------------

    \12\ See paragraph 1(b) of the proposed 17d-2 plan (defining
Common Rules).
    \13\ See paragraph 1(f) of the proposed 17d-2 plan.
---------------------------------------------------------------------------

    The text of the 17d-2 Plan is as follows:

Agreement Between NASD and Chicago Board Options Exchange, Incorporated
Pursuant to Rule 17d-2 Under the Securities Exchange Act of 1934

    This Agreement, by and between the National Association of
Securities Dealers, Inc. (``NASD'') and the Chicago Board Options
Exchange, Incorporated (``CBOE''), is made this 4th day of April, 2007
(the ``Agreement''), pursuant to section 17(d) of the Securities
Exchange Act of 1934 (the ``Exchange Act'') and rule 17d-2 thereunder
which permits agreements between self-regulatory organizations to
allocate regulatory responsibility to eliminate regulatory duplication.
NASD and CBOE may be referred to individually as a ``party'' and
together as the ``parties.''
    Whereas, NASD and CBOE desire to reduce duplication in the
examination of their Dual Members (as defined herein) and in the filing
and processing of certain registration and membership records as it
relates to the CBOE Stock Exchange, LLC; and
    Whereas, NASD and CBOE desire to execute an agreement covering such
subjects pursuant to the provisions of Rule 17d-2 under the Exchange
Act and to file such agreement with the Securities and Exchange
Commission (the ``SEC'' or ``Commission'') for its approval.
    Now, therefore, in consideration of the mutual covenants contained
hereinafter, NASD and CBOE hereby agree as follows:
    1. Definitions. Unless otherwise defined in this Agreement or the
context otherwise requires, the terms used in this Agreement shall have
the same meaning as they have under the Exchange Act and the rules and
regulations thereunder. As used in this Agreement, the following terms
shall have the following meanings:
    (a) ``CBOE Rules'' or ``NASD Rules'' shall mean the rules of the
CBOE or NASD, respectively, as the rules of an exchange or association
are defined in Exchange Act section 3(a)(27).
    (b) ``Common Rules'' shall mean the CBOE Rules that are
substantially similar to the applicable NASD Rules in that examination
for compliance with such rules would not require NASD to develop one or
more new examination standards, modules, procedures, or criteria in
order to analyze the application of the rule, or a Dual Member's
activity, conduct, or output in relation to such rule.
    (c) ``Dual Members'' shall mean those CBOE members that are also
members of NASD and the associated persons therewith.
    (d) ``Effective Date'' shall have the meaning set forth in
paragraph 14.
    (e) ``Enforcement Responsibilities'' shall mean the conduct of
appropriate proceedings, in accordance with the NASD Code of Procedure
(the Rule 9000 Series) and other applicable NASD procedural rules, to
determine whether violations of pertinent laws, rules or regulations
have occurred, and if such violations are deemed to have occurred, the
imposition of appropriate sanctions as specified under the NASD's Code
of Procedure and sanctions guidelines.
    (f) ``Regulatory Responsibilities'' shall mean the examination
responsibilities and Enforcement Responsibilities relating to
compliance by the Dual Members with the Common Rules and the provisions
of the Exchange Act and the rules and regulations thereunder, and other
applicable laws, rules and regulations, each as set forth on Exhibit 1
attached hereto.
    2. Regulatory and Enforcement Responsibilities. NASD shall assume
Regulatory Responsibilities and Enforcement Responsibilities for Dual
Members. Attached as Exhibit 1 to this Agreement and made part hereof,
CBOE furnished NASD with a current list of Common Rules and certified
to NASD that such rules are substantially similar to the corresponding
NASD rule (the ``Certification''). NASD hereby agrees that the rules
listed in the Certification are Common Rules as defined in this
Agreement. Each year following the Effective Date of this Agreement, or
more frequently if required by changes in either the rules of CBOE or
NASD, CBOE shall submit an updated list of Common Rules to NASD for
review which shall add CBOE rules not included in the current list of
Common Rules that qualify as Common Rules as defined in this Agreement;
delete CBOE rules included in the current list of Common Rules that no
longer qualify as Common Rules as defined in this Agreement; and
confirm that the remaining rules on the current list of Common Rules
continue to be CBOE rules that qualify as Common Rules as defined in
this Agreement. Within 30 days of receipt of such updated list, NASD
shall confirm in writing whether the rules listed in any updated list
are Common Rules as defined in this Agreement. Notwithstanding anything
herein to the contrary, it is explicitly understood that the term
``Regulatory Responsibilities'' does not include, and CBOE shall retain
full responsibility for (unless otherwise addressed by separate
agreement or rule) the following:
    (a) surveillance and enforcement with respect to trading activities
or practices involving CBOE's own marketplace, including without
limitation CBOE's rules relating to the rights and obligations of
market makers;
    (b) registration pursuant to its applicable rules of associated
persons (i.e., registration rules that are not Common Rules);
    (c) discharge of its duties and obligations as a Designated
Examining Authority pursuant to Rule 17d-1 under the Exchange Act; and
    (d) any CBOE Rules that are not Common Rules.
    3. Dual Members. Prior to the Effective Date, CBOE shall furnish
NASD with a current list of Dual Members, which shall be updated no
less frequently than once each quarter.
    4. No Charge. There shall be no charge to CBOE by NASD for
performing the Regulatory Responsibilities and Enforcement
Responsibilities under this Agreement except as hereinafter provided.
NASD shall provide CBOE with ninety (90) days advance written notice in
the event NASD decides to impose any charges to CBOE for performing the
Regulatory Responsibilities under this Agreement. If NASD determines to
impose a charge, CBOE shall have the right at the time of the
imposition of such charge to terminate this Agreement; provided,
however, that NASD's Regulatory Responsibilities under this Agreement
shall continue until the Commission approves the termination of this
Agreement.
    5. Reassignment of Regulatory Responsibilities. Notwithstanding any
provision hereof, this Agreement shall be subject to any statute, or
any rule or order of the Commission, or industry agreement,
restructuring the regulatory framework of the securities industry or
reassigning Regulatory Responsibilities between self-regulatory
organizations.

To the extent such action is inconsistent with this Agreement, such
action shall supersede the provisions hereof to the extent necessary
for them to be properly effectuated and the provisions hereof in that
respect shall be null and void.
    6. Notification of Violations. In the event that NASD becomes aware
of apparent violations of any CBOE Rules, which are not listed as
Common Rules, discovered pursuant to the performance of the Regulatory
Responsibilities assumed hereunder, NASD shall notify CBOE of those
apparent violations for such response as CBOE deems appropriate.
Apparent violations of all other applicable rules, including violations
of the Common Rules, various securities acts, and rules and regulations
thereunder, shall be processed by, and enforcement proceedings in
respect thereto shall be conducted by NASD as provided hereinbefore;
provided, however, that in the event a Dual Member is the subject of an
investigation relating to a transaction on the CBOE, CBOE may in its
discretion assume concurrent jurisdiction and responsibility. Each
party agrees to make available promptly all files, records and
witnesses necessary to assist the other in its investigation or
proceedings.
    7. Continued Assistance. NASD shall make available to CBOE all
information obtained by NASD in the performance by it of the Regulatory
Responsibilities hereunder in respect to the Dual Members subject to
this Agreement. In particular, and not in limitation of the foregoing,
NASD shall furnish CBOE any information it obtains about Dual Members
which reflects adversely on their financial condition. It is understood
that such information is of an extremely sensitive nature and,
accordingly, CBOE acknowledges and agrees to take all reasonable steps
to maintain its confidentiality. CBOE shall make available to NASD any
information coming to its attention that reflects adversely on the
financial condition of Dual Members or indicates possible violations of
applicable laws, rules or regulations by such firms.
    8. Dual Member Applications.
    (a) Dual Members subject to this Agreement shall be required to
submit, and NASD shall be responsible for processing and acting upon
all applications submitted on behalf of allied persons, partners,
officers, registered personnel and any other person required to be
approved by the rules of both CBOE and NASD or associated with Dual
Members thereof. Upon request, NASD shall advise CBOE of any changes of
allied members, partners, officers, registered personnel and other
persons required to be approved by the rules of both CBOE and NASD.
    (b) Dual Members shall be required to send to NASD all letters,
termination notices or other material respecting the individuals listed
in paragraph 8(a).
    (c) When as a result of processing such submissions NASD becomes
aware of a statutory disqualification as defined in the Exchange Act
with respect to a Dual Member, NASD shall determine pursuant to
Sections 15A(g) and/or Section 6(c) of the Exchange Act the
acceptability or continued applicability of the person to whom such
disqualification applies and keep CBOE advised of its actions in this
regard for such subsequent proceedings as CBOE may initiate.
    (d) Notwithstanding the foregoing, NASD shall not review the
membership application, reports, filings, fingerprint cards, notices,
or other writings filed to determine if such documentation submitted by
a broker or dealer, or a person associated therewith or other persons
required to register or qualify by examination meets the CBOE
requirements for general membership or for specified categories of
membership or participation in the CBOE. NASD shall not review
applications or other documentation filed to request a change in the
rights or status described in this paragraph 8(d), including
termination or limitation on activities, of a member or a participant
of the CBOE, or a person associated with, or requesting association
with, a member or participant of the CBOE.
    9. Branch Office Information. NASD shall also be responsible for
processing and, if required, acting upon all requests for the opening,
address changes, and terminations of branch offices by Dual Members and
any other applications required of Dual Members with respect to the
Common Rules as they may be amended from time to time. Upon request,
NASD shall advise CBOE of the opening, address change and termination
of branch and main offices of Dual Members and the names of such branch
office managers.
    10. Customer Complaints. CBOE shall forward to NASD copies of all
customer complaints involving Dual Members received by CBOE relating to
NASD's Regulatory Responsibilities under this Agreement. It shall be
NASD's responsibility to review and take appropriate action in respect
to such complaints.
    11. Advertising. NASD shall assume responsibility to review the
advertising of Dual Members subject to the Agreement, provided that
such material is filed with NASD in accordance with NASD's filing
procedures and is accompanied with any applicable filing fees set forth
in NASD Rules. Such review shall be made in accordance with then
applicable NASD rules and interpretations. The advertising of Dual
Members shall be subject only to compliance with appropriate NASD rules
and interpretations.
    12. No Restrictions on Regulatory Action. Nothing contained in this
Agreement shall restrict or in any way encumber the right of either
party to conduct its own independent or concurrent investigation,
examination or enforcement proceeding of or against Dual Members, as
either party, in its sole discretion, shall deem appropriate or
necessary.
    13. Termination. This Agreement may be terminated by CBOE or NASD
at any time upon the approval of the Commission after one (1) year's
written notice to the other party, except as provided in paragraph 4.
    14. Effective Date. This Agreement shall be effective upon approval
of the Commission.
    15. Arbitration. In the event of a dispute between the parties as
to the operation of this Agreement, CBOE and NASD hereby agree that any
such dispute shall be settled by arbitration in Washington, D.C. in
accordance with the rules of the American Arbitration Association then
in effect, or such other procedures as the parties may mutually agree
upon. Judgment on the award rendered by the arbitrator(s) may be
entered in any court having jurisdiction.
    16. Separate Agreement. This Agreement is wholly separate from the
multiparty Agreement made pursuant to Rule 17d-2 of the Exchange Act
between the American Stock Exchange LLC, the Boston Stock Exchange,
Inc., the Chicago Board Options Exchange, Incorporated, the
International Securities Exchange LLC, the National Association of
Securities Dealers, Inc., the New York Stock Exchange, LLC, the NYSE
Arca, Inc., and the Philadelphia Stock Exchange, Inc. involving the
allocation of regulatory responsibilities with respect to common
members for compliance with common rules relating to the conduct by
broker-dealers of accounts for listed options or index warrants entered
into on December 1, 2006, and as may be amended from time to time.
    17. Notification of Members. CBOE and NASD shall notify Dual
Members of this Agreement after the Effective Date by means of a
uniform joint notice.
    18. Amendment. This Agreement may be amended in writing duly
approved by each party. All such amendments must be filed with and
approved by the

Commission before they become effective.
    19. Limitation of Liability. Neither NASD nor CBOE nor any of their
respective directors, governors, officers or employees shall be liable
to the other party to this Agreement for any liability, loss or damage
resulting from or claimed to have resulted from any delays,
inaccuracies, errors or omissions with respect to the provision of
Regulatory Responsibilities as provided hereby or for the failure to
provide any such responsibility, except with respect to such liability,
loss or damages as shall have been suffered by one or the other of NASD
or CBOE and caused by the willful misconduct of the other party or
their respective directors, governors, officers or employees. No
warranties, express or implied, are made by NASD or CBOE with respect
to any of the responsibilities to be performed by each of them
hereunder.
    20. Relief from Responsibility. Pursuant to Sections 17(d)(1)(A)
and 19(g) of the Exchange Act and Rule 17d-2 thereunder, NASD and CBOE
join in requesting the Commission, upon its approval of this Agreement
or any part thereof, to relieve CBOE of any and all responsibilities
with respect to matters allocated to NASD pursuant to this Agreement;
provided, however, that this Agreement shall not be effective until the
Effective Date.
    In witness whereof, each party has executed or caused this
Agreement to be executed on its behalf by a duly authorized officer as
of the date first written above.

National Association Of Securities Dealers, Inc.

By---------------------------------------------------------------------
Name:
Title:

Chicago Board Options Exchange, Incorporated

By---------------------------------------------------------------------
Name:
Title:

Exhibit 1

CBOE Certification of Common Rules

    CBOE hereby certifies that the requirements contained in the CBOE
Rules listed below are identical to, or substantially similar to, the
NASD or SEC Rules identified.[dagger]

------------------------------------------------------------------------
                                                   NASD or SEC
             CBOE rule(s)                    rule(s)[dagger][dagger]
------------------------------------------------------------------------
4.18 Prevention of the Misuse of        Section 15(f) of the Securities
 Material, Nonpublic Information.        Exchange Act of 1934 (Exchange
                                         Act).[dagger][dagger][dagger]
4.20 Anti-Money Laundering Compliance   3011 Anti-Money Laundering
 Program.                                Compliance Program.
9.3 Registration and Termination of     1031(a), (b) Registration
 Representatives.                        Requirements 1140(a), (d)
                                         Electronic Filing Rules, and
                                         NASD By-Laws, Art. V, Sections
                                         2 and 3 Registered
                                         Representatives and Associated
                                         Persons.
9.3A Continuing Education For           1120 Continuing Education
 Registered Persons.                     Requirements.
9.4(a) Other Affiliations of            3030 Outside Business Activities
 Registered Associated Persons.          of an Associated Person.
9.12 Statements of Accounts to          2340 Customer Account
 Customers[dagger][dagger][dagger][dag   Statements.
 ger].
9.13 Statement of Financial Condition   Exchange Act Rule 17a-5.
 to Customers.
9.16 Restrictions on Pledge and         2330(a)-(d) Customers'
 Lending of Customers' Securities.       Securities or Funds.
9.18 Guarantees and Profit Sharing....  2330(e) & (f) Customers'
                                         Securities or
                                         Funds.[dagger][dagger][dagger][
                                         dagger][dagger]
9.20 Transfer of Accounts.............  11870 Customer Account Transfer
                                         Contracts.
9.23 Customer                           3110(d) Books and Records.
 Complaints[dagger][dagger][dagger][da
 gger][dagger][dagger].
9.24 Telephone Solicitation...........  2212 Telemarketing and 3110(g)
                                         Books and Records.
9.25 Borrowing From or Lending to       2370 Borrowing From or Lending
 Customers.                              to Customers.
53.6(c) Duty to Know and Approve        2310 Recommendations to
 Customers.                              Customers (Suitability) and
                                         3110(c) Books and Records.
53.6(d) Branch Offices of Member        1021(a) Registration
 Organizations.                          Requirements and IM-1000-4
                                         Branch Offices and Offices of
                                         Supervisory Jurisdiction.
53.6(e) Discretionary Accounts........  2510 Discretionary Accounts.
53.6(f) Confirmation to Customers.....  2230 Confirmations and Exchange
                                         Act Rule 10b-
                                         10.[dagger][dagger][dagger][dag
                                         ger][dagger][dagger][dagger]
53.6(g) Communications to Customers...  2210(b) and(d) Communications
                                         with the Public and IM-2210-
                                         1(6) Guidelines to Ensure That
                                         Communications With the Public
                                         Are Not Misleading.
53.6(h) Supervision of Accounts.......  3010(a), (b) Supervision and
                                         3110(c) Books and Records.
------------------------------------------------------------------------
[dagger] To the extent that any CBOE Rule listed herein makes reference
  to options, such rule shall be read to apply to equity securities as
  provided in CBOE Rule 53.6.
[dagger][dagger] CBOE will be responsible for any significant
  differences between its rules and the comparable NASD rule identified.

[dagger][dagger][dagger] NASD shall not have any Regulatory
  Responsibilities regarding the CBOE requirement to have Form X-17A-5
  filed with CBOE; responsibility for such requirement remains with
  CBOE.
[dagger][dagger][dagger][dagger] NASD shall not have any Regulatory
  Responsibilities regarding the CBOE requirement that the statement
  have a legend requesting the customer to advise the member of any
  material change in the customer's investment objectives or financial
  situation; responsibility for such requirement remains with CBOE.
[dagger][dagger][dagger][dagger][dagger] The NASD Rule requires, among
  other things, prior written approval of the member employing the
  associated person in order for such associated person to share in
  accounts of a customer, whereas the CBOE rule requires consent of the
  member carrying the account. To the extent that the employing member
  and carrying member are different firms, the NASD's and CBOE's rule
  differ, and NASD's Regulatory Responsibility will not cover CBOE's
  rule; responsibility for such requirement remains with CBOE.
[dagger][dagger][dagger][dagger][dagger][dagger] NASD shall not have any
  Regulatory Responsibilities regarding the CBOE requirement of what
  must be contained in the complaint file or the timing during which the
  complaint must be sent to the central file by the branch office;
  responsibility for such requirement remains with CBOE.
[dagger][dagger][dagger][dagger][dagger][dagger][dagger]NASD shall not
  have any Regulatory Responsibilities regarding the CBOE requirement to
  disclose on a confirmation whether a transaction was executed on the
  CBOE; responsibility for such requirement remains with CBOE.

* * * * *

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

    Pursuant to Section 17(d)(1) of the Act \14\ and Rule 17d-2
thereunder,\15\ after May 9, 2007, the Commission may, by written
notice, declare the plan submitted by CBOE and NASD, File No. 4-536, to
be effective if the Commission finds that the plan is necessary or
appropriate in the public interest and for the protection of investors,
to foster cooperation and coordination among self-regulatory
organizations, or to remove impediments to and foster the development
of the national market system and a national system for the clearance
and settlement of securities transactions and in conformity with the
factors set forth in Section 17(d) of the Act.
---------------------------------------------------------------------------

    \14\ 15 U.S.C. 78q(d)(1).
    \15\ 17 CFR 240.17d-2.
---------------------------------------------------------------------------

IV. Solicitation of Comments

    In order to assist the Commission in determining whether to approve
proposed 17d-2 Plan and to relieve CBOE of the responsibilities which
would be assigned to NASD, interested persons are invited to submit
written data, views, and arguments concerning the foregoing. Comments
may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/other.shtml.
); or     Send an e-mail to<EMAIL_ADDRESS>Please include

File Number 4-536 on the subject line.

Paper Comments

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

All submissions should refer to File Number 4-536. This file number
should be included on the subject line if e-mail is used. To help the
Commission process and review your comments more efficiently, please
use only one method. The Commission will post all comments on the
Commission's Internet Web site (http://www.sec.gov/rules/other.shtml).

Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed plan that are filed with the
Commission, and all written communications relating to the proposed
plan 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 inspection and copying in the
Commission's Public Reference Room. Copies of the plan also will be
available for inspection and copying at the principal offices of the
CBOE and NASD. 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 4-536
and should be submitted on or before May 9, 2007.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\16\
---------------------------------------------------------------------------

    \16\ 17 CFR 200.30-3(a)(34).
---------------------------------------------------------------------------

Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-7321 Filed 4-17-07; 8:45 am]

BILLING CODE 8010-01-P