The air quality control region which encompasses the Squaxin Island Reservation is classified as follows for purposes of episode plans:

Pollutant Classification Carbon monoxide III Nitrogen dioxide III Ozone III Particulate matter ( PM10) II Sulfur oxides II § 49.10856 Contents of implementation plan.

The implementation plan for the Squaxin Island Reservation consists of the following rules,

regulations, and measures:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes. May 28, 2004 Final Rule for OMB Review 253 ( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits.

§ 49.10857 EPA approved Tribal rules and plans. [ Reserved]

§ 49.10858 Permits to construct.

Permits to construct are required for new major stationary sources and major modifications to existing major stationary sources pursuant to 40 CFR 52.21.

§ 49.10859 Permits to operate.

Permits to operate are required for sources not subject to 40 CFR Part 71 in accordance with the requirements of § 49.139.

§ 49.10860 Federally promulgated regulations and Federal implementation plans.

The following regulations are incorporated and made part of the implementation plan for the Squaxin Island Reservation:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide. May 28, 2004 Final Rule for OMB Review 254 ( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes.

( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits.

§ § 49.10861 49.10880 [ Reserved]

36. Subpart M of Part 49 is amended by adding an undesignated center heading and § § 49.10881 through 49.10890 to read as follows:

IMPLEMENTATION PLAN FOR THE STILLAGUAMISH TRIBE OF WASHINGTON § 49.10881 Identification of plan.

This section and § § 49.10882 through 49.10920 contain the implementation plan for the Stillaguamish Tribe. This plan consists of a combination of Tribal rules and measures and Federal regulations and measures which apply within the Reservation of the Stillaguamish Tribe.

§ 49.10882 Approval status. May 28, 2004 Final Rule for OMB Review 255 There are currently no EPA approved Tribal rules or measures in the implementation plan for the Reservation of the Stillaguamish Tribe.

§ 49.10883 Legal authority. [ Reserved]

§ 49.10884 Source surveillance. [ Reserved]

§ 49.10885 Classification of regions for episode plans.

The air quality control region which encompasses the Reservation of the Stillaguamish Tribe is classified as follows for purposes of episode plans:

Pollutant Classification Carbon monoxide I Nitrogen dioxide III Ozone I Particulate matter ( PM10) I Sulfur oxides IA § 49.10886 Contents of implementation plan.

The implementation plan for the Reservation of the Stillaguamish Tribe consists of the following rules, regulations, and measures:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions. May 28, 2004 Final Rule for OMB Review 256 ( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes.

( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits.

§ 49.10887 EPA approved Tribal rules and plans. [ Reserved]

§ 49.10888 Permits to construct.

Permits to construct are required for new major stationary sources and major modifications to existing major stationary sources pursuant to 40 CFR 52.21.

§ 49.10889 Permits to operate.

Permits to operate are required for sources not subject to 40 CFR Part 71 in accordance with the requirements of § 49.139.

§ 49.10890 Federally promulgated regulations and Federal implementation plans. May 28, 2004 Final Rule for OMB Review 257 The following regulations are incorporated and made part of the implementation plan for the Reservation of the Stillaguamish Tribe:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes.

( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits.

§ § 49.10891 49.10920 [ Reserved]

37. Subpart M of Part 49 is amended by adding an undesignated center heading and § § 49.10921 through 49.10930 to read as follows:

IMPLEMENTATION PLAN FOR THE SUQUAMISH INDIAN TRIBE OF THE PORT MADISON RESERVATION, WASHINGTON May 28, 2004 Final Rule for OMB Review 258 § 49.10921 Identification of plan.

This section and § § 49.10922 through 49.10950 contain the implementation plan for the Suquamish Indian Tribe of the Port Madison Reservation. This plan consists of a combination of Tribal rules and measures and Federal regulations and measures which apply within the Port Madison Reservation.

§ 49.10922 Approval status.

There are currently no EPA approved Tribal rules or measures in the implementation plan for the Port Madison Reservation.

§ 49.10923 Legal authority. [ Reserved]

§ 49.10924 Source surveillance. [ Reserved]

§ 49.10925 Classification of regions for episode plans.

The air quality control region which encompasses the Port Madison Reservation is classified as follows for purposes of episode plans:

Pollutant Classification Carbon monoxide III Nitrogen dioxide III Pollutant Classification May 28, 2004 Final Rule for OMB Review 259 Ozone III Particulate matter ( PM10) II Sulfur oxides II § 49.10926 Contents of implementation plan.

The implementation plan for the Port Madison Reservation consists of the following rules,

regulations, and measures:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes.

( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits.

§ 49.10927 EPA approved Tribal rules and plans. [ Reserved] May 28, 2004 Final Rule for OMB Review 260 § 49.10928 Permits to construct.

Permits to construct are required for new major stationary sources and major modifications to existing major stationary sources pursuant to 40 CFR 52.21.

§ 49.10929 Permits to operate.

Permits to operate are required for sources not subject to 40 CFR Part 71 in accordance with the requirements of § 49.139.

§ 49.10930 Federally promulgated regulations and Federal implementation plans.

The following regulations are incorporated and made part of the implementation plan for the Port Madison Reservation:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes.

( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions. May 28, 2004 Final Rule for OMB Review 261 ( k) Section 49.139 Rule for non Title V operating permits.

§ § 49.10931 49.10950 [ Reserved]

38. Subpart M of Part 49 is amended by adding an undesignated center heading and § § 49.10951 through 49.10960 to read as follows:

IMPLEMENTATION PLAN FOR THE SWINOMISH INDIANS OF THE SWINOMISH RESERVATION, WASHINGTON § 49.10951 Identification of plan.

This section and § § 49.10952 through 49.10980 contain the implementation plan for the Swinomish Indians. This plan consists of a combination of Tribal rules and measures and Federal regulations and measures which apply within the Swinomish Reservation.

§ 49.10952 Approval status.

There are currently no EPA approved Tribal rules or measures in the implementation plan for the Swinomish Reservation.

§ 49.10953 Legal authority. [ Reserved]

§ 49.10954 Source surveillance. [ Reserved] May 28, 2004 Final Rule for OMB Review 262 § 49.10955 Classification of regions for episode plans.

The air quality control region which encompasses the Swinomish Reservation is classified as follows for purposes of episode plans:

Pollutant Classification Carbon monoxide III Nitrogen dioxide III Ozone III Particulate matter ( PM10) II Sulfur oxides II § 49.10956 Contents of implementation plan.

The implementation plan for the Swinomish Reservation consists of the following rules,

regulations, and measures:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes. May 28, 2004 Final Rule for OMB Review 263 ( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits.

§ 49.10957 EPA approved Tribal rules and plans. [ Reserved]

§ 49.10958 Permits to construct.

Permits to construct are required for new major stationary sources and major modifications to existing major stationary sources pursuant to 40 CFR 52.21.

§ 49.10959 Permits to operate.

Permits to operate are required for sources not subject to 40 CFR Part 71 in accordance with the requirements of § 49.139.

§ 49.10960 Federally promulgated regulations and Federal implementation plans.

The following regulations are incorporated and made part of the implementation plan for the Swinomish Reservation:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide. May 28, 2004 Final Rule for OMB Review 264 ( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes.

( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits.

§ § 49.10961 49.10980 [ Reserved]

39. Subpart M of Part 49 is amended by adding an undesignated center heading and § § 49.10981 through 49.10990 to read as follows:

IMPLEMENTATION PLAN FOR THE TULALIP TRIBES OF THE TULALIP RESERVATION, WASHINGTON § 49.10981 Identification of plan.

This section and § § 49.10982 through 49.11010 contain the implementation plan for the Tulalip Tribes. This plan consists of a combination of Tribal rules and measures and Federal regulations and measures which apply within the Tulalip Reservation.

§ 49.10982 Approval status. May 28, 2004 Final Rule for OMB Review 265 There are currently no EPA approved Tribal rules or measures in the implementation plan for the Tulalip Reservation.

§ 49.10983 Legal authority. [ Reserved]

§ 49.10984 Source surveillance. [ Reserved]

§ 49.10985 Classification of regions for episode plans.

The air quality control region which encompasses the Tulalip Reservation is classified as follows for purposes of episode plans:

Pollutant Classification Carbon monoxide I Nitrogen dioxide III Ozone I Particulate matter ( PM10) I Sulfur oxides IA § 49.10986 Contents of implementation plan.

The implementation plan for the Tulalip Reservation consists of the following rules,

regulations, and measures:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions. May 28, 2004 Final Rule for OMB Review 266 ( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes.

( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits.

§ 49.10987 EPA approved Tribal rules and plans. [ Reserved]

§ 49.10988 Permits to construct.

Permits to construct are required for new major stationary sources and major modifications to existing major stationary sources pursuant to 40 CFR 52.21.

§ 49.10989 Permits to operate.

Permits to operate are required for sources not subject to 40 CFR Part 71 in accordance with the requirements of § 49.139.

§ 49.10990 Federally promulgated regulations and Federal implementation plans. May 28, 2004 Final Rule for OMB Review 267 The following regulations are incorporated and made part of the implementation plan for the Tulalip Reservation:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes.

( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits.

§ § 49.10991 49.11010 [ Reserved]

40. Subpart M of Part 49 is amended by adding an undesignated center heading and § § 49.11011 through 49.11020 to read as follows:

IMPLEMENTATION PLAN FOR THE CONFEDERATED TRIBES OF THE UMATILLA RESERVATION, OREGON May 28, 2004 Final Rule for OMB Review 268 § 49.11011 Identification of plan.

This section and § § 49.11012 through 49.11040 contain the implementation plan for the Confederated Tribes of the Umatilla Reservation. This plan consists of a combination of Tribal rules and measures and Federal regulations and measures which apply within the Umatilla Reservation.

§ 49.11012 Approval status.

There are currently no EPA approved Tribal rules or measures in the implementation plan for the Umatilla Reservation.

§ 49.11013 Legal authority. [ Reserved]

§ 49.11014 Source surveillance. [ Reserved]

§ 49.11015 Classification of regions for episode plans.

The air quality control region which encompasses the Umatilla Reservation is classified as follows for purposes of episode plans:

Pollutant Classification Carbon monoxide III Nitrogen dioxide III Pollutant Classification May 28, 2004 Final Rule for OMB Review 269 Ozone III Particulate matter ( PM10) II Sulfur oxides III § 49.11016 Contents of implementation plan.

The implementation plan for the Umatilla Reservation consists of the following rules,

regulations, and measures:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.132 Rule for general open burning permits.

( i) Section 49.133 Rule for agriculture burning permits.

( j) Section 49.134 Rule for forestry and silvicultural burning permits.

( k) Section 49.136 Rule for emissions detrimental to persons, property, cultural or traditional resources.

( l) Section 49.137 Rule for air pollution episodes.

( m) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions. May 28, 2004 Final Rule for OMB Review 270 ( n) Section 49.139 Rule for non Title V operating permits.

§ 49.11017 EPA approved Tribal rules and plans. [ Reserved]

§ 49.11018 Permits to construct.

Permits to construct are required for new major stationary sources and major modifications to existing major stationary sources pursuant to 40 CFR 52.21.

§ 49.11019 Permits to operate.

Permits to operate are required for sources not subject to 40 CFR Part 71 in accordance with the requirements of § 49.139.

§ 49.11020 Federally promulgated regulations and Federal implementation plans.

The following regulations are incorporated and made part of the implementation plan for the Umatilla Reservation:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning. May 28, 2004 Final Rule for OMB Review 271 ( h) Section 49.132 Rule for general open burning permits.

( i) Section 49.133 Rule for agriculture burning permits.

( j) Section 49.134 Rule for forestry and silvicultural burning permits.

( k) Section 49.136 Rule for emissions detrimental to persons, property, cultural or traditional resources.

( l) Section 49.137 Rule for air pollution episodes.

( m) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( n) Section 49.139 Rule for non Title V operating permits.

§ 49.11021 Permits for general open burning, agricultural burning, and forestry and silvicultural burning.

( a) Beginning January 1, 2007, a person must apply for and obtain a permit under § 49.132 Rule for general open burning permits.

( b) Beginning January 1, 2007, a person must apply for and obtain approval of a permit under § 49.133 Rule for agricultural burning permits.

( c) Beginning January 1, 2007, a person must apply for and obtain approval of a permit under § 49.134 Rule for forestry and silvicultural burning permits.

§ § 49.11022 49.11040 [ Reserved] May 28, 2004 Final Rule for OMB Review 272 41. Subpart M of Part 49 is amended by adding an undesignated center heading and § § 49.11041 through 49.11050 to read as follows:

IMPLEMENTATION PLAN FOR THE UPPER SKAGIT INDIAN TRIBE OF WASHINGTON § 49.11041 Identification of plan.

This section and § § 49.11042 through 49.11070 contain the implementation plan for the Upper Skagit Indian Tribe. This plan consists of a combination of Tribal rules and measures and Federal regulations and measures which apply within the Reservation of the Upper Skagit Indian Tribe.

§ 49.11042 Approval status.

There are currently no EPA approved Tribal rules or measures in the implementation plan for the Reservation of the Upper Skagit Indian Tribe.

§ 49.11043 Legal authority. [ Reserved]

§ 49.11044 Source surveillance. [ Reserved]

§ 49.11045 Classification of regions for episode plans.

The air quality control region which encompasses the Reservation of the Upper Skagit Indian Tribe is classified as follows for purposes of episode plans: May 28, 2004 Final Rule for OMB Review 273 Pollutant Classification Carbon monoxide III Nitrogen dioxide III Ozone III Particulate matter ( PM10) II Sulfur oxides II § 49.11046 Contents of implementation plan.

The implementation plan for the Reservation of the Upper Skagit Indian Tribe consists of the following rules, regulations, and measures:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes.

( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits. May 28, 2004 Final Rule for OMB Review 274 § 49.11047 EPA approved Tribal rules and plans. [ Reserved]

§ 49.11048 Permits to construct.

Permits to construct are required for new major stationary sources and major modifications to existing major stationary sources pursuant to 40 CFR 52.21.

§ 49.11049 Permits to operate.

Permits to operate are required for sources not subject to 40 CFR Part 71 in accordance with the requirements of § 49.139.

§ 49.11050 Federally promulgated regulations and Federal implementation plans.

The following regulations are incorporated and made part of the implementation plan for the Reservation of the Upper Skagit Indian Tribe:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes. May 28, 2004 Final Rule for OMB Review 275 ( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits § § 49.11051 49.11070 [ Reserved]

42. Subpart M of Part 49 is amended by adding an undesignated center heading and § § 49.11071 through 49.11080 to read as follows:

IMPLEMENTATION PLAN FOR THE CONFEDERATED TRIBES OF THE WARM SPRINGS RESERVATION OF OREGON § 49.11071 Identification of plan.

This section and § § 49.11072 through 49.11100 contain the implementation plan for the Confederated Tribes of the Warm Springs Reservation. This plan consists of a combination of Tribal rules and measures and Federal regulations and measures which apply within the Warm Springs Reservation.

§ 49.11072 Approval status.

There are currently no EPA approved Tribal rules or measures in the implementation plan for the Warm Springs Reservation. May 28, 2004 Final Rule for OMB Review 276 § 49.11073 Legal authority. [ Reserved]

§ 49.11074 Source surveillance. [ Reserved]

§ 49.11075 Classification of regions for episode plans.

The air quality control region which encompasses the Warm Springs Reservation is classified as follows for purposes of episode plans:

Pollutant Classification Carbon monoxide III Nitrogen dioxide III Ozone III Particulate matter ( PM10) II Sulfur oxides III § 49.11076 Contents of implementation plan.

The implementation plan for the Warm Springs Reservation consists of the following rules,

regulations, and measures:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide. May 28, 2004 Final Rule for OMB Review 277 ( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes.

( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits.

§ 49.11077 EPA approved Tribal rules and plans. [ Reserved]

§ 49.11078 Permits to construct.

Permits to construct are required for new major stationary sources and major modifications to existing major stationary sources pursuant to 40 CFR 52.21.

§ 49.11079 Permits to operate.

Permits to operate are required for sources not subject to 40 CFR Part 71 in accordance with the requirements of § 49.139.

§ 49.11080 Federally promulgated regulations and Federal implementation plans.

The following regulations are incorporated and made part of the implementation plan for the Warm Springs Reservation:

( a) Section 49.123 General provisions. May 28, 2004 Final Rule for OMB Review 278 ( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes.

( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits.

§ § 49.11081 49.11100 [ Reserved]

43. Subpart M of Part 49 is amended by adding an undesignated center heading and § § 49.11101 through 49.11110 to read as follows:

IMPLEMENTATION PLAN FOR THE CONFEDERATED TRIBES AND BANDS OF THE YAKAMA NATION, WASHINGTON § 49.11101 Identification of plan. May 28, 2004 Final Rule for OMB Review 279 This section and § § 49.11102 through 49.11130 contain the implementation plan for the Confederated Tribes and Bands of the Yakama Nation. This plan consists of a combination of Tribal rules and measures and Federal regulations and measures which apply within the Yakama Reservation.

§ 49.11102 Approval status.

There are currently no EPA approved Tribal rules or measures in the implementation plan for the Yakama Reservation.

§ 49.11103 Legal authority. [ Reserved]

§ 49.11104 Source surveillance. [ Reserved]

§ 49.11105 Classification of regions for episode plans.

The air quality control region which encompasses the Yakama Reservation is classified as follows for purposes of episode plans:

Pollutant Classification Carbon monoxide III Nitrogen dioxide III Ozone III Particulate matter ( PM10) I Pollutant Classification May 28, 2004 Final Rule for OMB Review 280 Sulfur oxides III § 49.11106 Contents of implementation plan.

The implementation plan for the Yakama Reservation consists of the following rules,

regulations, and measures:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes.

( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits.

§ 49.11107 EPA approved Tribal rules and plans. [ Reserved]

§ 49.11108 Permits to construct. May 28, 2004 Final Rule for OMB Review 281 Permits to construct are required for new major stationary sources and major modifications to existing major stationary sources pursuant to 40 CFR 52.21.

§ 49.11109 Permits to operate.

Permits to operate are required for sources not subject to 40 CFR Part 71 in accordance with the requirements of § 49.139.

§ 49.11110 Federally promulgated regulations and Federal implementation plans.

The following regulations are incorporated and made part of the implementation plan for the Yakama Reservation:

( a) Section 49.123 General provisions.

( b) Section 49.124 Rule for limiting visible emissions.

( c) Section 49.125 Rule for limiting the emissions of particulate matter.

( d) Section 49.126 Rule for limiting fugitive particulate matter emissions.

( e) Section 49.129 Rule for limiting emissions of sulfur dioxide.

( f) Section 49.130 Rule for limiting sulfur in fuels.

( g) Section 49.131 General rule for open burning.

( h) Section 49.135 Rule for emissions detrimental to human health or welfare.

( i) Section 49.137 Rule for air pollution episodes.

( j) Section 49.138 Rule for the registration of air pollution sources and the reporting of emissions.

( k) Section 49.139 Rule for non Title V operating permits. May 28, 2004 Final Rule for OMB Review 282 § § 49.11111 49.11130 [ Reserved]

§ § 49.11131 49.17810 [ Reserved]

44. Subpart M of Part 49 is amended by revising the " Appendix to Subpart M   Alphabetical Listing of Tribes and Corresponding Sections" to read as follows:

Appendix to Subpart M   Alphabetical Listing of Tribes and Corresponding Sections Indian Tribe Refer to the following sections in subpart M Burns Paiute Tribe of the Burns Paiute Indian Colony of Oregon § § 49.9861 to 49.9890 Chehalis Reservation, Washington   Confederated Tribes of the § § 49.9891 to 49.9920 Coeur d'Alene Tribe of the Coeur D'Alene Reservation, Idaho § § 49.9921 to 49.9950 Colville Reservation, Washington Confederated Tribes of the § § 49.9951 to 49.9980 Coos, Lower Umpqua and Siuslaw Indians of Oregon

Confederated Tribes of the § § 49.9981 to 49.10010 Coquille Tribe of Oregon § § 49.10011 to 49.10040 Cow Creek Band of Umpqua Indians of Oregon § § 49.10041 to 49.10070 Grand Ronde Community of Oregon Confederated Tribes of the § § 49.10101 to 49.10130 Hoh Indian Tribe of the Hoh Indian Reservation, Washington § § 49.10131 to 49.10160 Jamestown S'Klallam Tribe of Washington § § 49.10161 to 49.10190 Kalispel Indian Community of the Kalispel Reservation,

Washington § § 49.10191 to 49.10220 Klamath Indian Tribe of Oregon § § 49.10221 to 49.10250 Indian Tribe Refer to the following sections in subpart M May 28, 2004 Final Rule for OMB Review 283 Kootenai Tribe of Idaho § § 49.10251 to 49.10280 Lower Elwha Tribal Community of the Lower Elwha Reservation,

Washington § § 49.10281 to 49.10310 Lummi Tribe of the Lummi Reservation, Washington § § 49.10311 to 49.10340 Makah Indian Tribe of the Makah Indian Reservation,

Washington § § 49.10341 to 49.10370 Muckleshoot Indian Tribe of the Muckleshoot Reservation,

Washington § § 49.10371 to 49.10400 Nez Perce Tribe of Idaho § § 49.10401 to 49.10430 Nisqually Indian Tribe of the Nisqually Reservation, Washington § § 49.10431 to 49.10460 Nooksack Indian Tribe of Washington § § 49.10461 to 49.10490 Port Gamble Indian Community of the Port Gamble Reservation,

Washington § § 49.10491 to 49.10520 Puyallup Tribe of the Puyallup Reservation, Washington § § 49.10521 to 49.10550 Quileute Tribe of the Quileute Reservation, Washington § § 49.10551 to 49.10580 Quinault Tribe of the Quinault Reservation, Washington § § 49.10581 to 49.10610 Sauk Suiattle Indian Tribe of Washington § § 49.10641 to 49.10670 Shoalwater Bay Tribe of the Shoalwater Bay Indian Reservation,

Washington § § 49.10671 to 49.10700 Shoshone Bannock Tribes of the Fort Hall Indian Reservation of Idaho § § 49.10701 to 49.10730 Siletz Reservation, Oregon Confederated Tribes of the § § 49.10731 to 49.10760 Indian Tribe Refer to the following sections in subpart M May 28, 2004 Final Rule for OMB Review 284 Skokomish Indian Tribe of the Skokomish Reservation,

Washington § § 49.10761 to 49.10790 Spokane Tribe of the Spokane Reservation, Washington § § 49.10821 to 49.10850 Squaxin Island Tribe of the Squaxin Island Reservation,

Washington § § 49.10851 to 49.10880 Stillaguamish Tribe of Washington § § 49.10881 to 49.10920 Suquamish Indian Tribe of the Port Madison Reservation,

Washington § § 49.10921 to 49.10950 Swinomish Indians of the Swinomish Reservation, Washington § § 49.10951 to 49.10980 Tulalip Tribes of the Tulalip Reservation, Washington § § 49.10981 to 49.11010 Umatilla Reservation, Oregon Confederated Tribes of the § § 49.11011 to 49.11040 Upper Skagit Indian Tribe of Washington § § 49.11041 to 49.11070 Warm Springs Reservation of Oregon Confederated Tribes of the § § 49.11071 to 49.11100 Yakama Nation, Washington Confederated Tribes and Bands of the § § 49.11101 to 49.11130 PART 9   [ AMENDED]

45. The authority citation for part 9 continues to read as follows:

Authority: 7 U. S. C. 135 et seq., 136 136y; 15 U. S. C. 2001, 2003, 2005, 2006, 2601 2671; 21 U. S. C. 331j, 346a, 348; 31 U. S. C. 9701; 33 U. S. C. 1251 et seq., 1311, 1313d, 1314, 1318, 1321, May 28, 2004 Final Rule for OMB Review 285 1326, 1330, 1342, 1344, 1345 ( d) and ( e), 1361; E. O. 11735, 38 FR 21243, 3 CFR, 1971 1975 Comp. p. 973; 42 U. S. C. 241, 242b, 243, 246, 300f, 300g, 300g 1, 300g 2, 300g 3, 300g 4,

300g 5, 300g 6, 300j 1, 300j 2, 300j 3, 300j 4, 300j 9, 1857 et seq., 6901 6992k, 7401 7671q,

7542, 9601 9657, 11023, 11048.

2. In § 9.1 the table is amended by adding § § 49.126 through 49.139 to read as follows:

§ 9.1 OMB approvals under the Paperwork Reduction Act.

* * * * *

40 CFR citation OMB control no.

* * * * *

40 CFR Part 49   TRIBAL CLEAN AIR ACT AUTHORITY § 49.126( e)( 1)( i) [ Insert OMB control no.] § 49.126( e)( 1)( iii) § 49.126( e)( 1)( v) § 49.127( e) § 49.130( f)( 1)( 2) § 49.131( c)( 4)( 5) § 49.132( d)( 1) § 49.132( e)( 1) § 49.133( c)( 1) § 49.133( d)( 1) § 49.134( c)( 1) § 49.134( d)( 1) § 49.138( d)( f) May 28, 2004 Final Rule for OMB Review 286 § 49.139( c)( 1) § 49.139( d) § 49.139( e)( 2)

* * * * *


[Federal Register Volume 83, Number 220 (Wednesday, November 14, 2018)]
[Notices]
[Pages 56856-56857]
[FR Doc No: 2018-24786]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2009-D-0268]

Agency Information Collection Activities; Submission for Office
of Management and Budget Review; Comment Request; Labeling of Certain
Beers Subject to the Labeling Jurisdiction of the Food and Drug
Administration

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA) is announcing that a
proposed collection of information has been submitted to the Office of
Management and Budget (OMB) for review and clearance under the
Paperwork Reduction Act of 1995.

DATES: Fax written comments on the collection of information by
December 14, 2018.

ADDRESSES: To ensure that comments on the information collection are
received, OMB recommends that written comments be faxed to the Office
of Information and Regulatory Affairs, OMB, Attn: FDA Desk Officer,
Fax:<PHONE_NUMBER>, or emailed to [email protected]. All
comments should be identified with the OMB control number 0910-0728.
Also include the FDA docket number found in brackets in the heading of
this document.

FOR FURTHER INFORMATION CONTACT: JonnaLynn Capezzuto, Office of
Operations, Food and Drug Administration, Three White Flint North, 10A-
12M, 11601 Landsdown St., North Bethesda, MD 20852,<PHONE_NUMBER>,
[email protected].

SUPPLEMENTARY INFORMATION: In compliance with 44 U.S.C. 3507, FDA has
submitted the following proposed collection of information to OMB for
review and clearance.

Labeling of Certain Beers Subject to the Labeling Jurisdiction of the
Food and Drug Administration

OMB Control Number 0910-0728--Extension

    The definition of ``food'' under the Federal Food, Drug, and
Cosmetic Act (FD&C Act) (see 21 U.S.C. 321(f)), includes ``articles
used for food or drink'' and thus includes alcoholic beverages. As
such, alcoholic beverages are subject to the FD&C Act's adulteration
and misbranding provisions and implementing regulations related to
food. For example, manufacturers of alcoholic beverages are responsible
for adhering to the registration of food facilities requirements in 21
CFR part 1 and to the good manufacturing practice regulations in 21 CFR
part 110. There are also certain requirements for nutrition labeling on
menus, menu boards, and other written materials for alcohol beverages
served in restaurants or similar retail food establishments in 21 CFR
part 101. However, as reflected in a 1987 Memorandum of Understanding
between FDA and the Alcohol and Tobacco Tax and Trade Bureau (TTB), TTB
is responsible for the dissemination and enforcement of regulations
with respect to the labeling of distilled spirits, certain wines, and
malt beverages issued in the Federal Alcohol Administration Act (FAA
Act). In TTB Ruling 2008-3, dated July 7, 2008, TTB clarified that
certain beers, which are not made from both malted barley and hops but
are instead made from substitutes for malted barley (such as sorghum,
rice, or wheat) or are made without hops, do not meet the definition of
a ``malt beverage'' under the FAA Act. Accordingly, TTB stated in its
ruling that such products (other than sak[eacute], which is classified
as a wine under the FAA Act), are not subject to the labeling,
advertising, or other provisions of TTB regulations issued under the
FAA Act.
    In cases where an alcoholic beverage is not covered by the labeling
provisions of the FAA Act, the product is subject to ingredient and
other labeling requirements under the FD&C Act and the implementing
regulations that we administer. In addition, as provided for under the
Fair Packaging and Labeling Act (FPLA), alcoholic beverages that are
not covered by the labeling provisions of the FAA Act are subject to
the provisions of the FPLA, which we administer.
    Therefore, the beers described in TTB's ruling as not being a
``malt beverage'' are subject to the labeling requirements under the
FD&C Act and FPLA, and our implementing regulations. In general, we
require that food products under our jurisdiction be truthfully and
informatively labeled in accordance with the FD&C Act, the FPLA, and
FDA's regulations. Furthermore, some TTB labeling requirements, such as
the Government Health Warning Statement under the Alcoholic Beverage
Labeling Act and certain marking requirements under the Internal
Revenue Code, continue to apply to these products.
    Persons with access to the internet may obtain the guidance
entitled, ``Labeling of Certain Beers Subject to the Labeling
Jurisdiction of the Food and Drug Administration,'' located at https://www.fda.gov/FoodGuidances. This guidance is intended to assist
manufacturers on how to label bottled or otherwise packaged beers that
are subject to our labeling laws and regulations.
    Our food labeling regulations under parts 101, 102, 104, and 105
(21 CFR parts 101, 102, 104, and 105) were issued under the authority
of sections 4, 5, and 6 of the FPLA (15 U.S.C. 1453, 1454, and 1455)
and under sections 201, 301, 402, 403, 409, 411, 701, and 721 of the
FD&C Act (21 U.S.C. 321, 331, 342, 343, 348, 350, 371, and 379e). Most
of these regulations derive from section 403 of the FD&C Act, which
provides that a food product shall be deemed to be misbranded if, among
other things, its label or labeling fails to bear certain required
information concerning the food product, is false or misleading in any
particular, or bears certain types of unauthorized claims. The
disclosure requirements and other collections of information in the
regulations in parts 101, 102, 104, and 105 are necessary to ensure
that food products produced or sold in the United States are in
compliance with the labeling provisions of the FD&C Act and the FPLA.
    The primary user of the information to be disclosed on the label or
labeling of food products is the consumer that purchases the food
product. Consumers will use the information to assist them in making
choices concerning their purchase of a food product, including choices
related to substances that the consumer must avoid to prevent adverse
reactions. This information also enables the consumer to determine the
role of the food product in a healthful diet. Additionally, FDA intends
to use the information to determine whether a manufacturer or other
supplier of food products is meeting its statutory and regulatory
obligations. Failure of a manufacturer or other supplier of food
products to label its products in compliance with section 403 of the
FD&C Act and parts 101, 102, 104, and 105 of FDA's food labeling
regulations may result in a product being misbranded under the FD&C
Act, subjecting the firm and product to regulatory action.
    Description of Respondents: The respondents to this collection of

information are manufacturers of beers that are subject to our labeling
laws and regulations.
    In the Federal Register of June 29, 2018 (83 FR 30738), FDA
published a 60-day notice requesting public comment on the proposed
collection of information. Two comments were received. One comment was
unrelated to the Paperwork Reduction Act and is not addressed. The
second comment was in favor of the practical utility and necessity of
labeling the ingredients of beer for transparency to the consumer. We
are appreciative of these comments. At this time, we do not plan on
adjusting our current estimate.
    FDA estimates the burden of this collection of information as
follows:

                                               Table 1--Estimated Annual Third-Party Disclosure Burden \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                Number of
                                                Number of      disclosures    Total annual
          21 CFR section; activity             respondents         per         disclosures         Average  burden per  disclosure         Total  hours
                                                               respondent
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sec.  Sec.   101.3 and 101.22; principal                 12               2              24  0.5 (30 minutes)...........................              12
 display and display panel.
Sec.   101.4; designation of ingredients...              12               2              24  1..........................................              24
Sec.   101.5; name of manufacturer; packer;              12               2              24  0.25 (15 minutes)..........................               6
 distributor.
Sec.   101.9; nutrition labeling...........              12               2              24  4..........................................              96
Sec.   101.7 (formerly 101.105); quantity                12               2              24  0.5 (30 minutes)...........................              12
 of contents.
Section 403(w)(1) of the FD&C Act..........              12               2              24  1..........................................              24
Review of Guidance Document: ``Labeling of               12               1              12  1..........................................              12
 Certain Beers Subject to the Labeling
 Jurisdiction of the Food and Drug
 Administration''.
                                            ------------------------------------------------------------------------------------------------------------
    Total..................................  ..............  ..............  ..............  ...........................................             186
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of information.

    Based on a review of the information collection since our last
request for OMB approval, we have made no adjustments to our burden
estimate. Our estimate of the number of respondents is based on the
number of regulatory submissions to TTB for beers that do not meet the
definition of a ``malt beverage'' under the FAA Act. Based on its
records of submissions received from manufacturers of such products,
TTB estimates the annual number of respondents to be 12 and the annual
number of disclosures to be 24. Thus, we adopt TTB's estimate of 12
annual respondents, and an annual number of disclosures per respondent
of 2 in table 1.
    Our estimates of the average burden per disclosure for each
collection provision are based on our experience with food labeling
under the Agency's jurisdiction. The estimated average burden per
disclosure for Sec. Sec.  101.3, 101.4, 101.5, 101.9, 101.22, and
101.105 in table 1 are equal to, and based upon, the estimated average
burden per disclosure approved by OMB in OMB control number 0910-0381.
We further estimate that the labeling burden of section 403(w)(1) of
the FD&C Act, which specifies requirements for the declaration of food
allergens, will be 1 hour based upon the similarity of the requirements
to that of Sec.  101.4. Finally, FDA estimates that a respondent will
spend 1 hour reading the guidance.
    Thus, we estimate that 12 respondents will each label 2 products
annually, for a total of 24 labels. We estimate that the manufacturers
will spend 7.25 hours (0.5 hours + 1 hour + 0.25 hour + 4 hours + 0.5
hour + 1 hour = 7.25 hours) on each label to comply with our labeling
regulations and the requirements of section 403(w)(1) of the FD&C Act,
for a total of 174 hours (24 labels x 7.25 hours = 174 hours). In
addition, 12 respondents will each spend 1 hour reading the guidance
document, for a total of 12 hours. Thus, we estimate the total hour
burden of the proposed collection of information to be 186 hours (174
hours + 12 hours = 186 hours).
    The guidance also refers to previously approved collections of
information found in our regulations. The collections of information in
Sec. Sec.  101.3, 101.4, 101.5, 101.9, 101.22, and 101.105 have been
approved under OMB control number 0910-0381. Allergen labeling of these
beers under section 403(w)(1) of the FD&C Act, which was added by the
Food Allergen Labeling and Consumer Protection Act of 2004, has been
approved under OMB control number 0910-0792.

    Dated: November 7, 2018.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2018-24786 Filed 11-13-18; 8:45 am]
 BILLING CODE 4164-01-P


[Federal Register Volume 85, Number 156 (Wednesday, August 12, 2020)]
[Notices]
[Pages 48749-48753]
[FR Doc No: 2020-17556]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-89490; File No. SR-NYSEAMER-2020-61]

Self-Regulatory Organizations; NYSE American LLC; Notice of
Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE
American Options Fee Schedule

August 6, 2020.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\

notice is hereby given that, on August 3, 2020, NYSE American LLC
(``NYSE American'' or the ``Exchange'') filed with the Securities and
Exchange Commission (the ``Commission'') the proposed rule change as
described in Items I, II, and III below, which Items have been prepared
by the self-regulatory organization. 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\ 15 U.S.C. 78a.
    \3\ 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 the NYSE American Options Fee
Schedule (``Fee Schedule'') regarding the Professional Step-Up
Incentive program. The Exchange proposes to implement the fee change
effective August 3, 2020. The proposed change is available on the
Exchange's website at www.nyse.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 self-regulatory organization
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 those 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 parts 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 purpose of this filing is to modify the Fee Schedule regarding
the Professional Step-Up Incentive program.
    The Exchange proposes to implement the rule change on August 3,
2020.
Background
    The Exchange has established various pricing incentives designed to
encourage increased Electronic volume executed on the Exchange,
including (but not limited to) the American Customer Engagement
(``ACE'') Program, which provides credit on certain Customer
executions, and the Professional Step-Up Incentive program (the ``Step-
Up Incentive'').\4\
---------------------------------------------------------------------------

    \4\ See Sections I.H and I.E. of the Fee Schedule (describing
Professional Step-Up Incentive and ACE Program, respectively),
available here: https://www.nyse.com/publicdocs/nyse/markets/american-options/NYSE_American_Options_Fee_Schedule.pdf.
---------------------------------------------------------------------------

    The Step-Up Incentive is a four-tier program--Tiers A-D--that
offers discounted rates on monthly Professional volume as well as
certain credits on Customer Electronic volume to ATP Holders that
increase their Professional volume (excluding Strategy Executions, CUBE
Auctions, and QCC Transactions) by specified percentages of Total
Industry Customer equity and ETF option average daily volume
(``TCADV''),\5\ over their August 2019 volume, or in the case of new
ATP Holders, above a base level of 10,000 ADV (the ``Qualifying
Volume'').\6\ ATP Holders that qualify for current Tiers C and D are
also entitled to credits on their monthly Customer Electronic volume at
the same rate as participants that achieve Tier 1 in the ACE
Program.\7\
---------------------------------------------------------------------------

    \5\ The term ``TCADV'' is defined in the Key Terms and
Definitions Section of the Preface of the Fee Schedule, see supra
note 4. TCADV includes Options Clearing Corporation (``OCC'')
calculated Customer volume of all types, including Complex Order
transactions and QCC transactions, in equity and ETF options.
    \6\ For purposes of this filing, ``Professional'' Electronic
volume includes: Professional Customer, Broker Dealer, Non-NYSE
American Options Market Maker, and Firm.
    \7\ See Fee Schedule, supra note 4.
---------------------------------------------------------------------------

    The Exchange proposes to simplify the Step-Up Incentive, which is
voluntary, by removing two of the four tiers. In doing so, the Exchange
has determined that it no longer seeks to provide a financial incentive
for minimal increases to an ATP Holder's base volume levels and
therefore proposes to increase the qualifying volume that would be
required for the Step-Up Incentive's lower tier. The Exchange believes
that the modified incentive program would still encourage ATP Holders
to direct order flow to the Exchange, particularly given the high level
of options trading in 2020, which additional liquidity benefits all
markets participants on the Exchange.
Proposed Rule Change
Professional Step-Up Incentive
    The Exchange is proposing to reduce the number of Step-Up Incentive
Tiers from four to two by eliminating current Tiers A and C and
renaming the remaining Tiers B and D as proposed Tiers A and B,
respectively.\8\ The Exchange also proposes to raise the qualification
for the new Tier A (existing Tier B) from 0.08% of TCADV to 0.12% of
TCADV. The proposed rule change is shown in the table below, with to-
be-deleted text in brackets and proposed (new) text underscored.\9\
---------------------------------------------------------------------------

    \8\ Proposed (and simply renamed) Tier B is substantively the
same as existing Tier D and therefore ``ATP Holders that increase
Qualifying Volume by 0.20% of TCADV and execute posted Professional
volume (i.e., that adds liquidity) of at least 0.10% of TCADV will
receive a $0.03 per contract discount off the Tier B rates.'' See
proposed Fee Schedule, Section I.H., note 1.
    \9\ See proposed Fee Schedule, Section I.H.

                                         Professional Step-Up Incentive
----------------------------------------------------------------------------------------------------------------
                                          Qualifying
                                         volume as a %   Per contract    Per contract         ACE benefits
                                           of TCADV       penny rate    non penny rate
----------------------------------------------------------------------------------------------------------------
[Tier A]..............................          [0.06]         [$0.45]         [$0.70]  [N/A].
Tier [B]A.............................      [0.08]0.12            0.35            0.60  [N/A]Tier 1.
[Tier C]..............................          [0.10]          [0.25]          [0.55]  [Tier 1].
Tier [D]B\1\..........................            0.15            0.20            0.50  Tier 1.
----------------------------------------------------------------------------------------------------------------

    As shown in the table above, by achieving an increase in Qualifying
Volume, benefits accrue to the ATP Holder. To put in context, assume an
ATP Holder executed Electronic Professional volume in August 2019
totaling 9,000 ADV and, in July, the TCADV is 17,200,000. To qualify
for the Step-Up Incentive program, that ATP Holder would need to
execute Electronic Professional volume above its August 2019 volume
that is at least 20,640 ADV (i.e., 0.12% of TCADV) for new Tier A;
25,800 ADV (i.e., 0.15% of TCADV) for new Tier B. If that same ATP
Holder did not have August 2019 volume, it would have to execute at
least this much volume above the 10,000 ADV base level.
    The net result of the incentive program as modified is that
proposed Tier A has a slightly higher minimum monthly volume
requirement than the Tiers being deleted and a slightly higher (but
still discounted) rate than existing Tier C. However, as further
proposed, ATP Holders that qualify for new Tiers A and B would be
eligible for ACE Tier 1 credits on certain Customer executions,\10\
which should also encourage an increase in Customer volume to the
benefit of all market participants.
---------------------------------------------------------------------------

    \10\ See Fee Schedule, Section I. A., supra note 4 (setting
forth options transactions rates for Electronic Professional volume
of $0.50 and $0.75 for Penny and Non-Penny issues respectively;
except that Firm execution in Penny issues are charged $0.47 per
contract).
---------------------------------------------------------------------------

    The Exchange's fees are constrained by intermarket competition, as
ATP Holders may direct their order flow to any of the 16 options
exchanges, including those with similar incentive programs.\11\ To
address this competitive environment, the Exchange offers incentives,
such as the voluntary Step-Up Incentive to encourage ATP Holders to
consistently direct order flow (in particular Professional flow) to the
Exchange. The Exchange believes that the proposal to streamline the
Step-Up Incentive would simplify the incentive program while still
offering discounted rates and credits. Although proposed Tier A of the
modified Step-Up Incentive would require a higher minimum volume
threshold for a lower discount (than existing, to-be-deleted, Tier C),
the Exchange believes the incentive program would continue to incent
ATP Holders to direct volume to the Exchange. In particular, proposed
Tier A together with the existing requirements of new Tier B (current
Tier D) continue to offer discounted rates coupled with ACE Tier 1
credits on certain Customer executions at a time where the Exchange has
experience a significant increase in options trading. The Exchange
believes the Step-Up Incentive, as modified, should continue to incent
the consistent and concerted redirection of order flow to the Exchange
by ATP Holders in exchange for better economics as provided by the
incentive program (i.e., enhanced discounts and credits), making it a
more attractive venue for trading.
---------------------------------------------------------------------------

    \11\ See e.g., MIAX Options fee schedule, Section 1.a.iv,
Professional Rebate Program, available here, https://www.miaxoptions.com/sites/default/files/fee_schedule-files/MIAX_Options_Fee_Schedule_04012019.pdf (setting forth per contract
credits on volume submitted for the account of Public Customers that
are not Priority Customers, Non-MIAX Market Makers, Non-Member
Broker Dealers, and Firms (collectively, Professional for purposes
of MIAX program), provided the Member achieves certain Professional
volume increase percentage thresholds (set forth in the schedule) in
the month relative to the fourth quarter of 2015).
---------------------------------------------------------------------------

    The Exchange notes that all market participants stand to benefit
from increased Electronic Professional volume, which promotes market
depth, facilitates tighter spreads and enhances price discovery, and
may lead to a corresponding increase in order flow from other market
participants, including those that do not participant in (or qualify
for) the Step-Up Incentive (or the ACE) program.
    The Exchange cannot predict with certainty whether any ATP Holders
would avail themselves of the proposed rule change.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\12\ in general, and furthers the
objectives of Sections 6(b)(4) and (5) of the Act,\13\ in particular,
because it provides for the equitable allocation of reasonable dues,
fees, and other charges among its members, issuers and other persons
using its facilities and does not unfairly discriminate between
customers, issuers, brokers or dealers.
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78f(b).
    \13\ 15 U.S.C. 78f(b)(4) and (5).
---------------------------------------------------------------------------

The Proposed Rule Change Is Reasonable
    The Exchange operates in a highly competitive market. The
Commission has repeatedly expressed its preference for competition over
regulatory intervention in determining prices, products, and services
in the securities markets. In Regulation NMS, the Commission
highlighted the importance of market forces in determining prices and
SRO revenues and, also, recognized that current regulation of the
market system ``has been remarkably successful in promoting market
competition in its broader forms that are most important to investors
and listed companies.'' \14\
---------------------------------------------------------------------------

    \14\ See Securities Exchange Act Release No. 51808 (June 9,
2005), 70 FR 37496, 37499 (June 29, 2005) (S7-10-04) (``Reg NMS
Adopting Release'').
---------------------------------------------------------------------------

    There are currently 16 registered options exchanges competing for
order flow. Based on publicly-available information, and excluding
index-based options, no single exchange has more than 16% of the market
share of executed volume of multiply-listed equity and ETF options
trades.\15\ Therefore, no exchange possesses significant pricing power
in the execution of multiply-listed equity & ETF options order flow.
More specifically, in June 2020, the Exchange had less than 10% market
share of executed volume of multiply-listed equity & ETF options
trades.\16\
---------------------------------------------------------------------------

    \15\ The OCC publishes options and futures volume in a variety
of formats, including daily and monthly volume by exchange,
available here: https://www.theocc.com/market-data/volume/default.jsp.
    \16\ Based on OCC data, see id., the Exchange's market share in
equity-based options increased slightly from 8.20% for the month of
June 2019 to 8.32% for the month of June 2020.
---------------------------------------------------------------------------

    The Exchange believes that the ever-shifting market share among the
exchanges from month to month demonstrates that market participants can
shift order flow, or discontinue or reduce use of certain categories of
products, in response to fee changes. Accordingly, competitive forces
constrain options exchange transaction fees. Stated otherwise,
modifications to exchange transaction fees can have a direct effect on
the ability of an exchange to compete for order flow.
    The proposal to simplify the Step-Up Incentive by removing two of
the four tiers is reasonable because participation in the incentive
program is voluntary and the Exchange continues to offer discounted
rates and credits. Although proposed Tier A of the modified Step-Up
Incentive would require a higher minimum volume threshold for a lower
discount (than existing, to-be-deleted, Tier C), the Exchange believes
the incentive program would continue to incent ATP Holders to direct
volume to the Exchange. In particular, proposed Tier A (which has a
slightly higher minimum monthly volume requirement than the Tiers being
deleted) together with the existing requirements of new Tier B (current
Tier D) continue to offer discounted rates coupled with ACE Tier 1
credits on certain Customer executions at a time where the Exchange has
experience a significant increase in options trading. The Exchange
believes the Step-Up Incentive, as modified, should continue to incent
the consistent and concerted redirection of order flow to the Exchange
by ATP Holders in

exchange for better economics as provided by the incentive program
(i.e., enhanced discounts and credits), making it a more attractive
venue for trading.
    The Exchange believes that the Step-Up Incentive, as modified, is
still designed to encourage ATP Holders to increase the amount of
Electronic Professional (and, given the ACE Tier 1 benefits, even
Customer) volume directed to and executed on the Exchange. The Exchange
notes that all market participants stand to benefit from increased
Electronic Professional (and Customer) volume, which promotes market
depth, facilitates tighter spreads and enhances price discovery, and
may lead to a corresponding increase in order flow from other market
participants, including those that do not participant in (or qualify
for) the Step-Up Incentive (or the ACE) program.
    The Exchange cannot predict with certainty whether any ATP Holders
would avail themselves of the proposed rule change.
    Finally, to the extent the proposed change attract greater volume
and liquidity, the Exchange believes this would improve the Exchange's
overall competitiveness and strengthen its market quality for all
market participants. In the backdrop of the competitive environment in
which the Exchange operates, the proposed rule change is a reasonable
attempt by the Exchange to increase the depth of its market and improve
its market share relative to its competitors. The proposed rule change
is designed to incent ATP Holders to direct liquidity to the Exchange
in Electronic executions, similar to other exchange programs with
competitive pricing programs, thereby promoting market depth, price
discovery and improvement and enhancing order execution opportunities
for market participants.\17\
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    \17\ See, e.g., supra note 11 (regarding MIAX Professional
Rebate Program).
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The Proposed Rule Change Is an Equitable Allocation of Credits and Fees
    The Exchange believes the proposed rule change is an equitable
allocation of its fees and credits. The proposal is based on the amount
and type of business transacted on the Exchange and ATP Holders can opt
to avail themselves of the Step-Up Incentive or not. Moreover, the
proposal is designed to encourage ATP Holders to aggregate their
executions--particularly Electronic Professional (and Customer)--at the
Exchange as a primary execution venue. To the extent that the proposed
change attracts more Professional (and Customer) Electronic volume to
the Exchange, this increased order flow would continue to make the
Exchange a more competitive venue for order execution. Thus, the
Exchange believes the proposed rule change would improve market quality
for all market participants on the Exchange and, as a consequence,
attract more order flow to the Exchange thereby improving market-wide
quality and price discovery.
The Proposed Rule Change Is Not Unfairly Discriminatory
    The Exchange believes that the proposal is not unfairly
discriminatory because the proposed modifications would be available to
all similarly-situated market participants on an equal and non-
discriminatory basis.
    Regarding the eliminated of Incentive Step-Up Tiers A and C, ATP
Holders would continue to have the option of availing themselves of the
still-reduced rates for Professional volume, as well as the ACE Tier 1
credits on certain Customer executions, that are available under
proposed new Tier A and renamed Tier B.
    The proposal is based on the amount and type of business transacted
on the Exchange and ATP Holders are not obligated to try to achieve
either of the incentive pricing options. Rather, the proposal is
designed to continue to encourage these participants to utilize the
Exchange as a primary trading venue (if they have not done so
previously) or increase Electronic volume sent to the Exchange. To the
extent that the proposed change attracts more executions to the
Exchange, this increased order flow would continue to make the Exchange
a more competitive venue for order execution. Thus, the Exchange
believes the proposed rule change would improve market quality for all
market participants on the Exchange and, as a consequence, attract more
order flow to the Exchange thereby improving market-wide quality and
price discovery. The resulting increased volume and liquidity would
provide more trading opportunities and tighter spreads to all market
participants and thus would promote just and equitable principles of
trade, 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.
    Finally, the Exchange believes that it is subject to significant
competitive forces, as described below in the Exchange's statement
regarding the burden on competition.

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

    In accordance with Section 6(b)(8) of the Act, the Exchange does
not believe that the proposed rule change would impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Act. Instead, as discussed above, the Exchange believes
that the proposed change--which continues to offer discounted rates and
credits--would encourage the submission of additional liquidity to a
public exchange, thereby promoting market depth, price discovery and
transparency and enhancing order execution opportunities for all market
participants. As a result, the Exchange believes that the proposed
change furthers the Commission's goal in adopting Regulation NMS of
fostering integrated competition among orders, which promotes ``more
efficient pricing of individual stocks for all types of orders, large
and small.'' \18\
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    \18\ See Reg NMS Adopting Release, supra note 14, at 37499.
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    Intramarket Competition. The proposed change is designed to attract
additional order flow (particularly Professional, and Customer, volume)
to the Exchange. The Exchange believes that the proposed modification
to the Step-Up Incentive would continue to incent market participants
to direct additional volume to the Exchange. Greater liquidity benefits
all market participants on the Exchange. The proposed qualification
Tiers would be available to all similarly-situated market participants
that incur transaction fees on Electronic executions, and, as such, the
proposed change would not impose a disparate burden on competition
among market participants on the Exchange.
    Intermarket Competition. The Exchange operates in a highly
competitive market in which market participants can readily favor one
of the 16 competing option exchanges 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 to the Exchange. Based on publicly-
available information, and excluding index-based options, no single
exchange has more than 16% of the market share of executed volume of
multiply-listed equity and ETF options trades.\19\ Therefore, no
exchange possesses significant pricing power in the execution of
multiply-listed equity & ETF options order flow. More

specifically, in June 2020, the Exchange had less than 10% market share
of executed volume of multiply-listed equity & ETF options trades.\20\
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    \19\ See supra note 15.
    \20\ Based on OCC data, supra note 16, the Exchange's market
share in equity-based options was 8.20% for the month of June 2019
and 8.32% for the month of June 2020.
---------------------------------------------------------------------------

    The Exchange believes that the proposed rule change reflects this
competitive environment because it modifies the Exchange's fees in a
manner designed to encourage ATP Holders to direct trading interest to
the Exchange, to provide liquidity and to attract order flow. To the
extent that this purpose is achieved, all the Exchange's market
participants should benefit from the improved market quality and
increased opportunities for price improvement.
    The Exchange believes that the proposed change could promote
competition between the Exchange and other execution venues, including
those that currently offer similar pricing incentives, by encouraging
additional orders to be sent to the Exchange for execution.

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

    No written comments were solicited or received with respect to the
proposed rule change.

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

    The foregoing rule change is effective upon filing pursuant to
Section 19(b)(3)(A) \21\ of the Act and subparagraph (f)(2) of Rule
19b-4 \22\ thereunder, because it establishes a due, fee, or other
charge imposed by the Exchange.
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    \21\ 15 U.S.C. 78s(b)(3)(A).
    \22\ 17 CFR 240.19b-4(f)(2).
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    At any time within 60 days of the filing of such 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 under
Section 19(b)(2)(B) \23\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
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    \23\ 15 U.S.C. 78s(b)(2)(B).
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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-NYSEAMER-2020-61 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-NYSEAMER-2020-61. 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-NYSEAMER-2020-61 and should be submitted
on or before September 2, 2020.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\24\
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    \24\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-17556 Filed 8-11-20; 8:45 am]
BILLING CODE 8011-01-P