[Federal Register: June 30, 2006 (Volume 71, Number 126)]
[Notices]
[Page 37556]
[DOCID:fr30jn06-53]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project Nos. 2686-032 and 2601-007-North Carolina]

Duke Power Company LLC; West Fork and Bryson Hydroelectric
Projects; Notice of Revised Restricted Service List for the Programmtic
Agreements for Managing Properties Included in or Eligible for
Inclusion in the National Register of Historic Places

June 23, 2006.
    On May 12, 2006, the Federal Energy Regulatory Commission
(Commission) issued notice of a proposed restricted service list for
the preparation of two programmatic agreements for managing properties
included in, or eligible for inclusion in, the National Register of
Historic Places at the West Fork Hydroelectric Project No. 2686 and at
the Bryson Hydroelectric Project No. 2601. Rule 2010(d)(1) of the
Commission's Rules of Practice and Procedure, 18 CFR 2010(d)(1) (2005),
provides for the establishment of such a list for a particular phase or
issue in a proceeding to eliminate unnecessary expense or improve
administrative efficiency. Under Rule 2010(d)(4), persons on the
official service list are to be given notice of any proposal to
establish a restricted service list and an opportunity to show why they
should also be included on the restricted service list or why a
restricted service list should not be established.
    On May 30, 2006, Jackson County, North Carolina; Macon County,
North Carolina; the Town of Franklin, North Carolina; the Friends of
Lake Glenville Association, Inc.; and the Dillsboro Inn and TJ Walker
(jointly) filed a joint response to the notice, requesting that: (1)
They be included in the development of the two programmatic agreements;
(2) the Commission not establish a restricted service list; and (3) the
Commission establish a protocol to protect cultural resource
information during the development of the two programmatic agreements.
    Under Rule 2010(d)(2), any restricted service list will contain the
names of each person on the official service list, or the person's
representative, who, in the judgment of the decisional authority
establishing the list, is an active participant with respect to the
phase or issue in the proceeding for which the list is established. The
joint filers have identified an interest in issues relating to the
management of historic properties at the West Fork and Bryson Projects.
Therefore, they and their representatives will be added to the
restrictive service list.
    The joint filers assert that they have a direct interest in
ensuring that the decision-making process is open for public review.
Apart from this, they have not identified a reason why a restrictive
service list should not be established. A restricted service list
facilitates consultation under section 106 of the National Historic
Preservation Act by ensuring that only those parties who are actively
participating in this phase of the proceeding are included, thus
improving administrative efficiency and eliminating unnecessary
expense. However, the establishment of a restricted service list does
not restrict public access to information concerning the consultation.
All filings and correspondence leading to the development of two
programmatic agreements, as well as the agreements themselves, will be
placed in the appropriate dockets for these proceedings and, thus, will
be publicly available. In addition, Commission regulations provide
procedures for protecting sensitive cultural resource information, such
as the location of historic properties, and parties to the restricted
service list must follow these procedures. Therefore, there is no need
to establish protocols for the protection of this information. See 18
CFR 388.112.
    Accordingly, the restricted service list issued on May 12, 2006,
for the West Fork Project No. 2686 and the Bryson Project No. 2601 is
revised to add the following persons:

Thomas J. Walker, Dillsboro Inn, 146 North River Road, P.O. Box 270,
Dillsboro, NC 28725.
Joe Collins, Mayor, Town of Franklin, 188 W Main St, Franklin, NC
28734-2949.
Philip M. Marston, Marston Law, 218 N. Lee Street, Suite 300,
Alexandria, VA 22314.
Carol Adams, President, Friends of Lake Glenville, P.O. Box 493,
Glenville, NC 28736-0493.
Paul V. Nolan, 5515 17th Street North, Arlington, VA 22205-2722.
Kenneth L. Westmoreland, Manager, Jackson County Government, 401
Grindstaff Cove Rd, Sylva, NC 28779-3250.
Sam Greenwood, Manager, Macon County, County Manager Office, 5 West
Main Street, Franklin, NC 28734-3005.

Magalie R. Salas,
Secretary.
[FR Doc. E6-10302 Filed 6-29-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register: April 15, 2008 (Volume 73, Number 73)]
[Notices]
[Page 20273-20274]
[DOCID:fr15ap08-60]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 13138-000]

Stoughton Water Power Company, LLC; Notice of Application
Accepted for Filing and Soliciting Motions To Intervene, Protests, and
Comments

April 8, 2008.
    Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection:
    a. Type of Application: Preliminary Permit.
    b. Project No.: 13138-000.
    c. Date filed: March 3, 2008.
    d. Applicant: Stoughton Water Power Company, LLC.
    e. Name of Project: Stoughton Project.
    f. Location: On the Yahara River, in Dane County, Wisconsin. The
Dam is own by the City of Stoughton, WI.
    g. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791(a)-825(r).
    h. Applicant Contact: Mr. Thomas J. Reiss, Stoughton Water Power
Company, P.O. Box 553, 319 Hart Street, Watertown, WI 53094, (9206)
261-2139.
    i. FERC Contact: Robert Bell,<PHONE_NUMBER>.
    j. Deadline for filing comments, protests, and motions to
intervene: 60 days from the issuance date of this notice.
    All documents (original and eight copies) should be filed with:
Kimberly D. Bose, Secretary, Federal Energy Regulatory Commission, 888
First Street, NE., Washington, DC 20426. Comments, protests, and
interventions may be filed electronically via the Internet in lieu of
paper; see 18 CFR 385.2001(a)(1)(iii) and the instructions on the
Commission's Web site under the

``e-Filing'' link. The Commission strongly encourages electronic
filings. Please include the project number (P-13138-000) on any
comments or motions filed.
    The Commission's Rules of Practice and Procedure require all
intervenors filing documents with the Commission to serve a copy of
that document on each person in the official service list for the
project. Further, if an intervenor files comments or documents with the
Commission relating to the merits of an issue that may affect the
responsibilities of a particular resource agency, they must also serve
a copy of the document on that resource agency.
    k. Description of Project: The proposed project would consist of:
(1) An existing 200-foot-long, 9-foot-high Stoughton Dam, (2) an
existing impoundment having a surface area of 11 acres, with a storage
capacity of 80 acre-feet and normal water surface elevation of 841.5
feet mean sea level, (3) an existing 200-foot-long power canal, (4) a
proposed power house containing two generating units having a total
installed capacity of 192 kilowatts, (5) a proposed 350-foot-long
transmission line, and (6) appurtenant facilities. The proposed project
would have an estimated average annual generation of 450 megawatt-
hours, which would be sold to a local utility.
    l. Location of Application: This filing is available for review at
the Commission in the Public Reference Room or may be viewed on the
Commission's Web site at http://www.ferc.gov using the ``eLibrary''
link. Enter the docket number excluding the last three digits in the
docket number field to access the document. For assistance, call toll-
free 1-866-208-3676 or e-mail<EMAIL_ADDRESS>For TTY, call
(202) 502-8659. A copy is also available for inspection and
reproduction at the address in item h above.
    m. Individuals desiring to be included on the Commission's mailing
list should so indicate by writing to the Secretary of the Commission.
    n. Competing Preliminary Permit--Anyone desiring to file a
competing application for preliminary permit for a proposed project
must submit the competing application itself, or a notice of intent to
file such an application, to the Commission on or before the specified
comment date for the particular application (see 18 CFR 4.36).
Submission of a timely notice of intent allows an interested person to
file the competing preliminary permit application no later than 30 days
after the specified comment date for the particular application. A
competing preliminary permit application must conform with 18 CFR
4.30(b) and 4.36.
    o. Competing Development Application--Any qualified development
applicant desiring to file a competing development application must
submit to the Commission, on or before a specified comment date for the
particular application, either a competing development application or a
notice of intent to file such an application. Submission of a timely
notice of intent to file a development application allows an interested
person to file the competing application no later than 120 days after
the specified comment date for the particular application. A competing
license application must conform with 18 CFR 4.30(b) and 4.36.
    p. Notice of Intent--A notice of intent must specify the exact
name, business address, and telephone number of the prospective
applicant, and must include an unequivocal statement of intent to
submit, if such an application may be filed, either a preliminary
permit application or a development application (specify which type of
application). A notice of intent must be served on the applicant(s)
named in this public notice.
    q. Proposed Scope of Studies Under Permit--A preliminary permit, if
issued, does not authorize construction. The term of the proposed
preliminary permit would be 36 months. The work proposed under the
preliminary permit would include economic analysis, preparation of
preliminary engineering plans, and a study of environmental impacts.
Based on the results of these studies, the Applicant would decide
whether to proceed with the preparation of a development application to
construct and operate the project.
    r. Comments, Protests, or Motions to Intervene--Anyone may submit
comments, a protest, or a motion to intervene in accordance with the
requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211,
.214. In determining the appropriate action to take, the Commission
will consider all protests or other comments filed, but only those who
file a motion to intervene in accordance with the Commission's Rules
may become a party to the proceeding. Any comments, protests, or
motions to intervene must be received on or before the specified
comment date for the particular application.
    s. Filing and Service of Responsive Documents--Any filings must
bear in all capital letters the title ``COMMENTS'', ``NOTICE OF INTENT
TO FILE COMPETING APPLICATION'', ``COMPETING APPLICATION'',
``PROTEST'', and ``MOTION TO INTERVENE'', as applicable, and the
Project Number of the particular application to which the filing
refers. Any of the above-named documents must be filed by providing the
original and the number of copies provided by the Commission's
regulations to: The Secretary, Federal Energy Regulatory Commission,
888 First Street, NE., Washington, DC 20426. An additional copy must be
sent to Director, Division of Hydropower Administration and Compliance,
Federal Energy Regulatory Commission, at the above-mentioned address. A
copy of any notice of intent, competing application or motion to
intervene must also be served upon each representative of the Applicant
specified in the particular application.
    t. Agency Comments--Federal, state, and local agencies are invited
to file comments on the described application. A copy of the
application may be obtained by agencies directly from the Applicant. If
an agency does not file comments within the time specified for filing
comments, it will be presumed to have no comments. One copy of an
agency's comments must also be sent to the Applicant's representatives.

Kimberly D. Bose,
Secretary.
[FR Doc. E8-7925 Filed 4-14-08; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register: July 31, 2009 (Volume 74, Number 146)]
[Notices]
[Page 38211-38212]
[DOCID:fr31jy09-81]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2009-N-0664]

Antiviral Drugs Advisory Committee; Notice of Meeting

AGENCY:  Food and Drug Administration, HHS.

ACTION: Notice.

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    This notice announces a forthcoming meeting of a public advisory
committee of the Food and Drug Administration (FDA). The meeting will
be open to the public.
    Name of Committee: Antiviral Drugs Advisory Committee.
    General Function of the Committee: To provide advice and
recommendations to the agency on FDA's regulatory issues.
    Date and Time: The meeting will be held on October 8, 2009, from 8
a.m. to 5 p.m.
    Location: The Inn and Conference Center, University of Maryland
University College (UMUC), 3501 University Blvd. East, Adelphi, Md. The
hotel telephone number is<PHONE_NUMBER>.
    Contact Person: Paul Tran, Center for Drug Evaluation and Research
(HFD-21), Food and Drug Administration, 5600 Fishers Lane, (for express
delivery, 5630 Fishers Lane, Rm. 1093) Rockville, MD 20857, 301-827-
7001, fax:<PHONE_NUMBER>, e-mail<EMAIL_ADDRESS>or FDA Advisory
Committee Information Line, 1-800-741-8138<PHONE_NUMBER>) in the
Washington, DC area, code<PHONE_NUMBER>. Please call the Information Line
for up-to-date information on this meeting. A notice in the Federal
Register about last minute modifications that impact a

previously announced advisory committee meeting cannot always be
published quickly enough to provide timely notice. Therefore, you
should always check the agency's Web site and call the appropriate
advisory committee hot line/phone line to learn about possible
modifications before coming to the meeting.
    Agenda: The committee will discuss an efficacy supplement for new
drug application (NDA) 022-128, maraviroc 300 milligram tablets,
Pfizer, Inc., proposing a new indication for the treatment of
antiretroviral-naive patients with chemokine (c-c motif) receptor 5
(CCR5--tropic human immunodeficiency virus (HIV).
    FDA intends to make background material available to the public no
later than 2 business days before the meeting. If FDA is unable to post
the background material on its Web site prior to the meeting, the
background material will be made publicly available at the location of
the advisory committee meeting, and the background material will be
posted on FDA's Web site after the meeting. Background material is
available at http://www.fda.gov/AdvisoryCommittees/Calendar/
default.htm. Scroll down to the appropriate advisory committee link.
    Procedure: Interested persons may present data, information, or
views, orally or in writing, on issues pending before the committee.
Written submissions may be made to the contact person on or before
September 24, 2009. Oral presentations from the public will be
scheduled between approximately 11 a.m. and 12 noon. Those desiring to
make formal oral presentations should notify the contact person and
submit a brief statement of the general nature of the evidence or
arguments they wish to present, the names and addresses of proposed
participants, and an indication of the approximate time requested to
make their presentation on or before September 16, 2009. Time allotted
for each presentation may be limited. If the number of registrants
requesting to speak is greater than can be reasonably accommodated
during the scheduled open public hearing session, FDA may conduct a
lottery to determine the speakers for the scheduled open public hearing
session. The contact person will notify interested persons regarding
their request to speak by September 17, 2009.
    Persons attending FDA's advisory committee meetings are advised
that the agency is not responsible for providing access to electrical
outlets.
    FDA welcomes the attendance of the public at its advisory committee
meetings and will make every effort to accommodate persons with
physical disabilities or special needs. If you require special
accommodations due to a disability, please contact Paul Tran at least 7
days in advance of the meeting.
    FDA is committed to the orderly conduct of its advisory committee
meetings. Please visit our Web site at http://www.fda.gov/
AdvisoryCommitttees/AboutAdvisoryCommittees/ucm111462.htm for
procedures on public conduct during advisory committee meetings.
    Notice of this meeting is given under the Federal Advisory
Committee Act (5 U.S.C. app. 2).

    Dated: July 21, 2009.
Randall W. Lutter,
Deputy Commissioner for Policy.
[FR Doc. E9-18355 Filed 7-30-09; 8:45 am]

BILLING CODE 4160-01-S


[Federal Register Volume 83, Number 245 (Friday, December 21, 2018)]
[Notices]
[Pages 65667-65668]
[FR Doc No: 2018-27587]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OECA-2014-0095; FRL-9987-67-OEI]

Information Collection Request Submitted to OMB for Review and
Approval; Comment Request; NESHAP for Source Categories: Gasoline
Distribution Bulk Terminals, Bulk Plants, Pipeline Facilities, and
Gasoline Dispensing Facilities (Renewal)

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: The Environmental Protection Agency has submitted an
information collection request (ICR), NESHAP for Source Categories:
Gasoline Distribution Bulk Terminals, Bulk Plants, Pipeline Facilities,
and Gasoline Dispensing Facilities (EPA ICR No. 2237.05, OMB Control
No. 2060-0620), to the Office of Management and Budget (OMB) for review
and approval in accordance with

the Paperwork Reduction Act. This is a proposed extension of the ICR,
which is currently approved through December 31, 2018. Public comments
were previously requested via the Federal Register June 29, 2017 during
a 60-day comment period. This notice allows for an additional 30 days
for public comments. A fuller description of the ICR is given below,
including its estimated burden and cost to the public. An agency may
neither conduct nor sponsor, and a person is not required to respond
to, a collection of information unless it displays a currently valid
OMB control number.

DATES: Additional comments may be submitted on or before January 22,
2019.

ADDRESSES: Submit your comments, referencing Docket ID Number EPA-HQ-
OECA-2014-0095, to: (1) EPA online using www.regulations.gov (our
preferred method), by email to<EMAIL_ADDRESS>or by mail to: EPA
Docket Center, Environmental Protection Agency, Mail Code 28221T, 1200
Pennsylvania Ave. NW, Washington, DC 20460; and (2) OMB via email to
<EMAIL_ADDRESS>Address comments to OMB Desk Officer for
EPA.
    EPA's policy is that all comments received will be included in the
public docket without change including any personal information
provided, unless the comment includes profanity, threats, information
claimed to be Confidential Business Information (CBI), or other
information whose disclosure is restricted by statute.

FOR FURTHER INFORMATION CONTACT: Patrick Yellin, Monitoring,
Assistance, and Media Programs Division, Office of Compliance, Mail
Code 2227A, Environmental Protection Agency, 1200 Pennsylvania Ave. NW,
Washington, DC 20460; telephone number:<PHONE_NUMBER>; fax number:
(202) 564-0050; email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Supporting documents which explain in detail
the information that the EPA will be collecting are available in the
public docket for this ICR. The docket can be viewed online at
www.regulations.gov, or in person at the EPA Docket Center, WJC West,
Room 3334, 1301 Constitution Ave. NW, Washington, DC. The telephone
number for the Docket Center is<PHONE_NUMBER>. For additional
information about EPA's public docket, visit: http://www.epa.gov/dockets.
    Abstract: The NESHAP for Source Categories: Gasoline Distribution
Bulk Terminals, Bulk Plants, Pipeline Facilities, and Gasoline
Dispensing Facilities applies to owners or operators of any existing or
new gasoline distribution facilities that are an area source of
hazardous air pollutants (HAP) emissions. In addition to the initial
notification and notification of compliance status required by the
General Provisions (40 CFR part 63, subpart A), respondents are
required to submit one-time reports of start of construction,
anticipated and actual startup dates, and physical or operational
changes to existing facilities. Reports of initial performance tests on
control devices at gasoline distribution storage tanks, loading racks,
and vapor balance systems are also required and are necessary to show
that the installed control devices are meeting the emission limitations
required by the NESHAP. Annual reports of storage tank inspections at
all affected facilities are required. In addition, respondents must
submit semiannual compliance and continuous monitoring system
performance reports, and semiannual reports of equipment leaks not
repaired within 15 days or loadings of cargo tanks for which vapor
tightness documentation is not available.
    Form Numbers: None.
    Respondents/affected entities: Gasoline distribution bulk
terminals, bulk plants, pipeline facilities, and gasoline dispensing
facilities.
    Respondent's obligation to respond: Mandatory (40 CFR part 63,
subparts BBBBBB and CCCCCC).
    Estimated number of respondents: 19,120 (total).
    Frequency of response: Initially and semiannually.
    Total estimated burden: 214,000 hours (per year). Burden is defined
at 5 CFR 1320.3(b).
    Total estimated cost: $23,500,000 (per year), which also includes
$110,000 in annualized capital/startup and/or operation & maintenance
costs.
    Changes in the Estimates: The increase in the estimated respondent
labor hours from the most-recently approved ICR is due to an
adjustment. This ICR reflects addition of burden hours to account for
the time spent by existing facilities to re-familiarize themselves
annually with the rule requirements.

Courtney Kerwin,
Director, Regulatory Support Division.
[FR Doc. 2018-27587 Filed 12-20-18; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register Volume 85, Number 116 (Tuesday, June 16, 2020)]
[Notices]
[Pages 36450-36456]
[FR Doc No: 2020-12896]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-89042; File No. 4-618]

Program for Allocation of Regulatory Responsibilities Pursuant to
Rule 17d-2; Notice of Filing and Order Approving and Declaring
Effective an Amendment to the Plan for the Allocation of Regulatory
Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange,
Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc.,
NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc.,
Financial Industry Regulatory Authority, Inc., Long-Term Stock
Exchange, Inc., MEMX LLC, Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq
MRX, LLC, Investors Exchange LLC, Miami International Securities
Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock
Market LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, NYSE National, Inc., New
York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.
Concerning Covered Regulation NMS and Consolidated Audit Trail Rules

June 10, 2020.
    Notice is hereby given that the Securities and Exchange Commission
(``Commission'') has issued an Order, pursuant to Section 17(d) of the
Securities Exchange Act of 1934 (``Act''),\1\ approving and declaring
effective an amendment to the plan for allocating regulatory
responsibility (``Plan'') filed on May 19, 2020, pursuant to Rule 17d-2
of the Act,\2\ by Cboe BZX Exchange, Inc. (``BZX''), Cboe BYX Exchange,
Inc. (``BATS Y''), BOX Exchange LLC (``BOX''), Cboe Exchange, Inc.
(``Cboe''), Cboe C2 Exchange, Inc. (``C2''), NYSE Chicago, Inc.
(``CHX''), Cboe EDGA Exchange, Inc. (``EDGA''), Cboe EDGX Exchange,
Inc. (``EDGX''), Financial Industry Regulatory Authority, Inc.
(``FINRA''), Long-Term Stock Exchange, Inc. (``LTSE''), MEMX LLC
(``MEMX''), Nasdaq ISE, LLC (``ISE''), Nasdaq GEMX, LLC (``GEMX''),
Nasdaq MRX, LLC (``MRX''), Investors Exchange LLC (``IEX''), Miami
International Securities Exchange, LLC (``MIAX''), MIAX PEARL, LLC
(``MIAX PEARL''), MIAX Emerald, LLC (``MIAX Emerald''), The Nasdaq
Stock Market LLC (``Nasdaq''), Nasdaq BX, Inc. (``BX''), Nasdaq PHLX
LLC (``PHLX''), NYSE National, Inc. (``NYSE National''), New York Stock
Exchange LLC (``NYSE''), NYSE American LLC (``NYSE American''), and
NYSE Arca, Inc. (``NYSE Arca'') (each, a ``Participating
Organization,'' and, together, the ``Participating Organizations'' or
the ``Parties''). This Agreement amends and restates the agreement by
and among the Participating Organizations approved by the Commission on
March 12, 2020.\3\
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    \1\ 15 U.S.C. 78q(d).
    \2\ 17 CFR 240.17d-2.
    \3\ See Securities Exchange Act Release No. 88366, 85 FR 15238
(March 17, 2020).
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I. Introduction

    Section 19(g)(1) of the Act,\4\ 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.\5\ 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.
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    \4\ 15 U.S.C. 78s(g)(1).
    \5\ 15 U.S.C. 78q(d) and 15 U.S.C. 78s(g)(2), respectively.
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    Section 17(d)(1) of the Act \6\ was intended, in part, to eliminate
unnecessary multiple examinations and regulatory duplication.\7\ 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.
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    \6\ 15 U.S.C. 78q(d)(1).
    \7\ 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).
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    To implement Section 17(d)(1), the Commission adopted two rules:
Rule 17d-1 and Rule 17d-2 under the Act.\8\ 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.\9\ 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.
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    \8\ 17 CFR 240.17d-1 and 17 CFR 240.17d-2, respectively.
    \9\ See Securities Exchange Act Release No. 12352 (April 20,
1976), 41 FR 18808 (May 7, 1976).
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    To address regulatory duplication in these and other areas, the
Commission adopted Rule 17d-2 under the Act.\10\ 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.
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    \10\ See Securities Exchange Act Release No. 12935 (October 28,
1976), 41 FR 49091 (November 8, 1976).
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II. The Plan

    On December 3, 2010, the Commission approved the SRO participants'
plan for allocating regulatory responsibilities pursuant to Rule 17d-
2.\11\ On October 29, 2015, the Commission approved an amended plan
that added Regulation NMS Rules 606, 607, and 611(c) and (d) and added
additional Participating Organizations that are options markets to the
Plan.\12\ On August 11, 2016, the Commission approved an amended plan
that added IEX and ISE Mercury as Participating Organizations.\13\ On
February 2, 2017, the Commission approved an amended plan that added
MIAX PEARL as a Participating Organization.\14\ On February 4, 2019,
the Commission approved an amended plan that added MIAX Emerald as a
Participating Organization and reflected name changes of certain
Participating Organizations.\15\ On July 25, 2019, the Commission
approved an amended plan that added LTSE as a Participating
Organization and reflected name changes of certain Participating
Organizations.\16\ On March 12, 2020, the Commission approved an
amended plan that added Rule 613 under the Act and the rules of each
Participating Organization related to Rule 613 listed on Exhibit A to
the Plan, and reflected the name change of Nasdaq PHLX, Inc. to Nasdaq
PHLX LLC.\17\
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    \11\ See Securities Exchange Act Release No. 63430, 75 FR 76758
(December 9, 2010).
    \12\ See Securities Exchange Act Release No. 76311, 80 FR 68377
(November 4, 2015).
    \13\ See Securities Exchange Act Release No. 78552, 81 FR 54905
(August 17, 2016).
    \14\ See Securities Exchange Act Release No. 79928, 82 FR 9814
(February 8, 2017).
    \15\ See Securities Exchange Act Release No. 85046, 84 FR 2643
(February 7, 2019).
    \16\ See Securities Exchange Act Release No. 86470, 84 FR 37363
(July 31, 2019).
    \17\ See Securities Exchange Act Release No. 88366, 85 FR 15238
(March 17, 2020).
---------------------------------------------------------------------------

    The proposed 17d-2 Plan is intended to reduce regulatory
duplication for firms that are members of more than one Participating
Organization.\18\ The Plan provides for the allocation of regulatory
responsibility according to whether the covered rule pertains to NMS
stocks or NMS securities. For covered rules that pertain to NMS stocks
(i.e., Rules 607, 611, and 612), FINRA serves as the ``Designated
Regulation NMS Examining Authority'' (``DREA'') for common members that
are members of FINRA, and assumes certain examination and enforcement
responsibilities for those members with respect to specified Regulation
NMS rules. For common members that are not members of FINRA, the
member's DEA serves as the DREA and ``Designated CAT Surveillance
Authority (``DCSA''), provided that the DEA exchange operates a
national securities exchange or facility that trades NMS stocks and the
common member is a member of such exchange or facility. Section 2(c) of
the Plan contains a list of principles that are applicable to the
allocation of common members in cases not specifically addressed in the
Plan. An exchange that does not trade NMS stocks would have no
regulatory authority for covered Regulation NMS rules pertaining to NMS
stocks. For covered rules that pertain to NMS securities, and thus
include options (i.e., Rule 606, Rule 613 and the SRO Covered CAT
Rules), the Plan provides that the DREA will be the same as the DREA
for the rules pertaining to NMS stocks and will serve as the DCSA. For
common members that are not members of an exchange that trades NMS
stocks, the common member would be allocated according to the
principles set forth in Section 2(c) of the Plan.
---------------------------------------------------------------------------

    \18\ The proposed 17d-2 Plan refers to these members as ``Common
Members.''
---------------------------------------------------------------------------

    The text of the Plan delineates the proposed regulatory
responsibilities with respect to the Parties. Included in the proposed
Plan is an exhibit (the ``Covered Rules'') that lists the federal
securities laws, rules, and regulations, for which the applicable DREA
would bear examination and enforcement responsibility, and for which
the applicable DCSA would bear surveillance, investigation, and
enforcement responsibility, under the Plan for common members of the
Participating Organization and their associated persons.
    Specifically, the applicable DREA assumes examination and
enforcement responsibility, and the applicable DCSA assumes
surveillance, investigation, and enforcement responsibility, relating
to compliance by common members with the Covered Rules. Covered Rules
do not include the application of any rule of a Participating
Organization, or any rule or regulation under the Act, to the extent
that it pertains to violations of insider trading activities, because
such matters are covered by a separate multiparty agreement under Rule
17d-2.\19\ Under the Plan, Participating Organizations retain full
responsibility for surveillance and enforcement with respect to trading
activities or practices involving their own marketplace.\20\
---------------------------------------------------------------------------

    \19\ See Securities Exchange Act Release No. 88948 (May 26,
2020), 85 FR 33239 (June 1, 2020) (File No. 4-566) (notice of filing
and order approving and declaring effective an amendment to the
insider trading 17d-2 plan).
    \20\ See paragraph 3 of the Plan.
---------------------------------------------------------------------------

III. Proposed Amendment to the Plan

    On May 19, 2020, the parties submitted a proposed amendment to the
Plan. The primary purpose of the amendment is to add MEMX as a
Participant to the Plan.
    The text of the proposed amended 17d-2 Plan is as follows
(additions are in italics; deletions are in brackets):
* * * * *

Agreement for the Allocation of Regulatory Responsibility for the
Covered Regulation NMS and Consolidated Audit Trail Rules Pursuant to
Sec.  17(d) of the Securities Exchange Act of 1934, 15 U.S.C. 78q(d),
and Rule 17d-2 Thereunder

    This agreement (the ``Agreement'') by and among Cboe BZX Exchange,
Inc. (``BZX''), Cboe BYX Exchange, Inc. (``BATS Y''), BOX Exchange LLC

(``BOX''), Cboe Exchange, Inc. (``Cboe''), Cboe C2 Exchange, Inc.
(``C2''), NYSE Chicago, Inc. (``CHX''), Cboe EDGA Exchange, Inc.
(``EDGA''), Cboe EDGX Exchange, Inc. (``EDGX''), Financial Industry
Regulatory Authority, Inc. (``FINRA''), MEMX LLC (``MEMX''), Nasdaq
ISE, LLC (``ISE''), Nasdaq GEMX, LLC (``GEMX''), Nasdaq MRX, LLC
(``MRX''), Investors Exchange LLC (``IEX''), Miami International
Securities Exchange, LLC (``MIAX''), MIAX PEARL, LLC (``MIAX PEARL''),
MIAX Emerald, LLC (``MIAX Emerald''), The Nasdaq Stock Market LLC
(``Nasdaq''), Nasdaq BX, Inc. (``BX''), Nasdaq PHLX LLC (``PHLX''),
NYSE National, Inc. (``NYSE National''), New York Stock Exchange LLC
(``NYSE''), NYSE American LLC (``NYSE American''), NYSE Arca, Inc.
(``NYSE Arca'') and Long-Term Stock Exchange, Inc. (``LTSE'') (each, a
``Participating Organization,'' and, together, the ``Participating
Organizations''), is made pursuant to Sec.  17(d) of the Securities
Exchange Act of 1934 (the ``Act'' or ``SEA''), 15 U.S.C. 78q(d), and
Rule 17d-2 thereunder, which allow for plans to allocate regulatory
responsibility among self-regulatory organizations (``SROs''). Upon
approval by the Securities and Exchange Commission (``Commission'' or
``SEC''), this Agreement shall amend and restate the agreement by and
among the Participating Organizations approved by the SEC on [July 25,
2019] March 12, 2020.
    Whereas, the Participating Organizations desire to: (a) Foster
cooperation and coordination among the SROs; (b) remove impediments to,
and foster the development of, a national market system; (c) strive to
protect the interest of investors; (d) eliminate duplication in their
examination and enforcement of (i) SEA Rules 606, 607, 611, 612 and 613
(the ``Covered Regulation NMS Rules'') and (ii) rules of each
Participating Organization related to SEA Rule 613 listed on Exhibit A
hereto (``SRO Covered CAT Rules,'' together with the Covered Regulation
NMS Rules, collectively, the ``Covered Rules'') and (e) eliminate
duplication in their surveillance, examination, investigation and
enforcement of SEA Rule 613 and the SRO Covered CAT Rules;
    Whereas, the Participating Organizations are interested in
allocating regulatory responsibilities with respect to broker-dealers
that are members of more than one Participating Organization (the
``Common Members'') relating to the examination and enforcement of the
Covered Rules and the surveillance, examination, investigation and
enforcement of SEA Rule 613 and the SRO Covered CAT Rules; and
    Whereas, the Participating Organizations will request regulatory
allocation of these regulatory responsibilities by executing and filing
with the SEC this plan for the above stated purposes pursuant to the
provisions of Sec.  17(d) of the Act, and Rule 17d-2 thereunder, as
described below.
    Now, therefore, in consideration of the mutual covenants contained
hereafter, and other valuable consideration to be mutually exchanged,
the Participating Organizations hereby agree as follows:
    1. Assumption of Surveillance Responsibility. The Designated CAT
Surveillance Authority (the ``DCSA'') shall assume surveillance,
investigation and enforcement responsibility relating to compliance by
Common Members with SEA Rule 613 and the SRO Covered CAT Rules listed
on Exhibit A (``Surveillance Responsibility''). Included in the
Surveillance Responsibility assumed hereunder the DCSA shall perform
investigations and enforcement resulting from reports and metrics
concerning potentially non-compliant CAT reporting generated by the
Plan Processor for the National Market System Plan Governing the
Consolidated Audit Trail and as provided for in the Monitoring CAT
Reporter Compliance Policy (dated August 13, 2019 and as amended from
time to time) relating to Common Members. FINRA shall serve as DCSA for
Common Members that are members of FINRA. The DREA allocated below
shall serve as DCSA for Common Members that are not members of FINRA.
    2. Assumption of Examination Responsibility. The Designated
Regulation NMS Examining Authority (the ``DREA'') shall assume
examination and enforcement responsibilities relating to compliance by
Common Members with the Covered Rules to which the DREA is allocated
responsibility (``Examination Responsibility''). A list of the Covered
Rules is attached hereto as Exhibit A.
    a. For Covered Regulation NMS Rules Pertaining to ``NMS stocks''
(as defined in Regulation NMS) (i.e., Rules 607, 611 and 612): FINRA
shall serve as DREA for Common Members that are members of FINRA. The
Designated Examining Authority (``DEA'') pursuant to SEA Rule 17d-1
shall serve as DREA (and accordingly as DCSA as provided in paragraph 1
above) for Common Members that are not members of FINRA, provided that
the DEA operates a national securities exchange or facility that trades
NMS stocks and the Common Member is a member of such exchange or
facility. For all other Common Members, the Participating Organizations
shall allocate Common Members among the Participating Organizations
(other than FINRA) that operate a national securities exchange that
trades NMS stocks based on the principles outlined below and the
Participating Organization to which such a Common Member is allocated
shall serve as the DREA for that Common Member. (A Participating
Organization that operates a national securities exchange that does not
trade NMS stocks has no regulatory responsibilities related to Covered
Regulation NMS Rules pertainining to NMS stocks and will not serve as
DREA for such Covered Regulation NMS Rules.)
    b. For Covered Regulation NMS Rules Pertaining to ``NMS
securities'' (as defined in Regulation NMS) (i.e., Rule 606 and Rule
613) and the SRO Covered CAT Rules listed on Exhibit A hereto, the DREA
shall be the same as the DREA for Covered Regulation NMS Rules
pertaining to NMS stocks (and shall serve as the DCSA in paragraph 1
above). For Common Members that are not members of a national
securities exchange that trades NMS stocks and thus have not been
appointed a DREA under paragraph a., the Participating Organizations
shall allocate the Common Members among the Participating Organizations
(other than FINRA) that operate a national securities exchange that
trades NMS securities based on the principles outlined below and the
Participating Organization to which such a Common Member is allocated
shall serve as the DREA for that Common Member with respect to Covered
Regulation NMS Rules pertaining to NMS securities. The allocation of
Common Members to DREAs (including FINRA) and accordingly to serve as
DCSA in paragraph 1 above for all Covered Rules is provided in Exhibit
B.
    c. For purposes of this paragraph 2, any allocation of a Common
Member to a Participating Organization other than as specified in
paragraphs a. and b. above shall be based on the following principles,
except to the extent all affected Participating Organizations consent
to one or more different principles and any such agreement to different
principles would be deemed an amendment to this Agreement as provided
in paragraph 24:
    i. The Participating Organizations shall not allocate a Common
Member to a Participating Organization unless the

Common Member is a member of that Participating Organization.
    ii. To the extent practicable, Common Members shall be allocated
among the Participating Organizations of which they are members in such
a manner as to equalize, as nearly as possible, the allocation among
such Participating Organizations.
    iii. To the extent practicable, the allocation will take into
account the amount of NMS stock activity (or NMS security activity, as
applicable) conducted by each Common Member in order to most evenly
divide the Common Members with the largest amount of activity among the
Participating Organizations of which they are members. The allocation
will also take into account similar allocations pursuant to other plans
or agreements to which the Participating Organizations are party to
maintain consistency in oversight of the Common Members.\1\
---------------------------------------------------------------------------

    \1\ For example, if one Participating Organization was allocated
responsibility for a particular Common Member pursuant to a separate
Rule 17d-2 Agreement, that Participant Organization would be
assigned to be the DREA of that Common Member, unless there is good
cause not to make that assignment.
---------------------------------------------------------------------------

    iv. The Participating Organizations may reallocate Common Members
from time-to-time and in such manner as they deem appropriate
consistent with the terms of this Agreement.
    v. Whenever a Common Member ceases to be a member of its DREA
(including FINRA), the DREA shall promptly inform the Participating
Organizations, who shall review the matter and reallocate the Common
Member to another Participating Organization.
    vi. The DEA or DREA (including FINRA) may request that a Common
Member be reallocated to another Participating Organization (including
the DEA or DREA (including FINRA)) by giving 30 days written notice to
the Participating Organizations. The Participating Organizations shall
promptly consider such request and, in their discretion, may approve or
disapprove such request and if approved, reallocate the Common Member
to such Participating Organization.
    vii. All determinations by the Participating Organizations with
respect to allocations shall be by the affirmative vote of a majority
of the Participating Organizations that, at the time of such
determination, share the applicable Common Member being allocated; a
Participating Organization shall not be entitled to vote on any
allocation related to a Common Member unless the Common Member is a
member of such Participating Organization.
    d. The Participating Organizations agree that they shall conduct
meetings among them as needed for the purposes of ensuring proper
allocation of Common Members and identifying issues or concerns with
respect to the regulation of Common Members. To promote consistency in
connection with regulation of Common Members, the Participating
Organizations further agree to conduct meetings to discuss the
overarching principles as to how Covered Rules, in particular SEA Rule
613 and the SRO Covered CAT Rules, should be surveilled, examined,
investigated and enforced. On an ongoing basis, the Participating
Organizations agree to consult with and solicit input from the
Participating Organizations regarding their surveillance, examination,
investigation and enforcement programs regarding SEA Rule 613 and the
SRO Covered CAT Rules. In particular, FINRA will consult with
Participating Organizations prior to finalizing its disposition and
sanctions guidelines with respect to violations of SEA Rule 613 and the
SRO Covered CAT Rules. Further, in the period preceding the full
implementation of CAT for equities and options securities, FINRA will
consult with other Participating Organizations prior to finalizing
dispositions other than no further action that involve their Common
Members.
    e. By signing this Agreement, the Participating Organizations
hereby certify that the list of SRO Covered CAT Rules listed on Exhibit
A hereto are correct and are identical or substantially similar to each
other.
    f. Each year following the commencement date of operation of this
Agreement, or more frequently if required by changes in any of the SRO
Covered CAT Rules, each Participating Organization shall submit an
updated list of SRO Covered CAT Rules to FINRA for review which shall
(1) add SRO Covered CAT Rules not included in the current list of SRO
Covered CAT Rules that are substantially similar to each other; (2)
delete SRO Covered CAT Rules included in the current list that are no
longer substantially similar; and (3) confirm that the remaining rules
on the current list of SRO Covered CAT Rules continue to be
substantially similar. FINRA shall review each Participating
Organization's annual certification and confirm whether FINRA agrees
with the submitted certified and updated list of SRO Covered CAT Rules.
The DREA/DCSA shall not have Regulatory Responsibility for any
provision in a SRO Covered CAT Rule provision requiring a member of a
Participating Organization to provide notice, reports or any other
filings directly to a Participating Organization.
    3. Scope of Responsibility. Notwithstanding anything herein to the
contrary, it is explicitly understood that the terms ``Surveillance
Responsibility'' and ``Examination Responsibility'' (collectively
referred to herein as the ``Regulatory Responsibility'') do not include
any responsibilities beyond those concerning the Covered Rules, and
each of the Participating Organizations shall retain full
responsibility for examination, surveillance and enforcement with
respect to trading activities or practices involving its own
marketplace unless otherwise allocated pursuant to a separate Rule 17d-
2 Agreement. The allocation of DCSA Responsibility to a Participating
Organization shall not limit another Participating Organization's
ability to utilize data from the Consolidated Audit Trail to perform
examination, surveillance, investigative, enforcement or other
regulatory work concerning potential or identified violations of
statutes or rules other than the SRO Covered CAT Rules.
    4. No Retention of Regulatory Responsibility. The Participating
Organizations do not contemplate the retention of any responsibilities
with respect to the regulatory activities being assumed by the DREA/
DCSA under the terms of this Agreement. Nothing in this Agreement will
be interpreted to prevent a DREA/DCSA from entering into Regulatory
Services Agreement(s) to perform its Regulatory Responsibility.
    5. No Charge. A DREA/DCSA shall not charge Participating
Organizations for performing the Regulatory Responsibility under this
Agreement.
    6. Applicability of Certain Laws, Rules, Regulations or Orders.
Notwithstanding any provision hereof, this Agreement shall be subject
to any statute, or any rule or order of the SEC. To the extent such
statute, rule, or order is inconsistent with one or more provisions of
this Agreement, the statute, rule, or order shall supersede the
provision(s) hereof to the extent necessary to be properly effectuated
and the provision(s) hereof in that respect shall be null and void.
    7. Customer Complaints. If a Participating Organization receives a
copy of a customer complaint relating to a DREA's/DCSA's Regulatory
Responsibility as set forth in this Agreement, the Participating
Organization shall promptly forward to such DREA/DCSA a copy of such
customer complaint. It shall be such DREA's/DCSA's responsibility to
review

and take appropriate action in respect to such complaint.
    8. Parties to Make Personnel Available as Witnesses. Each
Participating Organization shall make its personnel available to the
DREA/DCSA to serve as testimonial or non-testimonial witnesses as
necessary to assist the DREA/DCSA in fulfilling the Regulatory
Responsibility allocated under this Agreement. The DREA/DCSA shall
provide reasonable advance notice when practicable and shall work with
a Participating Organization to accommodate reasonable scheduling
conflicts within the context and demands as the entity with ultimate
regulatory responsibility. The Participating Organization shall pay all
reasonable travel and other expenses incurred by its employees to the
extent that the DREA/DCSA requires such employees to serve as
witnesses, and provide information or other assistance pursuant to this
Agreement.
    9. Sharing of Work-Papers, Data and Related Information.
    a. Sharing. A Participating Organization shall make available to
the DREA/DCSA information necessary to assist the DREA/DCSA in
fulfilling the Regulatory Responsibility assumed under the terms of
this Agreement. Such information shall include any information
collected by a Participating Organization in the course of performing
its regulatory obligations under the Act, including information
relating to an on-going disciplinary investigation or action against a
member, the amount of a fine imposed on a member, financial
information, or information regarding proprietary trading systems
gained in the course of examining a member (``Regulatory
Information''). This Regulatory Information shall be used by the DREA/
DCSA solely for the purposes of fulfilling the DREA's/DCSA's Regulatory
Responsibility.
    b. No Waiver of Privilege. The sharing of documents or information
between the parties pursuant to this Agreement shall not be deemed a
waiver as against third parties of regulatory or other privileges
relating to the discovery of documents or information.
    10. Special or Cause Examinations and Enforcement Proceedings.
Nothing in this Agreement shall restrict or in any way encumber the
right of a Participating Organization to conduct special or cause
examinations of a Common Member, or take enforcement proceedings
against a Common Member as a Participating Organization, in its sole
discretion, shall deem appropriate or necessary.
    11. Dispute Resolution Under This Agreement.
    a. Negotiation. The Participating Organizations will attempt to
resolve any disputes through good faith negotiation and discussion,
escalating such discussion up through the appropriate management levels
until reaching the executive management level. In the event a dispute
cannot be settled through these means, the Participating Organizations
shall refer the dispute to binding arbitration.
    b. Binding Arbitration. All claims, disputes, controversies, and
other matters in question between the Participating Organizations to
this Agreement arising out of or relating to this Agreement or the
breach thereof that cannot be resolved by the Participating
Organizations will be resolved through binding arbitration. Unless
otherwise agreed by the Participating Organizations, a dispute
submitted to binding arbitration pursuant to this paragraph shall be
resolved using the following procedures:
    (i) The arbitration shall be conducted in a city selected by the
DREA/DCSA in which it maintains a principal office or where otherwise
agreed to by the Participating Organizations in accordance with the
Commercial Arbitration Rules of the American Arbitration Association
and judgment upon the award rendered by the arbitrator may be entered
in any court having jurisdiction thereof; and
    (ii) There shall be three arbitrators, and the chairperson of the
arbitration panel shall be an attorney. The arbitrators shall be
appointed in accordance with the Commercial Arbitration Rules of the
American Arbitration Association.
    12. Limitation of Liability. As between the Participating
Organizations, no Participating Organization, including its respective
directors, governors, officers, employees and agents, will be liable to
any other Participating Organization, or its directors, governors,
officers, employees and agents, for any liability, loss or damage
resulting from any delays, inaccuracies, errors or omissions with
respect to its performing or failing to perform regulatory
responsibilities, obligations, or functions, except: (a) As otherwise
provided for under the Act; (b) in instances of a Participating
Organization's gross negligence, willful misconduct or reckless
disregard with respect to another Participating Organization; or (c) in
instances of a breach of confidentiality obligations owed to another
Participating Organization. The Participating Organizations understand
and agree that the regulatory responsibilities are being performed on a
good faith and best effort basis and no warranties, express or implied,
are made by any Participating Organization to any other Participating
Organization with respect to any of the responsibilities to be
performed hereunder. This paragraph is not intended to create liability
of any Participating Organization to any third party.
    13. SEC Approval.
    a. The Participating Organizations agree to file promptly this
Agreement with the SEC for its review and approval. FINRA shall file
this Agreement on behalf, and with the explicit consent, of all
Participating Organizations.
    b. If approved by the SEC, the Participating Organizations will
notify their members of the general terms of the Agreement and of its
impact on their members.
    14. Subsequent Parties; Limited Relationship. This Agreement shall
inure to the benefit of and shall be binding upon the Participating
Organizations hereto and their respective legal representatives,
successors, and assigns. Nothing in this Agreement, expressed or
implied, is intended or shall: (a) Confer on any person other than the
Participating Organizations hereto, or their respective legal
representatives, successors, and assigns, any rights, remedies,
obligations or liabilities under or by reason of this Agreement, (b)
constitute the Participating Organizations hereto partners or
participants in a joint venture, or (c) appoint one Participating
Organization the agent of the other.
    15. Assignment. No Participating Organization may assign this
Agreement without the prior written consent of the DREAs/DCSAs
performing Regulatory Responsibility on behalf of such Participating
Organization, which consent shall not be unreasonably withheld,
conditioned or delayed; provided, however, that any Participating
Organization may assign the Agreement to a corporation controlling,
controlled by or under common control with the Participating
Organization without the prior written consent of such Participating
Organization's DREAs/DCSAs. No assignment shall be effective without
Commission approval.
    16. Severability. Any term or provision of this Agreement that is
invalid or unenforceable in any jurisdiction shall, as to such
jurisdiction, be ineffective to the extent of such invalidity or
unenforceability without rendering invalid or unenforceable the
remaining terms and

provisions of this Agreement or affecting the validity or
enforceability of any of the terms or provisions of this Agreement in
any other jurisdiction.
    17. Termination. Any Participating Organization may cancel its
participation in the Agreement at any time upon the approval of the
Commission after 180 days written notice to the other Participating
Organizations (or in the case of a change of control in ownership of a
Participating Organization, such other notice time period as that
Participating Organization may choose). The cancellation of its
participation in this Agreement by any Participating Organization shall
not terminate this Agreement as to the remaining Participating
Organizations.
    18. General. The Participating Organizations agree to perform all
acts and execute all supplementary instruments or documents that may be
reasonably necessary or desirable to carry out the provisions of this
Agreement.
    19. Written Notice. Any written notice required or permitted to be
given under this Agreement shall be deemed given if sent by certified
mail, return receipt requested, or by a comparable means of electronic
communication to each Participating Organization entitled to receipt
thereof, to the attention of the Participating Organization's
representative at the Participating Organization's then principal
office or by email.
    20. Confidentiality. The Participating Organizations agree that
documents or information shared shall be held in confidence, and used
only for the purposes of carrying out their respective regulatory
obligations under this Agreement, provided, however, that each
Participating Organization may disclose such documents or information
as may be required to comply with applicable regulatory requirements or
requests for information from the SEC. Any Participating Organization
disclosing confidential documents or information in compliance with
applicable regulatory or oversight requirements will request
confidential treatment of such information. No Participating
Organization shall assert regulatory or other privileges as against the
other with respect to Regulatory Information that is required to be
shared pursuant to this Agreement.
    21. Regulatory Responsibility. Pursuant to Section 17(d)(1)(A) of
the Act, and Rule 17d-2 thereunder, the Participating Organizations
request the SEC, upon its approval of this Agreement, to relieve the
Participating Organizations which are participants in this Agreement
that are not the DREA or DCSA as to a Common Member of any and all
responsibilities with respect to the matters allocated to the DREA or
DCSA pursuant to this Agreement for purposes of Sec. Sec.  17(d) and
19(g) of the Act.
    22. Governing Law. This Agreement shall be deemed to have been made
in the State of New York, and shall be construed and enforced in
accordance with the law of the State of New York, without reference to
principles of conflicts of laws thereof. Each of the Participating
Organizations hereby consents to submit to the jurisdiction of the
courts of the State of New York in connection with any action or
proceeding relating to this Agreement.
    23. Survival of Provisions. Provisions intended by their terms or
context to survive and continue notwithstanding delivery of the
regulatory services by the DREA/DCSA and any expiration of this
Agreement shall survive and continue.
    24. Amendment.
    a. This Agreement may be amended to add a new Participating
Organization, provided that such Participating Organization does not
assume regulatory responsibility, by an amendment executed by all
applicable DREAs/DCSAs and such new Participating Organization. All
other Participating Organizations expressly consent to allow such
DREAs/DCSAs to jointly add new Participating Organizations to the
Agreement as provided above. Such DREAs/DCSAs will promptly notify all
Participating Organizations of any such amendments to add a new
Participating Organization.
    b. All other amendments must be approved by each Participating
Organization. All amendments, including adding a new Participating
Organization but excluding changes to Exhibit B, must be filed with and
approved by the Commission before they become effective.
    25. Effective Date. The Effective Date of this Agreement will be
the date the SEC declares this Agreement to be effective pursuant to
authority conferred by Sec.  17(d) of the Act, and Rule 17d-2
thereunder.
    26. Counterparts. This Agreement may be executed in any number of
counterparts, including facsimile, each of which will be deemed an
original, but all of which taken together shall constitute one single
agreement among the Participating Organizations.
* * * * *

Exhibit A

Covered Rules

Covered Regulation NMS Rules

    SEA Rule 606--Disclosure of Order Routing Information.*
    SEA Rule 607--Customer Account Statements.
    SEA Rule 611--Order Protection Rule.
    SEA Rule 612--Minimum Pricing Increment.
    SEA Rule 613(g)(2)--Consolidated Audit Trail.*
    * Covered Regulation NMS Rules with asterisks (*) pertain to NMS
securities. Covered Regulation NMS Rules without asterisks pertain to
NMS stocks.

SRO Covered CAT Rules

BZX--Rules 4.5-4.16
BATS--Y- Rules 4.5-4.16
BOX--Rules 16020-16095
Cboe--Rules 7.20-7.31[2]

C2--[Chapter 6, Section F] Chapter 7, Section B (Only With Respect to
Incorporation of Cboe Rules 7.20-7.31

EDGA--Rules 4.5-4.16
EDGX--Rules 4.5-4.16
FINRA--Rules 6810-6895
IEX--Rules 11.610-11.695

MEMX Rules 4.5-4.16

MIAX--Rules 1701-1712
MIAX PEARL--Rules 1701-1712
MIAX Emerald--Rules 1701-1712
Nasdaq--General 7, Sections 1-13
BX Equities Rules--General 7
PHLX--General 7
ISE--General 7
GEMX--General 7
MRX--General 7
NYSE--Rules 6810-6895
NYSE Arca -Rules--11.6810-11.6895
NYSE American--Rules 6810-6895
NYSE Chicago--Rules 6810-6895
NYSE National--Rules 6.6810-6.6895
LTSE--Rules 11.610-11.695

IV. Solicitation of Comments

    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/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number 4-618 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 4-618. This file number
should be included on the subject line if email is used. To help the
Commission process and review your comments more efficiently, please
use only one method. The Commission will post all comments on the
Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed 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 website viewing and printing in the
Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the plan also will be available for inspection and
copying at the principal offices of the Participating Organizations.
All comments received will be posted without change. Persons submitting
comments are cautioned that we do not redact or edit personal
identifying information from comment submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File Number 4-618 and should be submitted
on or before July 7, 2020.

V. Discussion

    The Commission finds that the Plan, as amended, is consistent with
the factors set forth in Section 17(d) of the Act \21\ and Rule 17d-
2(c) thereunder \22\ in that the proposed amended Plan is necessary or
appropriate in the public interest and for the protection of investors,
fosters cooperation and coordination among SROs, and removes
impediments to and fosters the development of the national market
system. In particular, the Commission believes that the proposed
amended Plan should reduce unnecessary regulatory duplication by
allocating to the applicable DREA certain examination and enforcement
responsibilities, and to the applicable DCSA certain surveillance,
investigation, and enforcement responsibilities, for Common Members
that would otherwise be performed by multiple Parties. Accordingly, the
proposed amended Plan promotes efficiency by reducing costs to Common
Members. Furthermore, because the Parties will coordinate their
regulatory functions in accordance with the proposed amended Plan, the
amended Plan should promote investor protection.
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    \21\ 15 U.S.C. 78q(d).
    \22\ 17 CFR 240.17d-2(c).
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    The Commission is hereby declaring effective a plan that allocates
regulatory responsibility for certain provisions of the federal
securities laws, rules, and regulations as set forth in Exhibit A to
the Plan. The Commission notes that any amendment to the Plan must be
approved by the relevant Parties as set forth in Paragraph 24 of the
Plan and must be filed with and approved by the Commission before it
may become effective.\23\
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    \23\ See Paragraph 24 of the Plan. The Commission notes,
however, that changes to Exhibit B to the Plan (the allocation of
Common Members to DREAs) are not required to be filed with, and
approved by, the Commission before they become effective.
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    Under paragraph (c) of Rule 17d-2, the Commission may, after
appropriate notice and comment, declare a plan, or any part of a plan,
effective. In this instance, the Commission believes that appropriate
notice and comment can take place after the proposed amendment is
effective. In particular, the purpose of the amendment is to add MEMX
as a Participating Organization. The Commission notes that the most
recent prior amendment to the Plan was published for comment and the
Commission did not receive any comments thereon.\24\ The Commission
believes that the current amendment to the Plan does not raise any new
regulatory issues that the Commission has not previously considered,
and therefore believes that the amended Plan should become effective
without any undue delay.
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    \24\ See Securities Exchange Act Release No. 88366 (March 12,
2020), 85 FR 15238 (March 17, 2020).
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VI. Conclusion

    This Order gives effect to the Plan filed with the Commission in
File No. 4-618. The Parties shall notify all members affected by the
Plan of their rights and obligations under the Plan.
    It is therefore ordered, pursuant to Section 17(d) of the Act, that
the Plan in File No. 4-618 is hereby approved and declared effective.
    It is further ordered that the Parties who are not the DREA or DCSA
as to a particular Common Member are relieved of those regulatory
responsibilities allocated to the Common Member's DREA or DCSA under
the Plan to the extent of such allocation.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\25\
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    \25\ 17 CFR 200.30-3(a)(34).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-12896 Filed 6-15-20; 8:45 am]
BILLING CODE 8011-01-P