[Federal Register Volume 83, Number 23 (Friday, February 2, 2018)]
[Notices]
[Pages 4936-4938]
[FR Doc No: 2018-02126]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-82598; File No. SR-GEMX-2018-02]

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Relocate the
Consolidated Audit Trail Compliance Rules

January 30, 2018.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on January 24, 2018, Nasdaq GEMX, LLC (``GEMX'' or ``Exchange'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I and II below, which Items
have been prepared by the Exchange. The Commission is publishing this
notice to solicit comments on the proposed rule change from interested
persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to relocate the Consolidated Audit Trail
Compliance rules (``CAT Rules''), currently under Chapter 9, Rules 900
through 912, to General 7, Sections 1 through 13 in the Exchange's
rulebook's (``Rulebook'') shell structure.\3\
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    \3\ Recently, the Exchange added a shell structure to its
Rulebook with the purpose of improving efficiency and readability
and to align its rules closer to those of its five sister exchanges,
The Nasdaq Stock Market LLC; Nasdaq BX, Inc.; Nasdaq PHLX LLC;
Nasdaq ISE, LLC; and Nasdaq MRX, LLC (``Affiliated Exchanges''). See
Securities Exchange Act Release No. 82171 (November 29, 2017), 82 FR
57516 (December 5, 2017) (SR-GEMX-2017-54).
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    The text of the proposed rule change is available on the Exchange's
website at http://nasdaqgemx.cchwallstreet.com/, at the principal
office of the Exchange,

and at the Commission's Public Reference Room.

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

    In its filing with the Commission, the Exchange included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. The Exchange has prepared summaries, set forth in
sections A, B, and C below, of the most significant aspects of such
statements.

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

1. Purpose
    The Exchange proposes to relocate the CAT Rules, currently under
Chapter 9, Rules 900 through 912, to General 7, Sections 1 through 13
of the Rulebook's shell structure.
    The Exchange adopted the CAT Rules to implement a consolidated
audit trail in order to capture customer and order event information to
comply with the provisions of the National Market System Plan Governing
the Consolidated Audit Trail.\4\ Because the CAT Rules apply across all
markets and to all products,\5\ the Exchange believes it is pertinent
that they be located in the General section of the Rulebook's shell;
therefore, the Exchange will amend the shell structure, creating a new
``General 7 Consolidated Audit Trail Compliance'' title under ``General
Rules,'' and make conforming changes to the ``Options Rules'' titles;
moreover, this proposal is consistent with similar filings concurrently
submitted by the Affiliated Exchanges.
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    \4\ See Securities Exchange Act Release No. 80256 (March 15,
2017), 82 FR 14526 (March 21, 2017) (SR-ISEGemini-2017-04) (Order
Approving Proposed Rule Changes To Adopt Consolidated Audit Trail
Compliance Rules).
    The Exchange also notes that, at the time of the approval of the
CAT Rules, the Exchange was known as ``ISE Gemini, LLC.'' To reflect
the Exchange's placement within its parent company's corporate
structure, Nasdaq, Inc., the Exchange name was changed to ``Nasdaq
GEMX, LLC.'' See Securities Exchange Act Release No. 80248 (March
15, 2017), 82 FR 14547 (March 21, 2017) (SR-ISEGemini-2017-13).
    \5\ Id.
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    The relocation of the CAT Rules is part of the Exchange's continued
effort to promote efficiency and conformity of its processes with those
of its Affiliated Exchanges.\6\ The Exchange believes that the
migration of the CAT Rules to their new location will facilitate the
use of the Rulebook by Members \7\ of the Exchange who are members of
other Affiliated Exchanges. Moreover, the proposed changes are of a
non-substantive nature and will not amend the relocated rules other
than to update their numbers, make cross-reference changes, and make
changes to harmonize the proposed rule with the text of filings
simultaneously submitted by the Affiliated Exchanges.\8\
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    \6\ See footnote 3.
    \7\ Exchange Rule 100(a)(28).
    \8\ Specifically, the Exchange will remove the word ``Rule''
from General 7's title which will now read ``Consolidated Audit
Trail Compliance.''
    Moreover, the Exchange will update the description provided
under General 7, Section 12(a), ``General,'' to exactly match the
contents of similar sections in the Nasdaq, BX, and Phlx rulebooks.
This change will not alter Section 12(a) since (i) the description
under this subsection is essentially the same to that of the
aforementioned Affiliated Exchanges and (ii) the removal of the
phrase ``upon approval by the Commission'' is unnecessary at this
point since the CAT Rules are already effective.
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2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\9\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\10\ in particular, in that it is designed to
promote just and equitable principles of trade, to remove impediments
to and perfect the mechanism of a free and open market and a national
market system, and, in general to protect investors and the public
interest, by promoting efficiency and conformity of the Exchange's
processes with those of the Affiliated Exchanges and to make the
Exchange's Rulebook easier to read and more accessible to its Members.
The Exchange believes that the relocation of the CAT Rules and cross-
reference updates are of a non-substantive nature.
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    \9\ 15 U.S.C. 78f(b).
    \10\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. The proposed changes do not
impose a burden on competition because, as previously stated, they (i)
are of a non-substantive nature, (ii) are intended to harmonize the
Exchange's rules with those of its Affiliated Exchanges, and (iii) are
intended to organize the Rulebook in a way that it will ease the
Members' navigation and reading of the rules across the Affiliated
Exchanges.

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

    No written comments were either solicited or received.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A)(iii) of the Act \11\ and
subparagraph (f)(6) of Rule 19b 4 thereunder.\12\
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    \11\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \12\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change, along with a
brief description and text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied this requirement.
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    A proposed rule change filed under Rule 19b-4(f)(6) \13\ normally
does not become operative prior to 30 days after the date of the
filing. However, Rule 19b-4(f)(6)(iii) \14\ permits the Commission to
designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that the Exchange
can reorganize its Rulebook as already approved by the Commission. The
Commission believes that waiver of the 30-day operative delay is
consistent with the protection of investors and the public interest.
Accordingly, the Commission hereby waives the operative delay and
designates the proposed rule change as operative upon filing.\15\
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    \13\ 17 CFR 240.19b-4(f)(6).
    \14\ 17 CFR 240.19b-4(f)(6)(iii).
    \15\ For purposes only of waiving the 30-day operative delay,
the Commission has also considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is: (i)
Necessary or appropriate in the public interest; (ii) for the
protection of investors; or (iii) otherwise in furtherance of the
purposes of the Act. If the Commission takes such action, the

Commission shall institute proceedings to determine whether the
proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
File Number SR-GEMX-2018-02 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-GEMX-2018-02. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-GEMX-2018-02 and should be submitted on
or before February 23, 2018.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\16\
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    \16\ 17 CFR 200.30-3(a)(12).
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Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-02126 Filed 2-1-18; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register: February 10, 2010 (Volume 75, Number 27)]
[Notices]
[Page 6751-6752]
[DOCID:fr10fe10-136]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-61477; File No. SR-DTC-2010-01]

Self-Regulatory Organizations; The Depository Trust Company;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Expand Its Invitation To Cover Shorts Capability To Include Short
Positions Outside DTC

February 3, 2010.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on January 15, 2010, The
Depository Trust Company (``DTC'') filed with the Securities and
Exchange Commission (``Commission'') the proposed rule change as
described in Items I, II, and III below, which Items have been prepared
primarily by DTC. DTC filed the proposal pursuant to Section
19(b)(3)(A)(iii) of the Act \2\ and Rule 19b-4(f)(4) \3\ thereunder so
that the proposal was effective upon filing with the Commission. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \3\ 17 CFR 240.19b-4(f)(4).
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 I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The purpose of the proposed rule change is to expand the Invitation
to Cover Shorts (``ICS'') capability to include short positions outside
DTC.

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

    In its filing with the Commission, DTC included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. DTC has prepared summaries, set forth in sections (A),
(B) and (C) below, of the most significant aspects of such
statements.\4\
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    \4\ The Commission has modified the text of the summaries
prepared by DTC.
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(A) Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change.

    DTC rules require Participants to cover short positions immediately
and provide 130% of the market value of the relevant security until the
position is covered. DTC's ICS capability offers Participants a means
to cover short positions by inviting tenders of securities from other
Participants that hold long positions.\5\ Communication about these
requests is facilitated through DTC's automated Participant Terminal
System (``PTS'').\6\
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    \5\ Securities Exchange Act Release No. 26896 (June 5, 1989), 54
FR 25185. DTC filed a proposed rule change with the Commission on
April 4, 1989 to establish procedures for covering short positions
using DTC's Participant Terminal System. The purpose of the rule
change was to provide a means of reducing short positions at DTC.
The ICS program is detailed in DTC's PTS Function Guide.
    \6\ If the Participant initiating the ICS request holds a
security similar to the security in which it has a short position,
then its invitation may include an offer to sell or swap the similar
security.
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    Participants initiate ICS requests by broadcasting a message to
DTC.\7\ DTC in turn automatically identifies Participants with long
positions in the relevant security \8\ and sends those Participants an
automated PTS message asking for a response if the Participant wants to
tender its securities. Participants inviting the tender are informed by
DTC of any affirmative responses and the Participant responding to the
tender offer is asked to send DTC an e-mail or letter of authorization
stating its willingness to sell its shares at the price agreed upon

with the short Participant.\9\ Once the appropriate authorizations are
received, DTC staff inputs journal adjustments to debit the long
Participant's account and credit the short Participant's account. A
special payment order is then created by DTC to move the corresponding
funds from the settlement account of the short Participant to that of
the long Participant.
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    \7\ This message includes a quantity, price range, description,
and CUSIP for the security. The Participant submitting the
invitation also includes a contact name and phone number as well as
any information about substitute securities.
    \8\ Because of its role as a securities depository, DTC is
uniquely positioned to identify Participants with long positions in
certain securities.
    \9\ Involvement in ICS transactions is purely discretionary by
Participants. DTC facilitates communication and keeps Participant
identities confidential until both parties agree to the transaction.
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    Participants recently asked DTC to expand its ICS capability to
include short positions outside DTC.\10\ Expanding ICS in this way
would help Participants holding short positions outside DTC to avoid
financial risks by locating Participants with long positions in those
securities. Participants using the ICS capability for short positions
outside DTC would be subject to similar procedures as apply to current
use of the ICS capability. Once Participants agree to the transaction,
DTC would either process it through the journal entry method described
above or ask the Participants to communicate directly with one other
and settle the obligation through a DTC delivery order.
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    \10\ Until DTC develops an automated solution, these requests
would be processed manually in a manner similar to the existing PTS
application.
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    DTC believes that the proposed rule change is consistent with the
requirements of Section 17A of the Act \11\ and the rules and
regulations thereunder applicable to DTC because the proposed rule
change expands the existing ICS capability to increase efficiency by
eliminating short positions of DTC Participants and will not adversely
affect the safeguarding of securities and funds in DTC's custody or
control.
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    \11\ 15 U.S.C. 78q-1.
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(B) Self-Regulatory Organization's Statement on Burden on Competition

    DTC does not believe that the proposed rule change will have any
impact or impose any burden on competition.

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

    Written comments relating to the proposed rule change have not yet
been solicited or received. DTC will notify the Commission of any
written comments received by DTC.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A)(iii) of the Act \12\ and Rule 19b-4(f)(4) \13\ thereunder
because the proposed rule change effects a change in an existing
service of a registered clearing agency that: (i) Does not adversely
affect the safeguarding of securities or funds in the custody or
control of the clearing agency or for which it is responsible and (ii)
does not significantly affect the respective rights or obligations of
the clearing agency or persons using the service. At any time within
sixty days of the filing of such rule change, the Commission may
summarily abrogate such rule change if it appears to the Commission
that such action is necessary or appropriate in the public interest,
for the protection of investors, or otherwise in furtherance of the
purposes of the Act.
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    \12\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \13\ 17 CFR 240.19b-4(f)(4).
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IV. Solicitation of Comments

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

Electronic Comments

     Electronic comments may be submitted by using the
Commission's Internet comment form (http://www.sec.gov/rules/
sro.shtml), or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File No. SR-DTC-2009-01 on the subject line.

Paper Comments

     Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington DC 20549-1090.

All submissions should refer to File Number SR-DTC-2010-01. 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/
sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C 552, will be available for Web site viewing and
printing in the Commission's Public Reference Section, 100 F Street,
NE., Washington DC 20549, on official business days between the hours
of 10 a.m. and 3 p.m. Copies of such filings also will be available for
inspection and copying at the principal office of DTC and on DTC's Web
site at http://www.dtcc.com/downloads/legal/rule_filings/2009/dtc/
2010-01.pdf. All comments received will be posted without change; the
Commission does not edit personal identifying information from
submissions. You should submit only information that you wish to make
available publicly. All submissions should refer to file number SR-DTC-
2010-01 and should be submitted on or before March 3, 2010.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\14\
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    \14\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-2859 Filed 2-9-10; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 74, Number 94 (Monday, May 18, 2009)]
[Notices]
[Page 23196]
[FR Doc No: E9-11505]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-1835-DR; Docket ID FEMA-2008-0018]

Alabama; Amendment No. 2 to Notice of a Major Disaster
Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of a major disaster declaration
for the State of Alabama (FEMA-1835-DR), dated April 28, 2009, and
related determinations.

DATES: Effective Date: May 4, 2009.

FOR FURTHER INFORMATION CONTACT: Peggy Miller, Disaster Assistance
Directorate, Federal Emergency Management Agency, 500 C Street, SW.,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration
for the State of Alabama is hereby amended to include the following
area among those areas determined to have been adversely affected by
the event declared a major disaster by the President in his declaration
of April 28, 2009.

    DeKalb County for Public Assistance.

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

Nancy Ward,
Acting Administrator, Federal Emergency Management Agency.
[FR Doc. E9-11505 Filed 5-15-09; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register: January 27, 2006 (Volume 71, Number 18)]
[Notices]
[Page 4624-4625]
[DOCID:fr27ja06-92]

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

Sunshine Act Meeting

    Notice is hereby given, pursuant to the provisions of the
Government in the Sunshine Act, Pub. L. 94-409, that the Securities and
Exchange Commission will hold the following meeting during the week of
January 30, 2006:
    An open meeting will be held on Monday, January 30, 2006 at 10 a.m.
in Room L-002, the Auditorium.
    Commissioner Atkins as duty officer determined that no earlier
notice thereof was possible.
    The subject matter of the open meeting scheduled for Monday,
January 30, 2006 will be:
    The Commission will hear oral argument on an appeal by Vladlen
``Larry'' Vindman and the Division of Enforcement from the decision of
an administrativelaw judge. The law judge found that Vindman engaged in
a scheme to inflate artificially the demand for and price of the stock
of Marx Toys & Entertainment Corp. (``Marx''), a penny stock, in
violation of Section 17(a) of the Securities Act of 1933, Section 10(b)
of the Securities Exchange Act of 1934, and Exchange Act Rule

10b-5. The law judge imposed a cease-and-desist order on Vindman and
barred him from participating in an offering of penny stock. She also
imposed a third-tier civil money penalty in the amount of $20,000. In
imposing the penalty, the law judge found that the $120,000 penalty
requested by the Division, the maximum third-tier penalty allowed by
statute for each act or omission found, was consistent with Commission
precedent, but she reduced the penalty to $20,000, which she found took
into account both the need for deterrence and record evidence bearing
on Vindman's ability to pay. Vindman appeals from the law judge's
findings of violation and the sanctions she imposed. The sole issue
pressed in the Division's appeal is the amount of the civil penalty
imposed.
    Among the issues likely to be argued are:
    1. Whether Vindman violated antifraud provisions by manipulating
the market in Marx stock.
    2. If violations are found, what, if any, sanctions are warranted.
    3. If a civil penalty is warranted, whether and what amount Vindman
is able to pay.
    At times, changes in Commission priorities require alterations in
the scheduling of meeting items.
    For further information and to ascertain what, if any, matters have
been added, deleted or postponed, please contact:
    The Office of the Secretary at<PHONE_NUMBER>.

    Dated: January 24, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. 06-835 Filed 1-25-06; 11:34 am]

BILLING CODE 8010-01-P


[Federal Register: October 8, 2009 (Volume 74, Number 194)]
[Notices]
[Page 51896-51897]
[DOCID:fr08oc09-93]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-60778; File No. SR-ISE-2009-72]

Self-Regulatory Organizations; International Securities Exchange,
LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule
Change Relating to Customer Fees for Certain Complex Orders

October 2, 2009.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on October 1, 2009, the International Securities Exchange, LLC (the
``Exchange'' or ``ISE'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as described in
Items I, II, and III below, which Items have been prepared by ISE. ISE
filed the proposed rule change pursuant to Section 19(b)(3)(A) of the
Act \3\ and Rule 19b-4(f)(2) thereunder,\4\ which renders the proposed
rule change effective upon filing with the Commission. The Commission
is publishing this notice to solicit comments on the proposed rule
change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 19b-4(f)(2).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The ISE proposes to amend its fee schedule for customer fees for
certain Complex Orders. The text of the proposed rule change is
available on the Exchange's Web site (http://www.ise.com), at the
principal office of the Exchange, and at the Commission's Public
Reference Room.

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

    In its filing with the Commission, the Exchange included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. The self-regulatory organization has prepared summaries,
set forth in sections A, B, and C below, of the most significant
aspects of such statements.

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

1. Purpose
    The purpose of this proposed rule change is to amend ISE's fee
schedule for customer fees for certain Complex Orders.\5\ The Exchange
currently has a fee of $0.20 per contract applicable to customers that
transact in Complex Orders, i.e., customer orders that interact with
Complex Orders residing on the complex order book thereby taking
liquidity from the complex order book.\6\ The Exchange waives this fee
for the first 15,000 contracts transacted in a month by a member on
behalf of its customers. This fee applies once a member transacts more
than 15,000 contracts in a month (whether on behalf of one or more than
one of its customers) that take liquidity from the complex order book.
This fee generally applies to non-broker-dealer individuals and
entities that have access to information and technology that enables
them to trade, generally in large volume, in the same manner as a
broker-dealer, i.e., these customers are able to quickly hit the bid or
lift an offer on the Exchange's complex order book.
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    \5\ Complex Orders are defined in ISE Rule 722(a).
    \6\ See Exchange Act Release No. 55247 (February 6, 2007), 72 FR
7099 (February 14, 2007).
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    The Exchange notes the current fee waiver at times affects retail
investor orders. The purpose of the fee is to charge customers that
trade like market professionals and are able to take liquidity from the
exchange's complex order book in large volume because of their
sophisticated trading systems. Therefore, ISE proposes to refine this
fee by adopting a threshold of 1,000 orders rather than 15,000
contracts. The Exchange believes switching the threshold from
contracts-based to orders-based will capture the trading activity of
those customers that intentionally engage in the business of taking
liquidity from the Exchange's complex order book. The Exchange believes
that retail investors that interact with Complex Orders resident on the
complex order book are not likely to exceed 1,000 orders and thus are
not likely to be charged this fee.
    The Exchange also proposes to increase this fee from $0.20 per
contract to $0.25 per contract. ISE proposes to implement this fee
change on October 1, 2009.
2. Basis
    The basis under the Act for this proposed rule change is the
requirement under Section 6(b)(4) that an exchange have an equitable
allocation of dues, fees and other charges among its members and other
persons using its facilities. In particular, the Exchange believes it
is reasonable to charge customers that trade like market professionals
and take liquidity from the Exchange's complex order book the same fee
that the Exchange charges broker-dealers and market makers for taking
liquidity from the Exchange's complex order book.

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

    The proposed rule change does not impose any burden on competition
that is not necessary or appropriate in furtherance of the purposes of
the Act.

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

    The Exchange has not solicited, and does not intend to solicit,
comments on this proposed rule change. The Exchange has not received
any unsolicited written comments from members or other interested
parties.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A) of the Act \7\ and Rule 19b-4(f)(2) \8\ thereunder because
it establishes a due, fee, or other charge imposed by ISE.
---------------------------------------------------------------------------

    \7\ 5 U.S.C. 78s(b)(3)(A).
    \8\ 17 CFR 19b-4(f)(2).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of such proposed rule
change the Commission may summarily abrogate such rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in furtherance of the purposes of the Act.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-ISE-2009-72 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-ISE-2009-72. 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/
sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for inspection and
copying in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of ISE. 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 publicly available. All
submissions should refer to File Number SR-ISE-2009-72 and should be
submitted on or before October 29, 2009.

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

    \9\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-24266 Filed 10-7-09; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 27 (Wednesday, February 9, 2011)]
[Notices]
[Pages 7189-7191]
[FR Doc No: 2011-2868]

=======================================================================
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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OECA-2010-0365; FRL-9264-9]

Agency Information Collection Activities; Submission to OMB for
Review and Approval; Comment Request; NSPS for VOC Emissions From
Petroleum Refinery Wastewater Systems (Renewal)

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: In compliance with the Paperwork Reduction Act (44 U.S.C.

3501 et seq.), this document announces that an Information Collection
Request (ICR) has been forwarded to the Office of Management and Budget
(OMB) for review and approval. This is a request to renew an existing
approved collection. The ICR which is abstracted below describes the
nature of the collection and the estimated burden and cost.

DATES: Additional comments may be submitted on or before March 11,
2011.

ADDRESSES: Submit your comments, referencing docket ID number EPA-HQ-
OECA-2010-0365, to (1) EPA online using http://www.regulations.gov (our
preferred method), or by e-mail to<EMAIL_ADDRESS>or by mail to:
EPA Docket Center (EPA/DC), Environmental Protection Agency,
Enforcement and Compliance Docket and Information Center, mail code
28221T, 1200 Pennsylvania Avenue, NW., Washington, DC 20460, and (2)
OMB at: Office of Information and Regulatory Affairs, Office of
Management and Budget (OMB), Attention: Desk Officer for EPA, 725 17th
Street, NW., Washington, DC 20503.

FOR FURTHER INFORMATION CONTACT: Robert Marshall, Jr., Compliance
Assessment and Media Programs Division, Office of Compliance, Mail Code
2223A, Environmental Protection Agency, 1200 Pennsylvania Avenue, NW.,
Washington, DC 20460; telephone number:<PHONE_NUMBER>; fax number:
(202) 564-0050; e-mail address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: EPA has submitted the following ICR to OMB
for review and approval according to the procedures prescribed in 5 CFR
1320.12. On June 2, 2010 (75 FR 30813), EPA sought comments on this ICR
pursuant to 5 CFR 1320.8(d). EPA received no comments. Any additional
comments on this ICR should be submitted to EPA and OMB within 30 days
of this notice.
    EPA has established a public docket for this ICR under docket ID
number EPA-HQ-OECA-2010-0365, which is available for public viewing
online at http://www.regulations.gov, or in person viewing at the
Enforcement and Compliance Docket and Information Center in the EPA
Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue,
NW., Washington, DC. The EPA Docket Center Public Reading Room is open
from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal
holidays. The telephone number for the Reading Room is<PHONE_NUMBER>,
and the telephone number for the Enforcement and Compliance Docket and
Information Center is<PHONE_NUMBER>.
    Use EPA's electronic docket and comment system at http://www.regulations.gov to submit or view public comments, access the index
listing of the contents of the docket, and to access those documents in
the docket that are available electronically. Once in the system,
select ``docket search,'' then key in the docket ID number identified
above. Please note that EPA's policy is that public comments, whether
submitted electronically or in paper, will be made available for public
viewing at http://www.regulations.gov, as EPA receives them and without
change, unless the comment contains copyrighted material, confidential
business information (CBI), or other information whose public
disclosure is restricted by statute. For further information about the
electronic docket, go to http://www.regulations.gov.
    Title: NSPS for VOC Emissions from Petroleum Refinery Wastewater
Systems (Renewal)
    ICR Numbers: EPA ICR Number 1136.10, OMB Control Number 2060-0172.
    ICR Status: This ICR is scheduled to expire on February 28, 2011.
Under OMB regulations, the Agency may continue to conduct or sponsor
the collection of information while this submission is pending at OMB.
An agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless it displays a currently
valid OMB control number. The OMB control numbers for EPA's regulations
in title 40 of the CFR, after appearing in the Federal Register when
approved, are listed in 40 CFR part 9, and displayed either by
publication in the Federal Register or by other appropriate means, such
as on the related collection instrument or form, if applicable. The
display of OMB control numbers in certain EPA regulations is
consolidated in 40 CFR part 9.
    Abstract: The New Source Performance Standards (NSPS) for Volatile
Organic Compound (VOC) Emissions from Petroleum Refinery Wastewater
Systems were proposed on May 4, 1987, and promulgated on November 23,
1988. These standards apply to the following facilities in petroleum
refinery wastewater systems: Individual drain systems, oil-water
separators, and aggregate facilities commencing construction,
modification or reconstruction after the date of proposal. An
individual drain system consists of all process drains connected to the
first downstream junction box. An oil-water separator is the wastewater
treatment equipment used to separate oil from water. An aggregate
facility is an individual drain system together with ancillary
downstream sewer lines and oil-water separators, down to and including
the secondary oil-water separator, as applicable. Aggregate facilities
are intended to capture any potential VOC emissions within the
petroleum refinery wastewater system during expansions of and additions
to the system. There are no additional recordkeeping or reporting
requirements for aggregate facilities. In general, all NSPS standards
require initial notifications, performance tests, and periodic reports.
Owners or operators are also required to maintain records of the
occurrence and duration of any startup, shutdown, or malfunction in the
operation of an affected facility, or any period during which the
monitoring system is inoperative. These notifications, reports, and
records are essential in determining compliance and are required of all
sources subject to NSPS.
    Any owner or operator subject to the provisions of this part shall
maintain a file of these measurements, and retain the file for at least
two years following the date of such measurements, maintenance reports
and records. All reports are sent to the delegated state or local
authority. In the event that there is no such delegated authority, the
reports are sent directly to the EPA regional office. This information
is being collected to assure compliance with 40 CFR part 60, subpart
QQQ, as authorized in section 112 and 114(a) of the Clean Air Act. The
required information consists of emissions data and other information
that have been determined to be private.
    Burden Statement: The annual public reporting and recordkeeping
burden for this collection of information is estimated to average 34
hours per response. Burden means the total time, effort, or financial
resources expended by persons to generate, maintain, retain, or
disclose or provide information to or for a Federal agency. This
includes the time needed to review instructions; develop, acquire,
install, and utilize technology and systems for the purposes of
collecting, validating, and verifying information, processing and
maintaining information, and disclosing and providing information;
adjust the existing ways to comply with any previously applicable
instructions and requirements which have subsequently changed; train
personnel to be able to respond to a collection of information; search
data sources; complete and review the collection of information; and
transmit or otherwise disclose the information.

    Respondents/Affected Entities: Petroleum refinery wastewater
systems.
    Estimated Number of Respondents: 135.
    Frequency of Response: Initially, on occasion, quarterly, and
semiannually.
    Estimated Total Annual Hour Burden: 9,237.
    Estimated Total Annual Cost: $840,361, which includes no annualized
Capital/Startup costs, $17,550 in annualized Operating and Maintenance
costs (O&M), and $822,811 in annualized Labor costs.
    Changes in the Estimates: There is no change in the labor hours or
cost to the respondents in this ICR compared to the previous ICR. This
is due to two considerations: (1) The regulations have not changed over
the past three years and are not anticipated to change over the next
three years; and (2) the growth rate for the respondents is very low,
negative, or non-existent. Therefore, the labor hours and cost figures
in the previous ICR reflect the current burden to the respondents and
are reiterated in this ICR.

    Dated: February 3, 2011.
John Moses,
Director, Collection Strategies Division.
[FR Doc. 2011-2868 Filed 2-8-11; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 85, Number 164 (Monday, August 24, 2020)]
[Notices]
[Pages 52174-52176]
[FR Doc No: 2020-18471]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-89603; File No. SR-NASDAQ-2020-043]

Self-Regulatory Organizations; The Nasdaq Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend Rule 4759

August 18, 2020.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on August 5, 2020, The Nasdaq Stock Market LLC (``Nasdaq'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by the Exchange. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
---------------------------------------------------------------------------

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

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

    The Exchange proposes to amend Rule 4759 (Data Feeds Utilized) to
add MIAX PEARL, LLC (``MIAX PEARL'') and MEMX LLC (``MEMX'') to the
list of market centers under Rule 4759 and provide that the Exchange
will utilize CQS/UQDF.
    The text of the proposed rule change is available on the Exchange's
website at

https://listingcenter.nasdaq.com/rulebook/nasdaq/rules, at the
principal office of the Exchange, and at the Commission's Public
Reference Room.

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

    In its filing with the Commission, the Exchange included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. The Exchange has prepared summaries, set forth in
sections A, B, and C below, of the most significant aspects of such
statements.

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

1. Purpose
    In anticipation of their planned launches,\3\ the Exchange proposes
to amend the table in Rule 4759 to include MIAX Pearl and MEMX. The
Exchange will use securities information processor (``SIP'') data,
i.e., CQS SIP data, for securities reported under the Consolidated
Quotation System and Consolidated Quotation Plan and UQDF SIP data for
securities reported under the Nasdaq Unlisted Trading Privileges Plan
to obtain MIAX Pearl and MEMX quotation information. At this stage, no
secondary source for MIAX Pearl and MEMX will be used.
---------------------------------------------------------------------------

    \3\ MIAX Pearl Equities will begin trading in September 2020,
pending SEC approval. See MIAX Pearl Alerts available at, https://www.miaxoptions.com/alerts/2020/02/14/miax-pearl-equities-exchange-codes-and-important-dates-regarding-launch-new. MEMX is expected to
launch on September 4, 2020. See MEMX Update from Jonathan Kellner,
dated June 11, 2020, available at https://memx.com/memx-update/.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\4\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\5\ in particular, in that it is designed to promote
just and equitable principles of trade, to remove impediments to and
perfect the mechanism of a free and open market and a national market
system, and, in general to protect investors and the public interest.
---------------------------------------------------------------------------

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

    The Exchange believes that the proposed rule change removes
impediments to and perfects the mechanism of a free and open market
because adding MIAX Pearl and MEMX to its list of market centers for
which the Exchange consumes quotation data. Moreover, it is necessary
and consistent with the public interest and the protection of investors
to update the Exchange's table of market centers in order to provide
transparency with respect to all the direct proprietary and network
processor feeds from which the Exchange obtains market data.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. The proposed rule change is not
designed to address any competitive issue; instead, its purpose is to
enhance transparency with respect to the operation of the Exchange and
its use of market data feeds.

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

    No written comments were either solicited or received.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \6\ and Rule 19b-
4(f)(6) thereunder.\7\
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78s(b)(3)(A).
    \7\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and text of the proposed rule change, at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the
Act \8\ normally does not become operative for 30 days after the date
of its filing. However, Rule 19b-4(f)(6)(iii) \9\ permits the
Commission to designate a shorter time if such action is consistent
with the protection of investors and the public interest. The Exchange
has requested that the Commission waive the 30-day operative delay.
Waiver of the operative delay would allow the Exchange to disclose the
updated list of market centers for which the Exchange consumes
quotation data, and the source of the quotation data, at the time that
MIAX Pearl and MEMX become operational. The Commission believes that
waiving the 30-day operative delay is consistent with the protection of
investors and the public interest. Accordingly, the Commission waives
the 30-day operative delay and designates the proposed rule change as
operative upon filing.\10\
---------------------------------------------------------------------------

    \8\ 17 CFR 240.19b-4(f)(6).
    \9\ 17 CFR 240.19b-4(f)(6)(iii).
    \10\ For purposes only of waiving the 30-day operative delay,
the Commission also has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NASDAQ-2020-043 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NASDAQ-2020-043. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements

with respect to the proposed rule change that are filed with the
Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NASDAQ-2020-043 and should be submitted
on or before September 14, 2020.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\11\
---------------------------------------------------------------------------

    \11\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-18471 Filed 8-21-20; 8:45 am]
BILLING CODE 8011-01-P