[Federal Register Volume 81, Number 251 (Friday, December 30, 2016)]
[Notices]
[Pages 96550-96552]
[FR Doc No: 2016-31677]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-79685; File No. SR-MIAX-2016-48]

Self-Regulatory Organizations; Miami International Securities
Exchange LLC; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change To Amend Its Fee Schedule To Modify the Exchange's
Other Market Participant Transaction Fees

December 23, 2016.
    Pursuant to the provisions of 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 December 15, 2016, Miami International
Securities Exchange LLC (``MIAX Options'' or ``Exchange'') filed with
the Securities and Exchange Commission (``Commission'') a proposed rule
change as described in Items I, II, and III below, which Items have
been prepared by the Exchange. The Commission is publishing this notice
to solicit comments on the proposed rule change from interested
persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange is filing a proposal to amend the MIAX Options Fee
Schedule (the ``Fee Schedule'').
    The text of the proposed rule change is available on the Exchange's
Web site at http://www.miaxoptions.com/filter/wotitle/rule_filing, at
MIAX's principal office, 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 the
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to amend its Fee Schedule to increase the
fees charged to Exchange Members \3\ for simple and complex order
executions in standard options classes in the Penny Pilot Program \4\
(``Penny Pilot'') for Firms.\5\ Specifically, the Exchange proposes to
increase the fees charged to Members for simple and complex order
executions in standard options in the Penny Pilot for Firms from $0.45
to $0.47 per contract executed. The Exchange believes that this
proposed fee increase is reasonable, equitable and not unfairly
discriminatory because it makes the transaction fee consistent among
the Exchange's market participants who are not Priority Customers \6\
or MIAX Options Market Makers \7\ by charging all such participants the
same rate for transactions for simple and complex order executions in
standard options in the Penny Pilot. The Exchange has historically kept
the Firm transaction fee at a lower rate than the transaction fee for
other market participants who are not Priority Customers or MIAX
Options Market Makers, primarily as a competitive measure to attract
Firm order flow. The Exchange believes that this measure is no longer
necessary, and thus believes it is appropriate to increase the Firm
transaction fee rate to the same rate charged for other market
participants who are not Priority Customers or MIAX Options Market
Makers. This proposed change brings the Exchange's Firm transaction fee
in line and comparable with similar fees of other competing options
exchanges.\8\
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    \3\ The term ``Member'' means an individual or organization
approved to exercise the trading rights associated with a Trading
Permit. Members are deemed ``members'' under the Exchange Act. See
Exchange Rule 100.
    \4\ See Securities Exchange Act Release Nos. 78080 (June 15,
2016), 81 FR 40377 (June 21, 2016) (SR-MIAX-2016-16); 79432
(November 30, 2016), 81 FR 87990 (December 6, 2016) (SR-MIAX-2016-
45).
    \5\ A ``Firm'' transaction fee is assessed on a MIAX Options
Electronic Exchange Member ``EEM'' that enters an order that is
executed for an account identified by the EEM for clearing in the
Options Clearing Corporation (``OCC'') ``Firm'' range. See Fee
Schedule, Section 1)a)ii.
    \6\ The term ``Priority Customer'' means a person or entity that
(i) is not a broker or dealer in securities, and (ii) does not place
more than 390 orders in listed options per day on average during a
calendar month for its own beneficial account(s). A ``Priority
Customer Order'' means an order for the account of a Priority
Customer. See Exchange Rule 100.
    \7\ The term ``Market Makers'' refers to Lead Market Makers
(``LMMs''), Primary Lead Market Makers (``PLMMs''), and Registered
Market Makers (``RMMs'') collectively. See Exchange Rule 100. A
Directed Order Lead Market Maker (``DLMM'') and Directed Primary
Lead Market Maker (``DPLMM'') is a party to a transaction being
allocated to the LMM or PLMM and is the result of an order that has
been directed to the LMM or PLMM. See Fee Schedule note 2.
    \8\ See, for example, NASDAQ PHLX LLC Pricing Schedule, Section
II.
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    In addition, the Exchange proposes to continue to offer Members the
opportunity to reduce their Firm transaction fees by $0.02 per executed
contract resulting from simple order executions in standard options in
the Penny Pilot.\9\ In order to accomplish this reduction, any Member,
including any Affiliate \10\ of the Member, that qualifies for the
Priority Customer Rebate Program (``PCRP'') volume tiers 3 or
higher,\11\ will be assessed a reduced Firm transaction fee of $0.45
per contract resulting from simple order executions in standard options
in the Penny Pilot. The Exchange believes that this continuing
incentive will encourage Members to send their Firm order flow to the
Exchange.
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    \9\ See Securities Exchange Release Nos. 72988 (September 4,
2014), 79 FR 53808 (September 10, 2014) (SR-MIAX-2014-46); 72989
(September 4, 2014), 79 FR 53792 (September 10, 2014) (SR-MIAX-2014-
47); 74478 (March 11, 2015), 80 FR 13938 (March 17, 2015) (SR-MIAX-
2015-16); 76674 (December 17, 2015), 80 FR 79986 (December 23, 2015)
(SR-MIAX-2015-70); 79157 (October 28, 2016), 81 FR 75885 (November
1, 2016) (SR-MIAX-2016-38).
    \10\ For purposes of the MIAX Options Fee Schedule, the term
``Affiliate'' means an affiliate of a Member of at least 75% common
ownership between the firms as reflected on each firm's Form BD,
Schedule A (``Affiliate''). See Fee Schedule note 1.
    \11\ Under the PCRP, a Member receives certain transaction fee
discounts provided the Member meets certain percentage thresholds in
a month as described in the PCRP table. See Fee Schedule, Section
(1)(a)(iii).
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    The Exchange proposes to implement the proposed change to the Fee
Schedule effective as of January 1, 2017.
2. Statutory Basis
    The Exchange proposes to amend its Fee Schedule to increase the
fees charged to Exchange Members \12\ for simple and complex order
executions in standard options classes in the Penny Pilot Program \13\
(``Penny Pilot'') for

Firms.\14\ Specifically, the Exchange proposes to increase the fees
charged to Members for simple and complex order executions in standard
options in the Penny Pilot for Firms from $0.45 to $0.47 per contract
executed. The Exchange believes that this proposed fee increase is
reasonable, equitable and not unfairly discriminatory because it makes
the transaction fee consistent among the Exchange's market participants
who are not Priority Customers \15\ or MIAX Options Market Makers \16\
by charging all such participants the same rate for transactions for
simple and complex order executions in standard options in the Penny
Pilot. The Exchange has historically kept the Firm transaction fee at a
lower rate than the transaction fee for other market participants who
are not Priority Customers or MIAX Options Market Makers, primarily as
a competitive measure to attract Firm order flow. The Exchange believes
that this measure is no longer necessary, and thus believes it is
appropriate to increase the Firm transaction fee rate to the same rate
charged for other market participants who are not Priority Customers or
MIAX Options Market Makers. This proposed change brings the Exchange's
Firm transaction fee in line and comparable with similar fees of other
competing options exchanges.\17\
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    \12\ The term ``Member'' means an individual or organization
approved to exercise the trading rights associated with a Trading
Permit. Members are deemed ``members'' under the Exchange Act. See
Exchange Rule 100.
    \13\ See Securities Exchange Act Release Nos. 78080 (June 15,
2016), 81 FR 40377 (June 21, 2016) (SR-MIAX-2016-16); 79432
(November 30, 2016), 81 FR 87990 (December 6, 2016) (SR-MIAX-2016-
45).
    \14\ A ``Firm'' transaction fee is assessed on a MIAX Options
Electronic Exchange Member ``EEM'' that enters an order that is
executed for an account identified by the EEM for clearing in the
Options Clearing Corporation (``OCC'') ``Firm'' range. See Fee
Schedule, Section 1)a)ii.
    \15\ The term ``Priority Customer'' means a person or entity
that (i) is not a broker or dealer in securities, and (ii) does not
place more than 390 orders in listed options per day on average
during a calendar month for its own beneficial account(s). A
``Priority Customer Order'' means an order for the account of a
Priority Customer. See Exchange Rule 100.
    \16\ The term ``Market Makers'' refers to Lead Market Makers
(``LMMs''), Primary Lead Market Makers (``PLMMs''), and Registered
Market Makers (``RMMs'') collectively. See Exchange Rule 100. A
Directed Order Lead Market Maker (``DLMM'') and Directed Primary
Lead Market Maker (``DPLMM'') is a party to a transaction being
allocated to the LMM or PLMM and is the result of an order that has
been directed to the LMM or PLMM. See Fee Schedule note 2.
    \17\ See, for example, NASDAQ PHLX LLC Pricing Schedule, Section
II.
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    In addition, the Exchange proposes to continue to offer Members the
opportunity to reduce their Firm transaction fees by $0.02 per executed
contract resulting from simple order executions in standard options in
the Penny Pilot.\18\ In order to accomplish this reduction, any Member,
including any Affiliate \19\ of the Member, that qualifies for the
Priority Customer Rebate Program (``PCRP'') volume tiers 3 or
higher,\20\ will be assessed a reduced Firm transaction fee of $0.45
per contract resulting from simple order executions in standard options
in the Penny Pilot. The Exchange believes that this continuing
incentive will encourage Members to send their Firm order flow to the
Exchange.
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    \18\ See Securities Exchange Release Nos. 72988 (September 4,
2014), 79 FR 53808 (September 10, 2014) (SR-MIAX-2014-46); 72989
(September 4, 2014), 79 FR 53792 (September 10, 2014) (SR-MIAX-2014-
47); 74478 (March 11, 2015), 80 FR 13938 (March 17, 2015) (SR-MIAX-
2015-16); 76674 (December 17, 2015), 80 FR 79986 (December 23, 2015)
(SR-MIAX-2015-70); 79157 (October 28, 2016), 81 FR 75885 (November
1, 2016) (SR-MIAX-2016-38).
    \19\ For purposes of the MIAX Options Fee Schedule, the term
``Affiliate'' means an affiliate of a Member of at least 75% common
ownership between the firms as reflected on each firm's Form BD,
Schedule A (``Affiliate''). See Fee Schedule note 1.
    \20\ Under the PCRP, a Member receives certain transaction fee
discounts provided the Member meets certain percentage thresholds in
a month as described in the PCRP table. See Fee Schedule, Section
(1)(a)(iii).
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    The Exchange proposes to implement the proposed change to the Fee
Schedule effective as of January 1, 2017.

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

    The Exchange does not believe that the proposed rule change will
result in any burden on competition that is not necessary or
appropriate in furtherance of the purposes of the Act. The proposal is
similar to the transaction fees found on other options exchanges;
therefore, the Exchange believes the proposal is consistent with robust
competition by increasing the intermarket competition for order flow
from market participants. The proposal aligns the fees of market
participants who are not Priority Customers or MIAX Options Market
Makers on the Exchange, as well as aligns such fees assessable to
Members to those charged by other exchanges for the same market
participant type. Enhanced market quality and increased transaction
volume that results from the anticipated increase in order flow
directed to the Exchange will benefit all market participants and
improve competition on the Exchange.
    The Exchange notes that it operates in a highly competitive market
in which market participants can readily favor competing venues if they
deem fee levels at a particular venue to be excessive. In such an
environment, the Exchange must continually adjust its fees to remain
competitive with other exchanges and to attract order flow. The
Exchange believes that the proposal reflects this competitive
environment.

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

    Written comments were neither solicited nor received.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A)(ii) of the Act,\21\ and Rule 19b-4(f)(2) \22\ thereunder.
At any time within 60 days of the filing of the proposed rule change,
the Commission summarily may temporarily suspend such rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in furtherance of the purposes of the Act. If the Commission takes such
action, the Commission shall institute proceedings to determine whether
the proposed rule should be approved or disapproved.
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    \21\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \22\ 17 CFR 240.19b-4(f)(2).
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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

     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-MIAX-2016-48 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-MIAX-2016-48. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule

change that are filed with the Commission, and all written
communications relating to the proposed rule change between the
Commission and any person, other than those that may be withheld from
the public in accordance with the provisions of 5 U.S.C. 552, will be
available for Web site viewing and printing in the Commission's Public
Reference Room, 100 F Street NE., Washington, DC 20549, on official
business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of
the filing also will be available for inspection and copying at the
principal office of the Exchange. All comments received will be posted
without change; the Commission does not edit personal identifying
information from submissions. You should submit only information that
you wish to make available publicly. All submissions should refer to
File Number SR-MIAX-2016-48, and should be submitted on or before
January 20, 2017.
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    \23\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\23\
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-31677 Filed 12-29-16; 8:45 am]
 BILLING CODE 8011-01-P


June 29,2001 MEMORANDUM TO: Tim Smith, EPA OAQPS\

FROM: Patrick Cummiils, WRAP Co Project Manag _ I SUBJECT: Additional Technical Support Documentation Please find enclosed the following additional technical support documents related to the WRAP Annex:

1) Description of Methodology Used to Calculate State and Tribal Opt WOpt Budgets 2) Final Report on Regional Economic Impacts of Annex fi om ICF Consulting ( replaces Vol. IT of previous submittal)

3) Data Worksheets fiom ICF Consulting Detailing Utility Emissions Projections 4) Informatian on Emission Measurement Metliods for Non Utility Sources.

We are in the process of finalizing our revised visibility modeling and that report will be sent in about two weeks.

Please do not hesitate to contact me with any questions regarding this information. Thank you for your ongoing assistance with this effort.

Staffed by: Staffed by: Western Governors'Association National Tribal Environmental Council 1515 Cleveland Place, Suite 200 www. wrapair. org 2221 Rio Grande NW Dsnver, CO 80202 Albuquerque, NM 87104 ( 303) 623 9378 ( 505) 242 2175 Fax ( 303) 534 7309 Fax ( 505) 242 2654 Methodology Used to Calculate State and Tribal Opt IdOpt Out Budgets Th. e state and tribal milestone adjustments, and new source set aside adjustments were calculated using the same methodology that was used to develop the regional SO, milestones. The biggest component of the milestone was the projected emission inventory for the region, including emission reduction estimates due to the application of Best Available Retrofit Technology ( BART) to sources in the region. In addition, there was an uncertainty factor that was included in the milestones to account for possible errors in the projections.

The spreadsheet titled   Opt in Opt out adjustments. xls,  which can be found in the Technical Support for the SupplementaryAnnex Submittal section of tbe Market Trading Forum web site ( www. wrapair. org), calculates the adjustments for each state and tribe. A copy of this spreadsheet is attached.

There are 4separate worksheet pages that are used to calculate the adjustments for each of the milestone years, 2003,2008,2013 and 2018. These adjustments are summarized in a final chart titled   Milestone Adjustments Due to States or Tribes Opting Out of the Regional Program Under 309  that was adopted by the WRAP on May 23,2001. The following sections describe in detail the data sources, and any assumptions that were made to develop these individual milestone year adjustments.

Projected Emissions from Existing Sources for 2003,2008,2013 and 2018 In July and August, 2000, two contractors completed stationary source emission inventories and emission projections through the year 2018 for major sources of SO, in the 9 state transport region. These inventories were used as the basis for final negotiations of the regional SO, milestones.

Utility and Combined Heat and Power Source inventories were completed by ICF Consulting. The final results of this contract are included in the Technical Support Documentation for the Annex, and in a spreadsheettitled   Zmission~ Reconciliation~ 4.01  that is included in the Technical Support for the SupplementaryAnnex Submittal ( see Market Trading Forum web site, located at IW. wrapair. <EMAIL_ADDRESS> Non Utility inventories were completed by Pechan and Associates. The final results of this contract are included in the Technical Support documentation for the Annex, which can also be found on the Market Trading Forum web site.

Both of these emission inventories, and projections though 2018 were calculated at the state level, and the numbers fi omthe contractors reports were. used as the starting point for the state and tribal budgets. The columns labeled Utilities, Smelters, CHP, and Other contain these imentory numbers with the following adjustments: 1. Several Tribal Sources were included in the state inventory totals. The inventories for these sources were subtracted from the state totals, and placed in a new entry for the applicable tribe. The specific sources were:

Tribe Navajo Nation Navajo Nation Shoshone Bannock Tribes of the Fort Hall Reservation Ute Indian Tribe of the Uintah and Ouray Reservation Wind River Reservation Wind River Reservation Source State Four Corners Generating Station NM Navajo GeneratingStation Az Astaris ( formerly FMC) ID Deseret Generation and Transmission, UT Bonanza Plant Koch Sulfur Products WY Snyder Oil Corp WY 2. The inventory projections developed by EH Pechan and Associates for non utilities were done at the source category level. Retirement and growth estimates were applied to the category to obtain an overall projection number for the years 2003,2008,2013, and 2018. The new source growth estimates were subtracted fiom Pechan s inventory to obtain an estimate of emissions fiom existing sources in the region, including retirements. New source growth is treated as a separate line item.

3. The projected emissions for the Mohave Generating Station in Nevada in 2003 are based on an assumed fbture control level of 85%.

4. Emissions fiom non utility sources located on tribal lands were assumed to remain constant ficm 2003 to 2018. The regional category growth and retirement assumptions that were used by Pechan and Associates did not make sense when applied to individual sources or to a very small group of sources. This assumption will not affect new source growth on tribal lands because the milestones will be applied regionally.

Additional Calculations for 2003 The SO, emissions projections for existing sources were combined into a regional subtotal of 677,858 tons. The new source growth estimate of 9,000 tons, and a tribal allocation of 20,000 tons were added to the existing source projections to achieve a subtotal of 706,858 tons.

The milestone for 2003is 720,000 tons. The subtotal of 706,858 was subtracted from this milestone to derive a regional uncertainty estimate. The uncertainty estimate was then prorated to each of the states according to the percentage of total emissions for existing sources in each state with the following exceptihs:

1. Emissions from two suspended smelters were subtracted fiom the emission estimates for Arizona and New Mexico prior to the proration. This was done so that the milestone adjustments for other states would not be affected by the hture status of these two sources. As outlined in the summary tzble, the adjustment numbers for Arizona and New Mexico would be modified if either of these sources do not resume operation. . 2. Tribal sources were not included in the proration. As described above, these sources were treated separately due to problems with applying regional assumptions to individual sources.

The new source growth estimate of 9000 tons was also prorated to each of the states according to the percentage of total existing emissions in each state.

Additional calculations for 2008 The adjustments for 2008 were calculated in the same manner as 2003. The new source growth estimate was increased to 18,000 tons ( 9,000 tons every 5 years) and then prorated as described for the 2003 calculations.

Additional calculations for 2013 The year 2013 contains an emission reduction   down payment  for the estimated BART reductions in 2018.

As described for 2013, the projected regional SO, emissions for existing sources of 645,906 tons was added to the tribal allocation of 20,000 tons and the new source growth estimate of 27,000 tons for a subtotal of 692,906.

The milestone for 2013 is 655,000. When the subtotal was subtracted & om this milestone, it left a regional   down payment  on BART of 37,906. This down payment was prorated to each of the states according to the utility BART estimates for each of those states as described below for the 2018 adjustments. Tribal sources were not included in the proration. Tribal sources were again treated separately due to problems with applying regional assumptions to individual sources.

Additional calculations for 2018 The regional emission reduction estimates calculated in Allstate8. xls, which was included in the Technical Support Documentation for the Annex, was used to estimate BART reductions. The reductions in Allstate8. xls were calculated at the source level, recognizing that these estimates were only valid when applied regionally to an entire source category. The source level calculations were added up for each state and tribe for both utilities and non utilities. These are listed in the columns labeled Utility BART and Other BART.

The projected emissions from existing sources subtotal is 634,523 tons SO,. Utility BART estimates of 151,795 for utilities and 16,120 for non utilities were subtracted fi omthis subtotal to achieve new regional subtotal less BART of 466,608.

Thp trihsl nllnwtinn of 20,000 tons and the new source allocation of 27,000 tons were added to this subtotal of 513,608. The milestone for 2018 is 510,000. The difference between these two numbers is primarily a rounding adjustment, and was prorated based on the emission projection less BART for each state. As described above, these sources were treated separately due to problems with applying regional assumptions to individual sources. .


[Federal Register Volume 76, Number 59 (Monday, March 28, 2011)]
[Notices]
[Pages 17165-17166]
[FR Doc No: 2011-7151]

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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comments Requested

    Upon Written Request, Copies Available From: Securities and
Exchange Commission, Office of Investor Education and Advocacy,
Washington, DC 20549.

Extension:
    Rule 17a-3, SEC File No. 270-026, OMB Control No. 3235-0033.

    Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget (``OMB'') a request for extension of the previously approved
collection of information discussed below. The Code of Federal
Regulation citation to this collection of information is the following
rule: 17 CFR 240.17a-3.
    Rule 17a-3 under the Securities Exchange Act of 1934 establishes
minimum standards with respect to business records that broker-dealers
registered with the Commission must make and keep current. These
records are maintained by the broker-dealer (in accordance with a
separate rule), so they can be used by the broker-dealer and reviewed
by Commission examiners, as well as other regulatory authority
examiners, during inspections of the broker-dealer.
    The collections of information included in Rule 17a-3 is necessary
to provide Commission, self-regulatory organization and State examiners
to conduct effective and efficient examinations to determine whether
broker-dealers are complying with relevant laws, rules, and
regulations. If broker-dealers were not required to create these
baseline, standardized records, Commission, self-regulatory
organization and State examiners could be unable to determine whether
broker-dealers are in compliance with the Commission's antifraud and
anti-manipulation rules, financial responsibility program, and other
Commission, SRO, and State laws, rules, and regulations.
    As of October 1, 2010, there were 5,057 broker-dealers registered
with the Commission. The Commission estimates that these broker-dealer
respondents incur a total burden of 2,723,970 hours per year to comply
with Rule 17a-3. Approximately 1,464,777 of those hours are
attributable to paragraph 17a-3(a)(17), and about 1,259,193 hours are
attributable to the rest of Rule 17a-3.

    In addition, Rule 17a-3 contains ongoing operation and maintenance
costs for broker-dealers including the cost of postage to provide
customers with account information, and costs for equipment and systems
development. The Commission estimates that under Rule 17a-3(a)(17),
approximately 35,627,958 customers will need to be provided with
information regarding their account on a yearly basis. The Commission
estimates that the postage costs associated with providing those
customers with copies of their account record information would be
approximately $10,688,387 per year (35,627,958 x $0.30). The staff
believes that the ongoing equipment and systems development costs
relating to Rule 17a-3 for the industry would be about $23,514,452 per
year. Consequently, the total cost burden associated with Rule 17a-3
would be approximately $34,202,839 per year.
    Rule 17a-3 does not contain record retention requirements.
Compliance with the rule is mandatory. The required records are
available only to the staffs of the Commission, self-regulatory
organizations of which the broker-dealer is a member, and the States
during examination, inspections and investigations.
    The Commission may not conduct or sponsor a collection of
information unless it displays a currently valid control number. No
person shall be subject to any penalty for failing to comply with a
collection of information subject to the PRA that does not display a
valid Office of Management and Budget (OMB) control number.
    The public may view the background documentation for this
information collection at the following Web site, http://www.reginfo.gov. Comments should be directed to (i) Desk Officer for
the Securities and Exchange Commission, Office of Information and
regulatory Affairs, Office of Management and Budget Room 10102, New
Executive Office Building, Washington, DC 20503, or by sending an e-
mail to<EMAIL_ADDRESS>and (ii) Thomas Bayer, Chief
Information Officer, Securities and Exchange Commission, c/o Remi
Pavlik-Simon, 6432 General Green Way, Alexandria, VA 22312 or send an
e-mail to<EMAIL_ADDRESS>Comments must be submitted to OMB
within thirty days of this notice.

    Dated: March 22, 2011.
Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-7151 Filed 3-25-11; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 79, Number 62 (Tuesday, April 1, 2014)]
[Notices]
[Page 18353]
[FR Doc No: 2014-07281]

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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, Public Law 94-409, that the Securities
and Exchange Commission will hold a Closed Meeting on Thursday, April
3, 2014 at 2:00 p.m.
    Commissioners, Counsel to the Commissioners, the Secretary to the
Commission, and recording secretaries will attend the Closed Meeting.
Certain staff members who have an interest in the matters also may be
present.
    The General Counsel of the Commission, or her designee, has
certified that, in her opinion, one or more of the exemptions set forth
in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR
200.402(a)(3), (5), (7), 9(ii) and (10), permit consideration of the
scheduled matter at the Closed Meeting.
    Commissioner Stein as duty officer, voted to consider the items
listed for the Closed Meeting in closed session.
    The subject matter of the Closed Meeting will be:
    Institution and settlement of injunctive actions;
    institution and settlement of administrative proceedings;
    an adjudicatory matter; and
    other matters relating to enforcement proceedings.
    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: March 27, 2014.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2014-07281 Filed 3-28-14; 11:15 am]
BILLING CODE 8011-01-P


[Federal Register: November 18, 2008 (Volume 73, Number 223)]
[Rules and Regulations]
[Page 68321-68328]
[DOCID:fr18no08-9]

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 736, 740, 742, 744, 748, 752, 760, and 772

[Docket No. 080220216-81424-03]
RIN 0694-AD59

Conforming Changes to Certain End-User/End-Use Based Controls in
the EAR; Clarification of the Term ``Transfer'' and Related Terms as
Used in the EAR

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final rule.

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SUMMARY: In this final rule, the Bureau of Industry and Security (BIS)
is amending the Export Administration Regulations (EAR) by making
conforming changes in certain end-user/end-use controls in the EAR to
ensure that the terminology used to describe each type of end-user/end-
use control is consistent, to the fullest extent possible, with the
terminology in other such controls in the EAR. The amendments in this
rule clarify that a party cannot proceed with an export, reexport, or
transfer (in-country) that is in transit at the time the party is
informed by BIS that a license is required (in accordance with certain
end-user/end-use controls in the EAR), unless that party first obtains
a license from BIS authorizing the completion of the transaction. These
changes are intended to enhance the ability of BIS to stop items
subject to the EAR, including items not on the Commerce Control List,
from being exported, reexported or transferred (in-country) when there
is an unacceptable risk that such items will be used in, or diverted
to, any of the proliferation activities specified in certain sections
of the EAR. This rule also amends the EAR by revising the definition of
the term ``transfer'' and certain related terms, to provide greater
clarity regarding these provisions. BIS published these amendments in
proposed form in the Federal Register with a request for comments.

DATES: This rule is effective: November 18, 2008.

ADDRESSES: Written comments on this rule may be sent to the Federal
Register eRulemaking Portal: http://www.regulations.gov, or by e-mail
to<EMAIL_ADDRESS>Include RIN 0694-AD59 in the subject
line of the message. Comments may be submitted by mail or hand delivery
to Timothy Mooney, Office of Exporter Services, Regulatory Policy
Division, Bureau of Industry and Security, U.S. Department of Commerce,
14th St. & Pennsylvania Avenue, NW., Room H2705, Washington, DC 20230,
Attn: RIN 0694-AD59; or by fax to<PHONE_NUMBER>.
    Send comments regarding the collection of information to Jasmeet
Seehra, Office of Management and Budget (OMB), by e-mail to
<EMAIL_ADDRESS>or by fax to<PHONE_NUMBER>; and to the Regulatory
Policy Division, Bureau of Industry and Security, U.S. Department of
Commerce, 14th St. & Pennsylvania Avenue, NW., Room H2705, Washington,
DC 20230.

FOR FURTHER INFORMATION CONTACT: Timothy Mooney, Office of Exporter
Services, Bureau of Industry and Security, U.S. Department of Commerce;
by telephone:<PHONE_NUMBER>; or by fax:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Background

Conforming Changes to Certain End-User/End-Use Based Controls in the
EAR

    Part 744 of the EAR deals with the end-user and end-use based
control policy under the EAR. Section 744.3 prohibits exports,
reexports and transfers (in-country) of items subject to the EAR to
certain missile-related end-uses. Section 744.4 prohibits exports,
reexports and transfers (in-country) of items subject to the EAR to
certain chemical and biological proliferation activities. Section 744.6
prohibits certain activities by U.S. persons in support of certain
nuclear, missile, chemical, or biological end-uses. Section 744.2
prohibits exports and reexports of items subject to the EAR to certain
nuclear proliferation activities. This rule adds transfer (in-country)
to the scope of the prohibition set forth in Sec.  744.2 to ensure that
the language in that section conforms with the language in Sec. Sec.
744.3, 744.4 and 744.6.
    Within each of these sections of part 744, there is a paragraph (b)
that includes ``is informed'' provisions that set out the requirements
of what persons need to do once they are informed by BIS that their
transactions would be subject to the prohibitions set forth in
Sec. Sec.  744.2, 744.3, 744.4 or 744.6. Prior to publication of this
rule, there were minor differences in the terminology used to describe
the end-user/end-use controls in each of these sections. This rule
amends the end-user/end-use controls in these sections of part 744 to
ensure that the terminology used in any one of these sections conforms,
to the fullest extent possible, with the terminology used in the other
sections. These changes are intended to make the end-user/end-use
controls in part 744 of the EAR more consistent as well as transparent,
so that members of the public can more clearly understand their
obligations under the EAR.
    In addition, this rule adds new provisions to Sec.  744.1 to
clarify that a party cannot proceed with an export, reexport, or
transfer (in-country) that is in transit at the time the party is
informed by BIS that a license is required (in accordance with the end-
user/end-use controls in Sec. Sec.  744.2, 744.3, 744.4 or 744.6 of the
EAR), unless that party first obtains a license from BIS authorizing
the completion of the transaction. This rule clarifies that once a
person ``is informed'' by BIS that a transaction is subject to one of
the prohibitions in Sec. Sec.  744.2, 744.3, 744.4 or 744.6, a person
would be required to apply for authorization from BIS before proceeding
with the transaction. This rule further amends the EAR to clearly
explain the steps a person must take if an item included in such a
transaction is already in transit when a person ``is informed'' by BIS.
    These changes to part 744 are intended to enhance the ability of
BIS to stop items subject to the EAR, including items not on the
Commerce Control List, from being exported, reexported or transferred
(in-country) when there is an unacceptable risk that such items will be
used in, or diverted to, any of the proliferation activities specified
in Sec. Sec.  744.2, 744.3, 744.4 and 744.6 of the EAR.
    This clarification is consistent with UN Security Council
Resolution 1540 (2004), which includes binding obligations on all UN
Member States to prevent the proliferation of nuclear, chemical, or
biological weapons and their means of delivery, including by
establishing appropriate controls over related materials. UNSCR 1540
stipulates that States are to establish, develop, review and maintain
appropriate effective national export and transshipment controls over
such items, including appropriate laws and regulations to control
export, transit, transshipment and reexport; and to establish and
enforce appropriate criminal or civil penalties for violations of such
export control laws and regulations.
    Through this clarification, the United States is continuing to
carry out its commitment to the Proliferation Security Initiative (PSI)
Statement of Interdiction Principles, which states that PSI partners
will work to strengthen their relevant national legal authorities where
necessary and not to allow any persons subject to their jurisdiction to

transport or assist in the transport of any cargoes of weapons of mass
destruction (WMD), their delivery systems, or related materials to or
from states or non-state actors of proliferation concern. The PSI is a
global effort that aims to stop shipments of WMD, their delivery
systems, and related materials flowing to or from states or non-state
actors of proliferation concern. Announced by President Bush on May 31,
2003, the PSI stems from the National Strategy to Combat Weapons of
Mass Destruction issued in December 2002. That strategy recognizes the
need for more robust tools to defeat the proliferation of WMD around
the world, and specifically identifies interdiction as an area where
greater focus will be placed. The PSI is a set of activities, not a
formal treaty-based organization, that focuses on establishing greater
coordination among its partner states when a particular action is
needed.
    This rule makes the following specific revisions to the EAR:
    1. In Sec.  744.1 (General Provisions), this rule amends paragraph
(a)(1)(Introduction), by adding ``transfer (in-country)'' to specify
clearly that the prohibitions in Sec. Sec.  744.2, 744.3, 744.4 and
744.6 also apply to such scenarios. This rule also amends paragraph
(b)(2) (Determine Applicability), by adding a sentence at the end of
that paragraph that states ``For exports, reexports or transfers (in-
country) that are in transit at the time you are informed by BIS that a
license is required in accordance with Sec. Sec.  744.2(b), 744.3(b),
744.4(b) or 744.6(b) of the EAR, you may not proceed any further with
the transaction, unless you first obtain a license from BIS (see part
748 of the EAR for instructions on how to apply for a license).'' This
rule also amends paragraph (a)(1) by adding ``transfer (in-country)''
to specify clearly that the prohibition specified in Sec.  744.5
(Restrictions on Certain Maritime Nuclear Propulsion End-Uses) also
applies to such scenarios.
    2. In Sec.  744.2 (Restrictions on Certain Nuclear End-Uses), this
rule amends paragraph (a) (General Prohibition) by clarifying that this
prohibition in Sec.  744.2 also applies to transfers (in-country) to
conform with the language used in Sec. Sec.  744.3, 744.4 and 744.6. In
paragraph (b) (Additional Prohibition), this rule amends the heading to
clarify that this paragraph applies an additional prohibition ``on
persons informed by BIS''. Also in paragraph (b), this rule amends the
``is informed'' provisions to conform with the ``is informed''
provisions in Sec. Sec.  744.3, 744.4 and 744.6. Specifically, the rule
removes the phrase ``exporters or reexporters'', replaces it with the
term ``persons'' in three locations, and adds the phrase ``transfer
(in-country)'' to clarify that this prohibition also applies to
transfers (in-country). Also in paragraph (b), this rule adds the
phrase ``or for the export, reexport, or transfer (in-country)'' before
the phrase ``of specified items'' in the first sentence, among other
minor changes, to conform with Sec. Sec.  744.3, 744.4 and 744.6.
    3. In Sec.  744.3 (Restrictions on Certain Rocket Systems
(Including Ballistic Missile Systems And Space Launch Vehicles And
Sounding Rockets) and Unmanned Air Vehicles (Including Cruise Missile
Systems, Target Drones And Reconnaissance Drones) End-Uses), this rule
amends paragraph (a) (General Prohibition) by inserting the word
``that'' after the phrase, ``* * * or transfer you know'' and by
deleting the word ``the'' in the phrase ``at the time of export'' to
conform with Sec. Sec.  744.2, 744.4 and 744.6. In paragraph (b)
(Additional Prohibition), this rule amends the heading to clarify that
this paragraph applies an additional prohibition ``on persons informed
by BIS''. Also in paragraph (b), this rule amends the ``is informed''
provisions by adding the word ``persons'' in two locations, by adding
the phrase ``(in-country)'' after the word transfer and by adding the
phrase ``or for the export, reexport, or transfer (in-country)'' before
the phrase ``of specified items'' in the first sentence, among other
minor changes, to conform with Sec. Sec.  744.2, 744.4 and 744.6.
    4. In Sec.  744.6 (Restrictions on Certain Activities of U.S.
Persons), this rule amends paragraph (a) (General Prohibition) to
conform with Sec. Sec.  744.2, 744.3 and 744.4 by adding the phrase
``(in-country)'' after the word ``transfer'' in paragraphs (a)(1)(i)
and (a)(1)(ii) and in paragraph (a)(3) to clarify that this prohibition
in Sec.  744.6 also applies to transfers (in-country). In paragraph (b)
(Additional Prohibitions on U.S. persons informed by BIS) this rule
updates the ``is informed'' provisions to conform with Sec. Sec.
744.2, 744.3 and 744.4; specifically by adding the phrase ``by specific
notice'' after the word ``individually'' in the first sentence and by
removing the term ``exporter'' and replacing it with the term ``U.S.
persons'' in the last sentence.
    5. In Sec.  744.5 (Restrictions on Certain Maritime Nuclear
Propulsion End-Uses), this rule amends paragraph (a) (General
Prohibition) by clarifying that this prohibition in Sec.  744.5 also
applies to transfers (in-country). With this final rule, this paragraph
(a) prohibits the exports, reexports, and transfers (in-country) of
items subject to the EAR to defined nuclear maritime end-uses in Sec.
744.5.

Revisions to Definitions of Transfer and Related Terms

    In Sec.  772.1 (Definitions of Terms as Used in the Export
Administration Regulations), this rule revises the term ``transfer'' to
clarify that the term merely refers to a conveyance of items. This rule
further clarifies the definition by including the definition of ``in-
country transfer/transfer (in-country)'' as an ancillary definition to
the term ``transfer'', referring to the conveyance of items within a
single foreign country. These revisions will provide greater clarity
regarding the meaning of these defined terms under the EAR. In a note
at the end of these definitions, this rule adds cross references to
Sec. Sec.  750.7(c) (Changes to a license) and 764.2(e) (Acting with
knowledge of a violation). The term ``transfer'' may also be included
on licenses issued by BIS. In that regard, these cross references are a
reminder to persons involved with items authorized by a BIS license
that changes that can be made to a BIS license are the non-material
changes described in Sec.  750.7(c). In addition, persons should be
aware that any person that knowingly makes a material change to a BIS
license without proper authorization would violate Sec.  764.2(e) of
the EAR.
    This rule also corrects several places in the EAR where the term
``transfer'' is used, but the intended meaning is ``transfer (in-
country)'' or ``in-country transfer''. Specifically, references to the
term ``transfer'' in Sec.  736.2, General Order No. 2 to Supp. No. 1 to
part 736, Sec. Sec.  740.5, 740.7, 740.9, 740.11, 744.3, 744.4, 744.6,
Supp. No. 2 to part 748, Sec. Sec.  752.5, 752.8, 752.16, and
Supplement No. 3 to part 752 are clarified with this rule. This rule
also clarifies that the term ``retransfer'' means ``in-country
transfer'' by replacing the term ``retransfer'' with the term
``transfer (in-country)'' in Sec. Sec.  740.11, 740.17, 742.15, 752.5
and Supp. No. 3 to part 752. This rule also removes one outdated
reference to ``re-transfer'' in Supp. No. 5 to part 742 because it is
not needed. This rule also clarifies that the terms ``transferred'' and
``transfer'', in the context of Sec. Sec.  760.1 and 760.3, mean
``assigned to'' and ``assignment'', respectively.

Comments and Responses

    BIS received one public comment, which addressed four aspects of
the proposed rule. A summary of this public comment and BIS responses
appear below.

Comment 1: Transfer Provisions Under the Ear Should Be Removed or at
Least Limited to ``U.S. Person'' Activities Under Sec.  744.6

    The proposed changes to part 744 were intended to make certain
conforming changes to certain end-user and end/use based controls under
the EAR. The public comment to make Sec.  744.2 conform with Sec. Sec.
744.3 and 744.4 by removing the transfer (in-country) prohibition from
these other end-use controls would be contrary to U.S. export control
interests. Adopting this public comment for making the end-use controls
under part 744 conform in this way would make it be permissible under
the EAR for foreign nationals to ``knowingly'' transfer (in-country)
items that are subject to the EAR to prohibited end-users that are
involved in prohibited missile technology or chemical and biological
end-uses.
    BIS tries as much as possible to narrow controls under the EAR,
especially those that have extraterritorial reach, to those controls
that are most critical to protecting U.S. export control interests. The
end-use controls in part 744, especially those under Sec. Sec.  744.2,
744.3, 744.4 and 744.6 are critical to protecting U.S. non-
proliferation control interests. By making this conforming change to
Sec.  744.2, along with the other conforming changes to certain end-use
controls in part 744, BIS is taking a positive step to enhance U.S.
national security by helping to better ensure that items subject to the
EAR are not being ``knowingly'' supplied to persons involved in certain
prohibited nuclear end-uses.

Comment 2: Transfer Provisions Under the EAR Are Extraterritorial

    Given that the EAR controls ``items'' that are subject to the EAR
no matter where they are located in the world, by its inherent nature
the EAR is extraterritorial in its reach. In some cases, EAR
restrictions extend to ``items'' that are subject to the EAR that are
located within a foreign country, such as the provisions dealing with
transfers (in-country). Another example of the extraterritorial reach
of the EAR would be when an ``item'' that is subject to the EAR is
located in a foreign country, but was illegally exported to that
foreign country. Under Sec.  764.2(e) a person that had ``knowledge''
of that violation would be prohibited from being involved with that
``item'' that was subject to the EAR that was involved with a violation
of the EAR. This would extend to certain activities, such as servicing
that ``item'' that was subject to the EAR that was involved in a
violation of the EAR.
    The jurisdiction of the EAR follows the ``item'' that is subject to
the EAR. In certain limited cases, the jurisdictional reach of the EAR
extends even further, such as the end-use control under Sec.  744.6.
However, because these end-use controls extend beyond ``items'' that
are subject to the EAR (e.g., applying to certain foreign origin items
and certain activities), these end-use controls are only applicable to
``U.S. persons''. In these cases the EAR jurisdiction is being asserted
over the ``U.S. person'' which allows for a broader EAR jurisdiction to
apply. Any other extraterritorial application of the EAR will always be
tied to an ``item'' that is subject to the EAR. The end-use controls in
part 744, especially those end-use controls under Sec. Sec.  744.2,
744.3, 744.4 and 744.6 are broad in scope given that they apply to all
items that are subject to the EAR. However, each of these end-use
controls is targeted by including a required ``knowledge'' element to
trigger the end-use control. For the end-use control in Sec.  744.2,
this control is further targeted by carving out countries that are
listed in Supplement No. 3 to Part 744 and by specifying the types of
nuclear end-uses that are of concern to the U.S. Government under Sec.
744.2.
    Lastly, BIS would note that no foreign governments submitted public
comments regarding this proposed rule. Also when the transfer (in-
country) provisions were added to Sec. Sec.  744.3 and 744.4, other
governments around the world did not voice complaints to BIS. In
contrast, since that time, various countries around the world have
increasingly worked with the USG in various international forums, such
as the Proliferation Security Initiative (PSI) to help stem the flow of
WMDs and many countries have adopted additional restrictions within
their own export control systems to help stem the proliferation of
WMDs.

Comment 3: Transfer Provisions Under the EAR Are Not Enforceable

    BIS actively works with other countries to help enforce the EAR,
including transfer provisions under the EAR. For example, as part of
BIS's international efforts to achieve its enforcement mission, BIS
sends experienced Department of Commerce Special Agents overseas as
Export Control Officers (ECOs) at key U.S. embassies in Beijing, China;
Hong Kong; Abu Dhabi, UAE; New Delhi, India; and Moscow, Russia. The
principal mission of the ECOs is to ensure that U.S. dual-use goods
entering their region are used in accordance with U.S. export control
laws and regulations. Compliance verification is accomplished through
targeted end-use checks and by working with host governments and local
businesses to ensure that they understand and comply with U.S. export
laws and regulations, including any applicable transfer provisions
under the EAR. ECOs also work with host governments and local
businesses to provide information and appropriate training to
facilitate better understanding of the EAR.

Comment 4: Guidance on Not Proceeding With an In-Transit Transaction at
the Time You Are Informed by BIS Is Not Needed

    The public comment noted that the proposed addition to Sec.
744.1(b)(2) on not proceeding with an in-transit transaction at the
time you are informed by BIS that a license is required is unnecessary
and undesirable because the point is already covered more clearly in
Sec.  758.8(b).
    BIS believes that this provision will provide a mechanism by which
a party can apply for authorization to continue a transaction once they
have been informed by BIS of such risk, as described in the license
requirements in Sec. Sec.  744.2, 744.3, 744.4 or 744.6, after the
``export'' has taken place (i.e., left the territory). This provision
is needed given the restrictions in Sec.  748.4(d)(2). Section 758.8(b)
does not provide clear guidance regarding whether a party could apply
for a license once they are informed under the provisions of Sec. Sec.
744.2, 744.3, 744.4 and 744.6.

Changes From the Proposed Rule

    After considering the one public comment received, BIS is
implementing the proposed rule as was proposed without making any
additional changes.

Savings Clause

    Shipments of items removed from eligibility for a License Exception
or export or reexport without a license (NLR) as a result of this
regulatory action that were on dock for loading, on lighter, laden
aboard an exporting or reexporting carrier, or en route aboard a
carrier to a port of export or reexport, on November 18, 2008 pursuant
to actual orders for export or reexport to a foreign destination, may
proceed to that destination under the previous eligibility for a
License Exception or export or reexport without a license (NLR) so long
as they are exported or reexported before December 18, 2008. Any such
items not actually exported or reexported before midnight, on December
18, 2008, require a license in accordance with this rule.

    Although the Export Administration Act expired on August 20, 2001,
the President, through Executive Order 13222 of August 17, 2001, 3 CFR,
2001 Comp., p. 783 (2002), as extended by the Notice of July 23, 2008,
73 FR 43603 (July 25, 2008), has continued the Export Administration
Regulations in effect under the International Emergency Economic Powers
Act.

Rulemaking Requirements

    1. This final rule has been determined to be not significant for
purposes of E.O. 12866.
    2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with a collection of information, subject to the
requirements of the Paperwork Reduction Act, unless that collection of
information displays a currently valid Office of Management and Budget
Control Number. This final rule involves a collection of information
subject to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et
seq.). This collection has been approved by the Office of Management
and Budget under control number 0694-0088, ``Multi-Purpose
Application,'' which carries a burden hour estimate of 58 minutes for a
manual or electronic submission. This final rule is expected to have a
minimal increase on the total number of license applications submitted
to BIS. Send comments regarding these burden estimates or any other
aspect of these collections of information, including suggestions for
reducing the burden, to Jasmeet Seehra, Office of Management and Budget
(OMB), and to the Regulatory Policy Division, Bureau of Industry and
Security as indicated in the ADDRESSES section of this rule.
    3. This rule does not contain policies with Federalism implications
as that term is defined under E.O. 13132.
    4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military and foreign affairs
function of the United States (5 U.S.C. 553(a)(1)). Further, no other
law requires that a notice of proposed rulemaking and an opportunity
for public comment be given for this final rule. Because a notice of
proposed rulemaking and an opportunity for public comment are not
required to be given for this rule under the Administrative Procedure
Act or by any other law, the analytical requirements of the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.) are not applicable. Therefore,
this regulation is issued in final form. Although the formal comment
period closed on June 17, 2008, public comments on this regulation are
welcome on a continuing basis. Comments should be submitted to one of
the addresses listed in the ADDRESSES section of the preamble of this
final rule.

List of Subjects

15 CFR Parts 736 and 772

    Exports.

15 CFR Parts 740, 748 and 752

    Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.

15 CFR Part 742

    Exports, Terrorism.

15 CFR Part 744

    Exports, Reporting and recordkeeping requirements, Terrorism.

15 CFR Part 760

    Boycotts, Exports, Reporting and recordkeeping requirements.

0
Accordingly, parts 736, 740, 742, 744, 748, 752, 760, and 772 of the
Export Administration Regulations (15 CFR parts 730-774) are amended as
follows:

PART 736--[AMENDED]

0
1. The authority citation for 15 CFR part 736 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 2151 note; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p.
950; E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp. p. 219; E.O. 13026,
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3
CFR, 2001 Comp., p. 783; E.O. 13338, 69 FR 26751, May 13, 2004;
Notice of July 23, 2008, 73 FR 43603 (July 25, 2008); Notice of
November 8, 2007, 72 FR 63963 (November 13, 2007).

0
2. Section 736.2 is amended by revising the first sentence of paragraph
(b)(10) to read as follows:

Sec.  736.2  General prohibitions and determination of applicability.

* * * * *
    (b) * * *
    (10) * * * You may not sell, transfer, export, reexport, finance,
order, buy, remove, conceal, store, use, loan, dispose of, transport,
forward, or otherwise service, in whole or in part, any item subject to
the EAR and exported or to be exported with knowledge that a violation
of the Export Administration Regulations, the Export Administration Act
or any order, license, License Exception, or other authorization issued
thereunder has occurred, is about to occur, or is intended to occur in
connection with the item. * * *

0
3. General Order No. 2 to Supplement No. 1 to part 736, is amended by
revising the last sentence of paragraph (b) to read as follows:

Supplement No. 1 to Part 736--General Orders

* * * * *

General Order No. 2

* * * * *
    (b) * * * License conditions requiring written U.S. Government
authorization for the reexport, transfer (in-country), or resale of
items already exported or reexported remain in effect, and requests for
BIS authorization to reexport, transfer (in-country), or sell such
items will require interagency approval.
* * * * *

PART 740--[AMENDED]

0
4. The authority citation for 15 CFR part 740 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 7201 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp.,
p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice
of July 23, 2008, 73 FR 43603 (July 25, 2008).

0
5. Section 740.5 is amended by revising the first and second sentences
of paragraph (b)(1) to read as follows:

Sec.  740.5  Civil end-users (CIV).

* * * * *
    (b) Restrictions.
    (1) * * * You may not use CIV if you ``know'' the item will be or
is intended to be exported, reexported, or transferred (in-country) to
military uses or military end-users. Such exports, reexports, and
transfers (in-country) will continue to require a license. In addition
to conventional military activities, military uses include any
proliferation activities described and prohibited by part 744 of the
EAR. * * *
* * * * *
0
6. Section 740.7 is amended by revising paragraph (b)(5) to read as
follows:

Sec.  740.7  Computers (APP).

* * * * *
    (b) * * *
    (5) License Exception APP does not authorize exports, reexports and
transfers (in-country) for nuclear, chemical, biological, or missile
end-users and end-uses subject to license requirements under Sec.
744.2, Sec.  744.3, Sec.  744.4, and Sec.  744.5 of the EAR. Such

exports, reexports and transfers (in-country) will continue to require
a license and will be considered on a case-by-case basis. Reexports and
transfers (in-country) to these end-users and end-uses in eligible
countries are strictly prohibited without prior authorization.
* * * * *

0
7. Section 740.9 is amended by revising paragraph (a)(2)(ix)(A) to read
as follows:

Sec.  740.9  Temporary imports, exports, and reexports (TMP).

* * * * *
    (a) * * *
    (2) * * *
    (ix) Temporary exports to a U.S. subsidiary, affiliate or facility
in Country Group B. (A) Components, parts, tools or test equipment
exported by a U.S. person to its subsidiary, affiliate or facility in a
country listed in Country Group B (see Supplement No. 1 to this part)
that is owned or controlled by the U.S. person, if the components,
part, tool or test equipment is to be used for manufacture, assembly,
testing, production or modification, provided that no components,
parts, tools or test equipment or the direct product of such
components, parts, tools or test equipment are transferred (in-country)
or reexported from such subsidiary, affiliate or facility without prior
authorization by BIS.
* * * * *

0
8. Section 740.11 is amended by revising paragraph (c)(3) to read as
follows:

Sec.  740.11  Governments, international organizations, and
international inspections under the Chemical Weapons Convention (GOV).

* * * * *
    (c) * * *
    (3) Confidentiality. The application of the provisions of this
paragraph (c) is subject to the condition that the confidentiality of
business information is strictly protected in accordance with
applicable provisions of the EAR and other U.S. laws regarding the use
and transfer of U.S. goods and services.
* * * * *

PART 742--[AMENDED]

0
9. The authority citation for 15 CFR part 742 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22 U.S.C. 7201 et seq.; 22
U.S.C. 7210; Sec. 1503, Pub. L. 108-11, 117 Stat. 559; E.O. 12058,
43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3
CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp.,
p. 950; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O.
13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Presidential
Determination 2003-23 of May 7, 2003, 68 FR 26459, May 16, 2003;
Notice of July 23, 2008, 73 FR 43603 (July 25, 2008); Notice of
November 8, 2007, 72 FR 63963 (November 13, 2007).

0
10. In Supplement No. 5 to Part 742 is amended by revising paragraph
(3) to read as follows:

Supplement No. 5 to Part 742--Checklist on Encryption and Other
``Information Security'' Functions

* * * * *
    3. For products that contain an ``encryption component'', can this
encryption component be easily used by another product, or accessed by
the end-user for cryptographic use?

PART 744--[AMENDED]

0
11. The authority citation for 15 CFR part 744 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22 U.S.C. 7201 et seq.; 22
U.S.C. 7210; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179;
E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59
FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 12947, 60 FR 5079, 3 CFR,
1995 Comp., p. 356; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13099, 63 FR 45167, 3 CFR, 1998 Comp., p. 208; E.O. 13222,
66 FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 13224, 66 FR 49079, 3
CFR, 2001 Comp., p. 786; Notice of July 23, 2008, 73 FR 43603 (July
25, 2008); Notice of November 8, 2007, 72 FR 63963 (November 13,
2007).

0
12. Section 744.1 is amended by revising paragraphs (a)(1) and (b)(2)
to read as follows:

Sec.  744.1  General provisions.

    (a)(1) Introduction. In this part, references to the EAR are
references to 15 CFR chapter VII, subchapter C. This part contains
prohibitions against exports, reexports, and selected transfers to
certain end-users and end-uses as introduced under General Prohibition
Five (End-use/End-users) and Nine (Orders, Terms, and Conditions),
unless authorized by BIS. Sections 744.2, 744.3, 744.4 prohibit
exports, reexports and transfers (in-country) of items subject to the
EAR to defined nuclear, missile, and chemical and biological
proliferation activities. Section 744.5 prohibits exports, reexports
and transfers (in-country) of items subject to the EAR to defined
nuclear maritime end-uses. Section 744.6 prohibits certain activities
by U.S. persons in support of certain nuclear, missile, chemical, or
biological end-uses. Section 744.7 prohibits exports and reexports of
certain items for certain aircraft and vessels. Section 744.9 prohibits
U.S. persons from providing technical assistance to certain foreign
persons seeking to develop or manufacture certain encryption
commodities or software. Section 744.10 prohibits exports and reexports
of any item subject to the EAR to Russian entities, included in
Supplement No. 4 of this part. Section 744.11 imposes license
requirements, to the extent specified in Supplement No. 4 to this part
on entities listed in Supplement No. 4 to this part for activities
contrary to the national security or foreign policy interests of the
United States. Sections 744.12, 744.13 and 744.14 prohibit exports and
reexports of any item subject to the EAR to persons designated as
Specially Designated Global Terrorists, Specially Designated
Terrorists, or Foreign Terrorist Organizations, respectively. Section
744.16 sets forth the right of a party listed in Supplement No. 4 to
this part to request that its listing be removed or modified. Section
744.19 sets forth BIS's licensing policy for applications for exports
or reexports when a party to the transaction is an entity that has been
sanctioned pursuant to any of three specified statutes that require
certain license applications to be denied. Section 744.20 requires a
license, to the extent specified in Supplement No. 4 to this part, for
exports and reexports of items subject to the EAR destined to certain
sanctioned entities listed in Supplement No. 4 to this part. Section
744.15 describes restrictions on exports and reexports to persons named
in general orders. In addition, these sections include license review
standards for export license applications submitted as required by
these sections. It should also be noted that part 764 of the EAR
prohibits exports, reexports and certain transfers of items subject to
the EAR to denied parties.
* * * * *
    (b) * * *
    (2) Determine applicability. Second, determine whether any of the
end-use and end-user prohibitions described in this part are applicable
to your planned export, reexport, transfer (in-country) or other
activity. See Supplement No. 1 to part 732 for guidance. For exports,
reexports or transfers (in-country) that are in transit at the time you
are informed by BIS that a license is required in accordance with
Sec. Sec.  744.2(b), 744.3(b), 744.4(b) or 744.6(b) of the EAR, you may
not proceed any further with the transaction unless you first obtain a
license from BIS (see part 748 of the EAR for instructions on how to

apply for a license). The provisions of Sec.  748.4(d)(2) shall not
apply to license applications submitted pursuant to a notification from
BIS that occurs while an export, reexport, or transfer (in-country) is
in transit.
* * * * *

0
13. Section 744.2 is amended by revising paragraph (a) introductory
text and paragraph (b) to read as follows:

Sec.  744.2  Restrictions on certain nuclear end-uses.

    (a) General prohibition. In addition to the license requirements
for items specified on the CCL, you may not export, reexport, or
transfer (in-country) to any destination, other than countries in
Supplement No. 3 to this part, an item subject to the EAR without a
license if, at the time of export, reexport, or transfer (in-country)
you know \1\ that the item will be used directly or indirectly in any
one or more of the following activities described in paragraphs (a)(1),
(a)(2), and (a)(3) of this section:
---------------------------------------------------------------------------

    \1\ Part 772 of the EAR defines ``knowledge'' for all of the EAR
except part 760, Restrictive Trade Practices and Boycotts. The
definition, which includes variants such as ``know'' and ``reason to
know'', encompasses more than positive knowledge. Thus, the use of
``know'' in this section in place of the former wording ``know or
have reason to know'' does not lessen or otherwise change the
responsibilities of persons subject to the EAR.
---------------------------------------------------------------------------

* * * * *
    (b) Additional prohibition on persons informed by BIS. BIS may
inform persons, either individually by specific notice or through
amendment to the EAR, that a license is required for a specific export,
reexport, or transfer (in-country), or for the export, reexport, or
transfer (in-country) of specified items to a certain end-user, because
there is an unacceptable risk of use in, or diversion to, the
activities specified in paragraph (a) of this section. Specific notice
is to be given only by, or at the direction of, the Deputy Assistant
Secretary for Export Administration. When such notice is provided
orally, it will be followed by a written notice within two working days
signed by the Deputy Assistant Secretary for Export Administration.
However, the absence of any such notification does not excuse persons
from compliance with the license requirements of paragraph (a) of this
section.
* * * * *

0
14. Section 744.3 is amended:
0
a. By revising paragraph (a) introductory text;
0
b. By revising paragraph (b); and
0
c. By revising paragraph (d)(1) to read as follows:

Sec.  744.3  Restrictions on certain rocket systems (including
ballistic missile systems and space launch vehicles and sounding
rockets) and unmanned air vehicles (including cruise missile systems,
target drones and reconnaissance drones) end-uses.

    (a) General prohibition. In addition to the license requirements
for items specified on the CCL, you may not export, reexport, or
transfer (in-country) an item subject to the EAR without a license if,
at the time of export, reexport or transfer (in-country) you know that
the item:
* * * * *
    (b) Additional prohibition on persons informed by BIS. BIS may
inform persons, either individually by specific notice or through
amendment to the EAR, that a license is required for a specific export,
reexport or transfer (in-country) or for the export, reexport, or
transfer (in-country) of specified items to a certain end-user, because
there is an unacceptable risk of use in, or diversion to, the
activities specified in paragraphs (a)(1) or (a)(2) of this section.
Specific notice is to be given only by, or at the direction of, the
Deputy Assistant Secretary for Export Administration. When such notice
is provided orally, it will be followed by a written notice within two
working days signed by the Deputy Assistant Secretary for Export
Administration. However, the absence of any such notification does not
excuse persons from compliance with the license requirements of
paragraphs (a)(1), (a)(2), or (a)(3) of this section.
* * * * *
    (d) License review standards. (1) Applications to export, reexport
or transfer (in-country) the items subject to this section will be
considered on a case-by-case basis to determine whether the export,
reexport or transfer (in-country) would make a material contribution to
the proliferation of certain rocket systems, or unmanned air vehicles.
When an export, reexport or transfer (in-country) is deemed to make a
material contribution, the license will be denied.
* * * * *

0
15. Section 744.4 is amended:
0
a. By revising paragraph (a); and
0
b. By revising paragraph (d)(1) to read as follows:

Sec.  744.4  Restrictions on certain chemical and biological weapons
end-uses.

    (a) General prohibition. In addition to the license requirements
for items specified on the CCL, you may not export, reexport, or
transfer (in-country) an item subject to the EAR without a license if,
at the time of export, reexport, or transfer (in-country) you know that
the item will be used in the design, development, production,
stockpiling, or use of chemical or biological weapons in or by any
country or destination, worldwide.
* * * * *
    (d) License review standards. (1) Applications to export, reexport,
or transfer (in-country) items subject to this section will be
considered on a case-by-case basis to determine whether the export,
reexport, or transfer (in-country) would make a material contribution
to the design, development, production, stockpiling, or use of chemical
or biological weapons. When an export, reexport, or transfer (in-
country) is deemed to make such a contribution, the license will be
denied.
* * * * *

0
16. Section 744.5 is amended by revising the first sentence of
paragraph (a) to read as follows:

Sec.  744.5  Restrictions on certain maritime nuclear end-uses.

    (a) * * * In addition to the license requirements for items
specified on the CCL, you may not export, reexport, or transfer (in-
country) certain technology subject to the EAR without a license if at
the time of the export, reexport or transfer (in-country) you know the
item is for use in connection with a foreign maritime nuclear
propulsion project. * * *
* * * * *

0
17. Section 744.6 is amended:
0
a. By revising paragraph (a)(1)(i) introductory text;
0
b. By revising paragraph (a)(1)(ii);
0
c. By revising paragraph (a)(3); and
0
d. By revising paragraph (b), to read as follows:

Sec.  744.6  Restrictions on certain activities of U.S. persons.

    (a) * * *
    (1) * * *
    (i) No U.S. person as defined in paragraph (c) of this section may,
without a license from BIS, export, reexport, or transfer (in-country)
an item where that person knows that such item:
* * * * *
    (ii) No U.S. person shall, without a license from BIS, knowingly
support an export, reexport, or transfer (in-country) that does not
have a license as required by this section. Support means any action,
including financing, transportation, and freight forwarding, by which a
person facilitates an export, reexport, or transfer (in-country).
* * * * *
    (3) Whole plant requirement. No U.S. person shall, without a
license from BIS,

participate in the design, construction, export, reexport, or transfer
(in-country) of a whole plant to make chemical weapons precursors
identified in ECCN 1C350, in countries other than those listed in
Country Group A:3 (Australia Group) (See Supplement No. 1 to part 740
of the EAR).
    (b) Additional prohibitions on U.S. persons informed by BIS. BIS
may inform U.S. persons, either individually by specific notice or
through amendment to the EAR, that a license is required because an
activity could involve the types of participation and support described
in paragraph (a) of this section. Specific notice is to be given only
by, or at the direction of, the Deputy Assistant Secretary for Export
Administration. When such notice is provided orally, it will be
followed by a written notice within two working days signed by the
Deputy Assistant Secretary for Export Administration. However, the
absence of any such notification does not excuse the U.S. person from
compliance with the license requirements of paragraph (a) of this
section.
* * * * *

PART 748--[AMENDED]

0
18. The authority citation for 15 CFR part 748 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66
FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of July 23, 2008, 73 FR
43603 (July 25, 2008).

0
19. Supplement No. 2 to part 748 is amended by revising paragraph
(c)(2), to read as follows:

Supplement No. 2 to Part 748--Unique Application and Submission
Requirements

* * * * *
    (c) * * *
    (2) Security Safeguard Plan requirement. The United States requires
security safeguards for exports, reexports, and transfers (in-country)
of High Performance Computers (HPCs) to ensure that they are used for
peaceful purposes. If you are submitting a license application for an
export, reexport, or in-country transfer of a high performance computer
to or within a destination in Computer Tier 3 (see Sec.  740.7(c)(1) of
the EAR) or to Cuba, Iran, North Korea, Sudan, or Syria you must
include with your license application a security safeguard plan signed
by the end-user, who may also be the ultimate consignee. This
requirement also applies to exports, reexports, and transfers (in-
country) of components or electronic assemblies to upgrade existing
``computer'' installations in those countries. A sample security
safeguard plan is posted on BIS's Web page at http://www.bis.doc.gov/
hpcs/SecuritySafeguardPlans.html.
* * * * *

PART 752--[AMENDED]

0
20. The authority citation for 15 CFR part 752 is revised to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp. p. 219; E.O. 13222, 66 FR
44025, 3 CFR, 2001 Comp., p. 783; Notice of July 23, 2008, 73 FR
43603 (July 25, 2008).

0
21. Section 752.5 is amended by revising the undesignated paragraph at
the end of (c)(8)(ii) to read as follows:

Sec.  752.5  Steps you must follow to apply for an SCL.

* * * * *
    (c) * * *
    (8) * * *
    (ii) * * *
    ``No chemicals or chemical equipment received under this Special
Comprehensive License will be transferred, resold, or reexported to a
destination or end-user that requires a license, unless the new end-
user has been approved by the Bureau of Industry and Security, and in
no case will the items be transferred, resold, or reexported to a party
who is not the end-user.''
* * * * *

0
22. Section 752.8 is amended by revising the last sentence of paragraph
(a) to read as follows:

Sec.  752.8  SCL application review process.

    (a) * * * In reviewing and approving a specific SCL request, BIS
retains the right to limit the eligibility of items or to prohibit the
export, reexport, or transfer (in-country) of items under the SCL to
specific firms, individuals, or countries.
* * * * *

0
23. Section 752.16 is amended by revising paragraph (a)(1)(v) to read
as follows:

Sec.  752.16  Administrative actions.

    (a)(1) * * *
    (v) Require that certain exports, reexports, or transfers (in-
country) be individually authorized by BIS;
* * * * *

0
24. Supplement No. 3 to part 752 is amended by revising Block (8)
paragraph (iv) to read as follows:

Supplement No. 3 to Part 752--Instructions on Completing Form BIS-752
``Statement by Consignee in Support of Special Comprehensive License''

* * * * *
    Block 8: Disposition or Use of Items.
* * * * *
    (iv) Item (d): Complete this Block if your company plans to
transfer or resell within the country of import. State the end-use of
your customers. If you plan to transfer to end-users that require prior
approval by BIS, complete and attach Form BIS-748P-B, End-User
Appendix.
* * * * *

PART 760--[AMENDED]

0
25. The authority citation for 15 CFR part 760 is revised to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of July
23, 2008, 73 FR 43603 (July 25, 2008).

0
26. Section 760.1 is amended by revising the first and second sentences
of paragraph (b)(4)(viii) to read as follows:

Sec.  760.1  Definitions.

* * * * *
    (b) * * *
    (4) * * *
    (viii) At the request of country Y, A, an individual employed by
U.S. company B, is assigned to company C as an employee. C is a foreign
company owned and controlled by country Y. A, a U.S. national who will
reside in Y, has agreed to the assignment provided he is able to retain
his insurance, pension, and other benefits. * * *
* * * * *

0
27. Section 760.3 is amended by revising the first sentence of
paragraph (f)(4)(i) to read as follows:

Sec.  760.3  Exceptions to prohibitions.

* * * * *
    (f) * * *
    (4) * * *
    (i) A, a U.S. individual employed by B, a U.S. manufacturer of
sporting goods with a plant in boycotting country Y, wishes to obtain a
work visa so that he may be assigned to the plant in Y. * * *
* * * * *

PART 772--[AMENDED]

0
28. The authority citation for 15 CFR part 772 continues to read as
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of July
23, 2008, 73 FR 43603 (July 25, 2008).

0
29. Section 772.1 is amended by revising the definition of ``transfer''
to read as follows:

Sec.  772.1  Definitions of terms as used in the Export Administration
Regulations (EAR).

* * * * *
    Transfer. A shipment, transmission, or release to any person of
items subject to the EAR either within the United States or outside the
United States. In-country transfer/transfer (in-country). The shipment,
transmission, or release of items subject to the EAR from one person to
another person that occurs outside the United States within a single
foreign country.

    Note: This definition of transfer does not apply to Sec.  750.10
or Supplement No. 8 to part 760 of the EAR. The term ``transfer''
may also be included on licenses issued by BIS. In that regard, the
changes that can be made to a BIS license are the non-material
changes described in Sec.  750.7(c). Any other change to a BIS
license without authorization is a violation of the EAR. See
Sec. Sec.  750.7(c) and 764.2(e).

* * * * *

    Dated: November 10, 2008.
Christopher R. Wall,
Assistant Secretary for Export Administration.
 [FR Doc. E8-27226 Filed 11-17-08; 8:45 am]

BILLING CODE 3510-33-P


[Federal Register Volume 85, Number 81 (Monday, April 27, 2020)]
[Notices]
[Pages 23350-23351]
[FR Doc No: 2020-08873]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER20-1610-000]

Lone Tree Wind, LLC; Supplemental Notice That Initial Market-
Based Rate Filing Includes Request for Blanket Section 204
Authorization

    This is a supplemental notice in the above-referenced proceeding of
Lone Tree Wind, LLC's application for market-based rate authority, with
an accompanying rate tariff, noting that such application includes a
request for blanket authorization, under 18 CFR part 34, of future
issuances of securities and assumptions of liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE, Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is May 11, 2020.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically may mail similar pleadings to
the Federal Energy Regulatory Commission, 888 First Street NE,
Washington, DC 20426. Hand delivered submissions in docketed
proceedings should be delivered to Health and Human Services, 12225
Wilkins Avenue, Rockville, Maryland 20852.
    In addition to publishing the full text of this document in the
Federal Register, the Commission provides all interested persons an
opportunity to view and/or print the contents of this document via the
internet through the Commission's Home Page (http://ferc.gov) using the
eLibrary link. Enter the docket number excluding the last three digits
in the docket number field

to access the document. At this time, the Commission has suspended
access to the Commission's Public Reference Room, due to the
proclamation declaring a National Emergency concerning the Novel
Coronavirus Disease (COVID-19), issued by the President on March 13,
2020. For assistance, contact the Federal Energy Regulatory Commission
at<EMAIL_ADDRESS>or call toll-free,<PHONE_NUMBER> or TYY,
(202) 502-8659.

    Dated: April 21, 2020.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2020-08873 Filed 4-24-20; 8:45 am]
 BILLING CODE 6717-01-P