[Federal Register Volume 82, Number 194 (Tuesday, October 10, 2017)]
[Notices]
[Page 46974]
[FR Doc No: 2017-21832]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP17-496-000]

Texas Eastern Transmission, LP; Notice of Request Under Blanket
Authorization

    Take notice that on September 28, 2017, Texas Eastern Transmission,
LP (Texas Eastern), 5400 Westheimer Court, Houston, Texas 77056-5310,
filed in Docket No. CP17-496-000 a prior notice request pursuant to
sections 157.205 and 157.208 of the Commission's regulations under the
Natural Gas Act (NGA), and Columbia's blanket certificate issued in
Docket No. CP82-535-000, to offset and replace a segment of its 20-
inch-diameter Line 1 pipeline in Linden and Woodbridge, New Jersey at a
crossing of the Rahway River (Rahway River Pipe Replacement Project).
    Specifically, Texas Eastern proposes to install a new, approximate
1,250-foot section of 20-inch diameter pipeline beneath the Rahway
River. The new segment will replace the existing segment of Line 1
pipeline, only a small portion of which will be removed.
    Texas Eastern states that the Rahway River Pipe Replacement Project
is designed to ensure the continued safe operation of Texas Eastern's
pipeline facilities. Texas Eastern asserts that the project will have
no impact on the certificated capacity of its system, and there will be
no abandonment or reduction in service to its customers. Texas Eastern
estimates the cost of the project to be approximately $20 million, all
as more fully set forth in the application which is on file with the
Commission and open to public inspection. The filing may also be viewed
on the web at http://www.ferc.gov using the ``eLibrary'' link. Enter
the docket number excluding the last three digits in the docket number
field to access the document. For assistance, please contact FERC
Online Support at<EMAIL_ADDRESS>or toll free at (866) 208-
3676, or TTY, contact<PHONE_NUMBER>.
    Any questions concerning this application may be directed to Lisa
A. Connolly, Director Rates and Certificates, Texas Eastern
Transmission, LP, P.O. Box 1642, Houston, Texas 77251-1642, by
telephone at<PHONE_NUMBER>, by facsimile at<PHONE_NUMBER>, or by
email at<EMAIL_ADDRESS>    Any person or the Commission's staff may, within 60 days after
issuance of the instant notice by the Commission, file pursuant to Rule
214 of the Commission's Procedural Rules (18 CFR 385.214) a motion to
intervene or notice of intervention and pursuant to section 157.205 of
the regulations under the NGA (18 CFR 157.205), a protest to the
request. If no protest is filed within the time allowed therefore, the
proposed activity shall be deemed to be authorized effective the day
after the time allowed for filing a protest. If a protest is filed and
not withdrawn within 30 days after the allowed time for filing a
protest, the instant request shall be treated as an application for
authorization pursuant to section 7 of the NGA.
    Pursuant to section 157.9 of the Commission's rules, 18 CFR 157.9,
within 90 days of this Notice the Commission staff will either:
Complete its environmental assessment (EA) and place it into the
Commission's public record (eLibrary) for this proceeding, or issue a
Notice of Schedule for Environmental Review. If a Notice of Schedule
for Environmental Review is issued, it will indicate, among other
milestones, the anticipated date for the Commission staff's issuance of
the final environmental impact statement (FEIS) or EA for this
proposal. The filing of the EA in the Commission's public record for
this proceeding or the issuance of a Notice of Schedule for
Environmental Review will serve to notify federal and state agencies of
the timing for the completion of all necessary reviews, and the
subsequent need to complete all federal authorizations within 90 days
of the date of issuance of the Commission staff's FEIS or EA.
    Persons who wish to comment only on the environmental review of
this project should submit an original and two copies of their comments
to the Secretary of the Commission. Environmental commenters will be
placed on the Commission's environmental mailing list, will receive
copies of the environmental documents, and will be notified of meetings
associated with the Commission's environmental review process.
Environmental commenters will not be required to serve copies of filed
documents on all other parties. However, the non-party commenters, will
not receive copies of all documents filed by other parties or issued by
the Commission (except for the mailing of environmental documents
issued by the Commission) and will not have the right to seek court
review of the Commission's final order.
    The Commission strongly encourages electronic filings of comments,
protests and interventions in lieu of paper using the eFiling link at
http://www.ferc.gov. Persons unable to file electronically should
submit an original and seven copies of the protest or intervention to
the Federal Energy Regulatory Commission, 888 First Street NE.,
Washington, DC 20426.

    Dated: October 4, 2017.
Kimberly D. Bose,
Secretary.
[FR Doc. 2017-21832 Filed 10-6-17; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register: December 12, 2006 (Volume 71, Number 238)]
[Notices]
[Page 74517]
[DOCID:fr12de06-81]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 925-010]

City of Ottumwa, Iowa; Notice Soliciting Scoping Comments

December 5, 2006.
     Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection.
    a. Type of Application: New License.
    b. Project No.: P-925-010.
    c. Date filed: April 26, 2006.
    d. Applicant: City of Ottumwa, Iowa.
    e. Name of Project: Ottumwa Hydroelectric Project.
    f. Location: On the Des Moines River in the City of Ottumwa,
Wapello County, Iowa. The project does not occupy federal lands.
    g. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791 (a)-825(r).
    h. Applicant Contact: Richard Wilcox, Ottumwa Water and Hydro, 230
Turner Drive, Ottumwa, Iowa 52501,<PHONE_NUMBER>.
    i. FERC Contact: Tim Konnert,<PHONE_NUMBER> or
<EMAIL_ADDRESS>
    j. Deadline for filing scoping comments: January 4, 2007.
    All documents (original and eight copies) should be filed with:
Magalie R. Salas, Secretary, Federal Energy Regulatory Commission, 888
First Street, NE., Washington, DC 20426.
    The Commission's Rules of Practice require all intervenors filing
documents with the Commission to serve a copy of that document on each
person on the official service list for the project. Further, if an
intervenor files comments or documents with the Commission relating to
the merits of an issue that may affect the responsibilities of a
particular resource agency, they must also serve a copy of the document
on that resource agency.
    Scoping comments may be filed electronically via the Internet in
lieu of paper. The Commission strongly encourages electronic filings.
See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's
Web site (http://www.ferc.gov) under the ``eFiling'' link.

    k. This application is not ready for environmental analysis at this
time.
    l. The existing Ottumwa Project consists of: (1) An 18-foot-high
dam with a 641-foot-long spillway section equipped with eight Taintor
gates and one bascule gate; (2) a powerhouse integral to the dam
containing three generating units, unit 1 and unit 3 each rated at
1,000 kW and unit 2 rated at 1,250 kW; (3) a 125-acre reservoir with a
normal water surface elevation of 638.5 feet msl; and (4) appurtenant
facilities. The applicant estimates that the average annual generation
would be 10,261,920 kilowatt hours using the three generating units
with a combined capacity of 3,250 kW.
    m. A copy of the application is available for review at the
Commission in the Public Reference Room or may be viewed on the
Commission's Web site at http://www.ferc.gov using the ``eLibrary''

link. Enter the docket number excluding the last three digits in the
docket number field to access the document. For assistance, contact
FERC Online Support at<EMAIL_ADDRESS>or toll-free at 1-
866-208-3676, or for TTY,<PHONE_NUMBER>. A copy is also available for
inspection and reproduction at the address in item h above.
    n. You may also register online at http://www.ferc.gov.esubscribenow.htm
 to be notified via e-mail of new filings

and issuances related to this or other pending projects. For
assistance, contact FERC Online Support.
    o. Scoping Process--The Commission staff intends to prepare a
single Environmental Assessment (EA) for the Ottumwa Project in
accordance with the National Environmental Policy Act. The EA will
consider both site-specific and cumulative environmental impacts and
reasonable alternatives to the proposed action.
    Commission staff do not propose to conduct any on-site scoping
meetings at this time. Instead, we are soliciting comments,
recommendations, and information, on the Scoping Document (SD) issued
on December 1, 2006.
    Copies of the SD outlining the subject areas to be addressed in the
EA were distributed to the parties on the Commission's mailing list and
the applicant's service list. Copies of the SD may be viewed on the web
at http://www.ferc.gov using the ``eLibrary'' link. Enter the docket

number excluding the last three digits in the docket number field to
access the document. For assistance, call 1-866-208-3676 or for TTY,
(202) 502-8659.

Magalie R. Salas,
Secretary.
[FR Doc. E6-21072 Filed 12-11-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register: September 21, 2007 (Volume 72, Number 183)]
[Notices]
[Page 54020]
[DOCID:fr21se07-67]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. PR07-17-000]

Bridgeline Holdings, L.P.; Notice of Application for
Justification of Rates and Charges for Section 311 (A)(2) Services

 September 14, 2007.
    Take notice that on August 31, 2007, Bridgeline Holdings, L.P.
(Bridgeline), filed pursuant to section 284.123(b)(2) of the
Commission's regulations, an application to justify the system-wide
rate it proposes to charge for transporting natural gas, pursuant to
section 311 of the Natural Gas Policy Act, commencing September 1,
2007. Bridgeline seeks a maximum interruptible rate of $0.1787 per
MMBtu, a maximum firm usage charge of $0.0987 per MMBtu with a monthly
reservation charge of $2.4333 per MMBtu and a fuel retention maximum
cap of 1.2% for section 311(a)(2) transportation service.
    Any person desiring to participate in this rate proceeding must
file a motion to intervene or to protest this filing must file in
accordance with Rules 211 and 214 of the Commission's Rules of Practice
and Procedure (18 CFR 385.211 and 385.214). Protests will be considered
by the Commission in determining the appropriate action to be taken,
but will not serve to make protestants parties to the proceeding. Any
person wishing to become a party must file a notice of intervention or
motion to intervene, as appropriate. Such notices, motions, or protests
must be filed on or before the date as indicated below. Anyone filing
an intervention or protest must serve a copy of that document on the
Applicant. Anyone filing an intervention or protest on or before the
intervention or protest date need not serve motions to intervene or
protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov.
 Persons unable to file electronically should submit an

original and 14 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the

``eLibrary'' link and is available for review in the Commission's
Public Reference Room in Washington, DC. There is an ``eSubscription''
link on the Web site that enables subscribers to receive e-mail
notification when a document is added to a subscribed docket(s). For
assistance with any FERC Online service, please e-mail
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For

TTY, call<PHONE_NUMBER>.
    Comment Date: 5 p.m. Eastern Time September 28, 2007.

Kimberly D. Bose,
Secretary.
 [FR Doc. E7-18672 Filed 9-20-07; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 81, Number 48 (Friday, March 11, 2016)]
[Notices]
[Pages 12975-12977]
[FR Doc No: 2016-05439]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-77308; File No. SR-BYX-2016-07]

Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of
Filing and Immediate Effectiveness of a Proposed Rule Change To Amend
Its Rules as Well as Certain Corporate Documents of the Exchange To
Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal
Names of Certain Subsidiaries

March 7, 2016.
    Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on February 26, 2016, Bats BYX Exchange, Inc. f/k/a BATS Y-
Exchange, Inc. (the ``Exchange'' or ``BYX'') filed with the Securities
and Exchange Commission (``Commission'') the proposed rule change as
described in Items I, II and III below, which Items have been prepared
by the Exchange. The Exchange has designated this proposal as one being
concerned solely with the administration of the Exchange pursuant to
section 19(b)(3)(A)(iii) of the Act \3\ and Rule 19b-4(f)(3)
thereunder,\4\ which renders the proposal effective upon filing with
the Commission. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \4\ 17 CFR 240.19b-4(f)(3).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange is proposing a rule change to amend its rules as well
as certain corporate documents of the Exchange to reflect a legal name
change by the Exchange's ultimate parent entity, BATS Global Markets,
Inc. (the ``Parent'') to Bats Global Markets, Inc., and the legal names
of certain of the Parent's subsidiaries. As a result of this change,
the Exchange also proposes to amend its rules to change its name from
BYX Exchange, Inc. to Bats BYX Exchange, Inc. throughout its rules and
corporate documents.
    The text of the proposed rule change is available at the Exchange's
Web site at www.batstrading.com, at the principal office of the
Exchange, and at the Commission's Public Reference Room.

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

    In its filing with the Commission, the Exchange included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. The Exchange has prepared summaries, set forth in
Sections A, B, and C below, of the most significant 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 Exchange, on behalf of its Parent, recently filed to change the
Parent's legal name from ``BATS Global Markets, Inc.'' to ``Bats Global
Markets, Inc.'' \5\ For the purposes of consistency, certain of the
Parent's subsidiaries have also undertaken to change their legal names.
As a result, the Exchange also proposes to change its name from BATS Y-
Exchange, Inc. to Bats BYX Exchange, Inc. throughout its rules and
corporate documents (collectively, with the other legal name changes
for the Parent and certain of its subsidiaries, the ``name
changes'').\6\ Therefore, the Exchange proposes to amend its: (i)
Rulebook; (ii) fee schedule issued pursuant to Exchange Rules 15.1(a)
and (c) (``Fee Schedule''); (iii) Certificate of Incorporation
(``Certificate''); and (iv) Third Amended and Restated Bylaws of the
Exchange (``Bylaws'') (collectively, the ``Operative Documents'') to
reflect the name change and to replace all references to ``BATS'' with
``Bats''.
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    \5\ See Securities Exchange Act Release No. 77156 (February 17,
2016) (SR-BYX-2016-02).
    \6\ The Exchange initially filed the proposed fee [sic] change
on February 19, 2016 (SR-BYX-2016-06). On February 26, 2016, the
Exchange withdrew that filing and submitted this filing.
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    The Exchange proposes to replace all references to BATS with Bats
throughout the Exchange's Rulebook and Fee Schedule. The Exchange
understands that its affiliated Exchanges also intend to file similar
proposed rule changes with the Commission to amend their exchange
names.\7\ Therefore, the Exchange proposes to amend the following rules
to reflect the name changes, including the expected filings by its
affiliates to amend their names: Rule 1.5 (Definitions), Rule 2.3
(Member Eligibility), Rule 2.10 (Affiliation Between Exchange and a
Member), Rule 2.11 (BATS Trading, Inc. as Outbound Router), Rule 2.12
(BATS Trading, Inc. as Inbound Router), Rule 11.1 (Hours of Trading and
Trading Days), Rule 11.8 (Obligations of Market Makers), Rule 11.9
(Orders and Modifiers), Rule 11.12 (Priority of Orders), Rule 11.13
(Order Execution and Routing), Rule 11.14 (Trade Execution and
Reporting), Rule 11.18 (Trading Halts Due to Extraordinary Market
Volatility), Rule 11.22 (Data Products), Rule 11.23 (Opening Process),
Rule 11.24 (Retail Price Improvement Program), Rule 11.26 (Usage of
Data Feeds), Rule 13.8 (BATS Connect), Rule 14.2 (Investment Company
Units), and Rule 14.8 (Portfolio Depository Receipts). Throughout these
rules, the Exchange proposes the following changes:
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    \7\ The Exchange's affiliates are EDGA Exchange, Inc., BATS
Exchange, Inc. and EDGX Exchange, Inc. The Exchange understands that
proposed rule changes are to be filed by each of its affiliates to
amend their names as follows: EDGA Exchange, Inc. would be changed
to Bats EDGA Exchange, Inc., BATS Exchange, Inc. would be amended to
Bats BZX Exchange, Inc., and EDGX Exchange, Inc. would be amended to
Bats EDGX Exchange, Inc.
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     All references to ``BATS Y-Exchange'', ``BATS Y-EXCHANGE''
and ``BATS Y-EXCHANGE, Inc.'' are proposed to be changed to ``Bats BYX
Exchange, Inc.'';
     All references to ``BATS'' are proposed to be changed to
``Bats'';
     All references to ``BATS Exchange, Inc.'' are proposed to
be changed to ``Bats BZX Exchange, Inc.'';
     All references to ``EDGX Exchange, Inc.'' are proposed to
be changed to ``Bats EDGX Exchange, Inc.'';
     All references to ``EDGA Exchange, Inc.'' are proposed to
be changed to ``Bats EDGA Exchange, Inc.''
     All references to ``BATS Book'', ``BATS market orders'',
``BATS Post Only Orders'', and ``BATS Only Orders'', are proposed to be
changed to ``BYX Book'', ``BYX market orders'', ``BYX Post Only
Orders'', and ``BYX Only Orders'', respectively.\8\
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    \8\ The Exchange notes that ``BATS'' has previously been used by
the Exchange as a generic term to describe various types of
functionality and services offerings. In other instances, the
Exchange has indeed used the acronym BYX to describe its
functionality and offerings. For example, Rule 11.22(k) is titled
``BYX Book Viewer'' and described a market data product offered by
the Exchange. In addition, the Fee Schedule also includes BYX in the
title of the Exchange's market data products. The Exchange does not
propose to amend the names of these products and, as noted above,
proposes to convert the types of functionality referring to ``BATS''
to instead refer to ``BYX''.
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    In addition to these changes, the Exchange proposes to modify its
Fee Schedules to reflect the name change of the Exchange to Bats BYX
Exchange \9\ and to change all references to ``BATS'' to instead refer
to ``Bats''. The Exchange also proposes on its Fee Schedule to refer to
its affiliate, Bats BZX Exchange, Inc. (as proposed to be re-named),
simply as ``BZX''. The Exchange believes that this is more consistent
with other references on the Fee Schedule, such as the general
references to ``EDGA'', which refer to the Exchange's affiliate, Bats
EDGA Exchange, Inc. (as proposed to be re-named).
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    \9\ The Exchange notes that the Exchange will continue to be
referred to as ``BYX'' in certain areas of the Fee Schedules. These
areas of the Fee Schedules are: (i) The Fee Codes and Associated
Fees table; (ii) footnote 6; (ii) footnote 7; (iii) the Bats Connect
pricing table; and (iv) in the Unicast Access--Order Entry section
of its Fee Schedule.
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    The Exchange also proposes to amend Article First of the
Certificate to change the name of the Exchange to Bats BYX Exchange,
Inc. and make conforming changes throughout, including the title of the
Certificate. The Exchange proposes to amend the Bylaws to amend the
title to reflect that the Bylaws will be titled the ``FOURTH AMENDED
AND RESTATED BYLAWS OF BATS BYX EXCHANGE, INC.'' The Exchange also
proposes to amend Article I, paragraph (f) and Article XI, section 2 to
reflect the name changes.
    The name change from BATS Y-Exchange, Inc. to Bats BYX Exchange,
Inc. is a non-substantive change. No changes to the ownership or
structure of the Exchange or BATS Global Markets, Inc. have taken
place.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with section
6(b) of the Act,\10\ in general, and furthers the objectives of section
6(b)(5) of the Act,\11\ in particular, in that it is designed to
promote just and equitable principles of trade, to remove impediments
to and perfect the mechanism of a free and open market and a national
market system, and, in general to protect investors and the public
interest. The Exchange also believes that the proposed rule change is
consistent with section 6(b)(1) of the Act \12\ in that it is designed
to continue to ensure that the Exchange is so organized and has the
capacity to carry out the purposes of Act and to comply, and enforce
compliance by its members with the provisions of the Act and the rules
and regulations thereunder, and rules of the Exchange. The Exchange is
proposing amendments to the Operative Documents to effectuate its name
change to Bats BYX Exchange, Inc. and to reflect the name changes of
its affiliates. These changes are limited to capitalization and
ministerial name changes and to reflect similar proposed rule changes
to be submitted to the Commission by the Exchange's affiliates. The
Exchange believes that the changes will protect investors and the
public interest by eliminating confusion that may exist because of
differences between its corporate name and the new naming conventions
of the Parent and its subsidiaries, including the Exchange.
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    \10\ 15 U.S.C. 78f.
    \11\ 15 U.S.C. 78f(b)(5).
    \12\ 15 U.S.C. 78f(b)(1).

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

    Because the rule change proposes ministerial changes related to the
administration, and not the governance or operation, of the Exchange,
the Exchange does not believe that the proposed rule change will impose
any burden on competition not necessary or appropriate in furtherance
of the purposes of the Act.

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

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

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

    Because it is concerned solely with the administration of the
Exchange, the foregoing proposed rule change has become effective
pursuant to section 19(b)(3)(A)(iii) of the Act \13\ and Rule 19b-
4(f)(3) thereunder.\14\
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    \13\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \14\ 17 CFR 240.19b-4(f)(3).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is: (1)
Necessary or appropriate in the public interest; (2) for the protection
of investors; or (3) otherwise in furtherance of the purposes of the
Act. If the Commission takes such action, the Commission shall
institute proceedings to determine whether the proposed rule should be
approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-BYX-2016-07 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-BYX-2016-07. 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-BYX-2016-07, and should be
submitted on or before April 1, 2016.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\15\
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    \15\ 17 CFR 200.30-3(a)(12).
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Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-05439 Filed 3-10-16; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 216 (Wednesday, November 7, 2012)]
[Notices]
[Pages 66887-66888]
[FR Doc No: 2012-27138]

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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.

Extension:
    Voluntary XBRL-Related Documents; SEC File No. 270-550, OMB
Control No. 3235-0611.

    Notice is hereby given that, under the Paperwork Reduction Act of
1995 (44 U.S.C. 3501 et seq.) (``Paperwork Reduction Act''), the
Securities and Exchange Commission (the ``Commission'') has submitted
to the Office of Management and Budget

(``OMB'') a request for extension of the previously approved collection
of information discussed below.
    As part of our evaluation of the potential of interactive data
tagging technology, the Commission permits registered investment
companies (``funds'') to submit on a voluntary basis specified
financial statement and portfolio holdings disclosure tagged in
eXtensible Business Reporting Language (``XBRL'') format as an exhibit
to certain filings on the Commission's Electronic Data Gathering,
Analysis and Retrieval System (``EDGAR''). The current voluntary
program permits any fund to participate merely by submitting a tagged
exhibit in the required manner. These exhibits are publicly available
but are considered furnished rather than filed. The purpose of the
collection of information is to help evaluate the usefulness of data
tagging and XBRL to registrants, investors, the Commission, and the
marketplace.
    We estimate that no funds participate in the voluntary program each
year. This information collection, therefore, imposes no time burden;
however, we are requesting a one hour burden for administrative
purposes. We also estimate that the information collection imposes no
cost burden.
    Estimates of the average burden hours and costs are made solely for
the purposes of the Paperwork Reduction Act and are not derived from a
comprehensive or even representative survey or study of the costs of
Commission rules and forms. Participation in the program is voluntary.
Submissions under the program will not be kept confidential. An agency
may not conduct or sponsor, and a person is not required to respond to,
a collection of information unless it displays a currently valid OMB
control number.
    The public may view the background documentation for this
information collection at the following Web site: 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 email to<EMAIL_ADDRESS>and (ii) Thomas Bayer, Director/Chief Information
Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon,
6432 General Green Way, Alexandria, VA 22312; or send an email to:
<EMAIL_ADDRESS>Comments must be submitted to OMB within 30 days
of this notice.

    Dated: October 29, 2012.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-27138 Filed 11-6-12; 8:45 am]
BILLING CODE 8011-01-P


Comment Info: =================

General Comment:Dear Mr. Zeller:

I am writing as an individual consumer to request an extension of the comment period for the Food and Drug Administration's ("FDA") Proposed Rule Deeming Tobacco Products to be Subject to the Federal Food, Drug, and Cosmetic Act, as amended by the Family Smoking and Prevention and Tobacco Control Act (the "Proposed Rule") published at 79 Fed. Reg. 23,142 and Federal Register No. 2014-09491. On behalf of myself, I am requesting that the comment period for the Proposed Rule be extended by the FDA for an additional 105 days, from its current 75-day period, to 180 days.

The Proposed Rule raises a number of significant issues and questions that are important and relevant to me, as a consumer of products that are proposed for regulation under the Proposed Rule. The Proposed Rule asks about a hundred different questions I might want to respond to. I want to provide my thoughts and comments on many of these issues, but my time to devote to researching and providing thoughtful comments on these important questions is limited. I have already spent many hours researching and dissecting these issues, but they take time. I know that the FDA took many years to even come up with the Proposed Rule, so I do not think it is at all unreasonable to allow the public a mere six months to comment on it. This is our only opportunity, as consumers, to provide our feedback.

I feel very strongly about e-cigarettes as an alternative to combustible cigarettes. Quite simply, I firmly believe that they saved my life. I wish to provide you with my personal story, as well as science- and evidence-based responses to your questions so that you can take my comment into account. I realize that the FDA has the authority under 21 CFR 10.40 to extend this time frame and that the FDA has exercised this authority on numerous occasions in the past. I would therefore ask that you do so here, so that all stakeholders have the opportunity to provide their comments on this proposed regulation.

A little over a year ago, my life was greatly improved by the e-cigarette.  I was smoking roughly a pack a day.  After purchasing a starter kit for about $50, I quit cigarettes cold turkey.  Since, I have not looked back.  I feel better, I have better health checks from my doctor and have saved money.  I gladly gave up a bad habit with the help of e-cigarettes.  I can only hope that the research completed proves to be a break thru that we need to help others in their effort to quit smoking.  It is very frustrating to think that we are willing to regulate something without the knowledge to back up the regulations.  I hope that you make every effort to do the right thing and help the health of our country.  Everyday we read articles about regulations and products that are deemed unsafe.  For example:  fluoride, sweeteners, fast food, preservatives, yet they remain on the shelf with no warning labels.  I agree there should be some regulations on the product.  This is not a tobacco product.  Let's label the product for what it is.  We may need to do further studies in the findings.  Take a look at the results and health benefits.  I agree, there should be regulations as to selling to minors, quality of e-liquid manufactures and quality in product.  Please, don't let the tobacco companies have the upper hand when dealing with a product that could possibly change the health of our nation.  Give us the right and knowledge to make a decision for our health.

I appreciate your consideration of my request and am happy to discuss this issue with you further.


[Federal Register Volume 77, Number 177 (Wednesday, September 12, 2012)]
[Proposed Rules]
[Pages 56170-56172]
[FR Doc No: 2012-22392]

========================================================================
Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.

========================================================================

Federal Register / Vol. 77, No. 177 / Wednesday, September 12, 2012 /
Proposed Rules

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2012-0933; Directorate Identifier 2012-NM-107-AD]
RIN 2120-AA64

Airworthiness Directives; The Boeing Company Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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

SUMMARY: We propose to adopt a new airworthiness directive (AD) for all
The Boeing Company Model 737-600, -700, -700C, -800, -900, and -900ER
series airplanes. This proposed AD was prompted by reports of an
incorrect procedure used to apply the wear and corrosion protective
surface coating to attach pins of the horizontal stabilizer rear spar.
This proposed AD would require inspecting to determine the part number
of the attach pins of the horizontal stabilizer rear spar, and
replacing certain attach pins with new, improved attach pins. We are
proposing this AD to prevent premature failure of the attach pins,
which could cause reduced structural integrity of the horizontal
stabilizer to fuselage attachment, resulting in loss of control of the
airplane.

DATES: We must receive comments on this proposed AD by October 29,
2012.

ADDRESSES: You may send comments, using the procedures found in 14 CFR
11.43 and 11.45, by any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC 20590.
     Hand Delivery: Deliver to Mail address above between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
    For service information identified in this proposed AD, contact
Boeing Commercial Airplanes, Attention: Data & Services Management,
P.O. Box 3707, MC 2H-65, Seattle, WA 98124-2207; telephone 206-544-
5000, extension 1; fax<PHONE_NUMBER>; Internet https://www.myboeingfleet.com. You may review copies of the referenced service
information at the FAA, Transport Airplane Directorate, 1601 Lind
Avenue SW., Renton, WA. For information on the availability of this
material at the FAA, call<PHONE_NUMBER>.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov; or in person at the Docket Management Facility
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this proposed AD, the regulatory
evaluation, any comments received, and other information. The street
address for the Docket Office (phone:<PHONE_NUMBER>) is in the ADDRESSES
section. Comments will be available in the AD docket shortly after
receipt.

FOR FURTHER INFORMATION CONTACT: Nancy Marsh, Aerospace Engineer,
Airframe Branch, ANM-120S, FAA, Seattle Aircraft Certification Office,
1601 Lind Avenue SW., Renton, WA 98057-3356; phone<PHONE_NUMBER>; fax
425-917-6590; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Comments Invited

    We invite you to send any written relevant data, views, or
arguments about this proposal. Send your comments to an address listed
under the ADDRESSES section. Include ``Docket No. FAA-2012-0933;
Directorate Identifier 2012-NM-107-AD'' at the beginning of your
comments. We specifically invite comments on the overall regulatory,
economic, environmental, and energy aspects of this proposed AD. We
will consider all comments received by the closing date and may amend
this proposed AD because of those comments.
    We will post all comments we receive, without change, to http://www.regulations.gov, including any personal information you provide. We
will also post a report summarizing each substantive verbal contact we
receive about this proposed AD.

Discussion

    We received reports of pins with an unapproved surface coating
installed at the horizontal stabilizer rear spar attach locations. An
incorrect procedure to apply the wear and corrosion protective surface
coating was used by a supplier. The pins were installed on new
airplanes and were also distributed by Boeing Spares.
    A large number of the part number (P/N) 180A1612-3 and 180A1612-4
pins that were supplied to Boeing between June 30, 2006, and January
31, 2008, have an unapproved surface coating. These pins were
distributed by Boeing Spares and were installed on most new airplanes
delivered between August 2006 and July 2008. These pins could also have
been installed as terminating action for Boeing Service Bulletin 737-
55-1086 (specified in AD 2004-05-19, Amendment 39-13514 (69 FR 10921,
March 9, 2004; corrected April 13, 2004 (69 FR 19313)), or during
maintenance as specified in Section 9 of the Boeing 737-600/700/700C/
800/900/900ER Maintenance Planning Document. No practical non-
destructive inspection procedures exist to determine whether the pins
have an approved or unapproved surface coating. This condition, if not
corrected, could result in premature failure of the attach pins, which
could cause reduced structural integrity of the horizontal stabilizer
to fuselage attachment, resulting in loss of control of the airplane.

Relevant Service Information

    We reviewed Boeing Special Attention Service Bulletin 737-55-1093,
dated April 9, 2012. The service information describes procedures for
replacing certain attach pins of the horizontal stabilizer rear spar
with new, improved attach pins.

FAA's Determination

    We are proposing this AD because we evaluated all the relevant
information and determined the unsafe condition described previously is
likely to exist or develop in other products of the same type design.

Proposed AD Requirements

    This proposed AD would require inspecting to determine the part
number of the attach pins of the horizontal stabilizer rear spar, and
replacing certain attach pins with new, improved attach pins.

Costs of Compliance

    We estimate that this proposed AD affects 1,050 airplanes of U.S.
registry.
    We estimate the following costs to comply with this proposed AD:

                                                 Estimated costs
----------------------------------------------------------------------------------------------------------------
                                                                          Cost per
             Action                  Labor cost          Parts cost        product      Cost on U.S. operators
----------------------------------------------------------------------------------------------------------------
Inspection and attach pin        39 work-hours x     Up to $6,312.....       $9,627   Up to $10,108,350.
 replacement.                     $85 per hour =
                                  $3,315.
----------------------------------------------------------------------------------------------------------------

    According to the manufacturer, some of the costs of this proposed
AD may be covered under warranty, thereby reducing the cost impact on
affected individuals. We do not control warranty coverage for affected
individuals. As a result, we have included all costs in our cost
estimate.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. Subtitle VII: Aviation Programs,
describes in more detail the scope of the Agency's authority.
    We are issuing this rulemaking under the authority described in
Subtitle VII, Part A, Subpart III, Section 44701: ``General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.

Regulatory Findings

    We determined that this proposed AD would not have federalism
implications under Executive Order 13132. This proposed AD would not
have a substantial direct effect on the States, on the relationship
between the national Government and the States, or on the distribution
of power and responsibilities among the various levels of government.
    For the reasons discussed above, I certify this proposed
regulation:
    (1) Is not a ``significant regulatory action'' under Executive
Order 12866,
    (2) Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979),
    (3) Will not affect intrastate aviation in Alaska, and
    (4) Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

The Proposed Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA proposes to amend 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

    1. The authority citation for part 39 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13  [Amended]

    2. The FAA amends Sec.  39.13 by adding the following new
airworthiness directive (AD):

The Boeing Company: Docket No. FAA-2012-0933; Directorate Identifier
2012-NM-107-AD.

(a) Comments Due Date

    We must receive comments by October 29, 2012.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to all The Boeing Company Model 737-600, -700, -
700C, -800, -900, and -900ER series airplanes; certificated in any
category.

(d) Subject

    Joint Aircraft System Component (JASC)/Air Transport Association
(ATA) of America Code 55, Stabilizers.

(e) Unsafe Condition

    This AD was prompted by reports of an incorrect procedure used
to apply the wear and corrosion protective surface coating to attach
pins of the horizontal stabilizer rear spar. We are issuing this AD
to prevent premature failure of the attach pins, which could cause
reduced structural integrity of the horizontal stabilizer to
fuselage attachment, resulting in loss of control of the airplane.

(f) Compliance

    Comply with this AD within the compliance times specified,
unless already done.

(g) Part Number (P/N) Inspection

    For airplanes having line numbers 1 through 3534 inclusive:
Before the accumulation of 56,000 total flight cycles, or within
3,000 flight cycles after the effective date of this AD, whichever
occurs later, inspect to determine the part number of the attach
pins of the horizontal stabilizer rear spar. A review of airplane
maintenance records is acceptable in lieu of this inspection if the
part number of the attach pin can be conclusively determined from
that review.

(h) Replacement

    If, during the inspection required by paragraph (g) of this AD,
any attach pin of the horizontal stabilizer rear spar has P/N
180A1612-3 or 180A1612-4, before further flight, replace with a new
attach pin having P/N 180A1612-7 or 180A1612-8, respectively, in
accordance with the Accomplishment Instructions of Boeing Special
Attention Service Bulletin 737-55-1093, dated April 9, 2012.

(i) Parts Installation Prohibition

    For all airplanes: As of the effective date of this AD, no
person may install an attach pin of the horizontal stabilizer rear
spar having P/N 180A1612-3 or 180A1612-4, on any airplane.

(j) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Seattle Aircraft Certification Office (ACO),
FAA, has the authority to approve AMOCs for this AD, if requested
using the procedures found in 14 CFR 39.19. In accordance with 14
CFR 39.19, send your request to your principal inspector or local
Flight Standards District Office, as appropriate. If sending
information directly to the manager of the ACO, send it to the
attention of the person identified in the Related Information
section of this AD. Information may be emailed to<EMAIL_ADDRESS>

    (2) Before using any approved AMOC, notify your appropriate
principal inspector, or lacking a principal inspector, the manager
of the local flight standards district office/certificate holding
district office.
    (3) An AMOC that provides an acceptable level of safety may be
used for any repair required by this AD if it is approved by the
Boeing Commercial Airplanes Organization Designation Authorization
(ODA) that has been authorized by the Manager, Seattle ACO, to make
those findings. For a repair method to be approved, the repair must
meet the certification basis of the airplane, and the approval must
specifically refer to this AD.

(k) Related Information

    (1) For more information about this AD, contact Nancy Marsh,
Aerospace Engineer, Airframe Branch, ANM-120S, FAA, Seattle Aircraft
Certification Office, 1601 Lind Avenue SW., Renton, WA 98057-3356;
phone<PHONE_NUMBER>; fax<PHONE_NUMBER>; email<EMAIL_ADDRESS>    (2) For service information identified in this AD, contact
Boeing Commercial Airplanes, Attention: Data & Services Management,
P.O. Box 3707, MC 2H-65, Seattle, WA 98124-2207; telephone 206-544-
5000, extension 1; fax<PHONE_NUMBER>; Internet https://www.myboeingfleet.com. You may review copies of the referenced
service information at the FAA, Transport Airplane Directorate, 1601
Lind Avenue SW., Renton, WA. For information on the availability of
this material at the FAA, call<PHONE_NUMBER>.

    Issued in Renton, Washington, on August 31, 2012.
Ali Bahrami,
Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2012-22392 Filed 9-11-12; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 84, Number 137 (Wednesday, July 17, 2019)]
[Notices]
[Pages 34220-34225]
[FR Doc No: 2019-15136]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-86358; File No. SR-ICC-2019-007]

Self-Regulatory Organizations; ICE Clear Credit LLC; Proposed
Rule Change, Security-Based Swap Submission, or Advance Notice Relating
to the ICC Rules, ICC End-of-Day Price Discovery Policies and
Procedures, and ICC Risk Management Framework

July 11, 2019.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on June 28, 2019, ICE Clear Credit LLC (``ICC'') filed with the
Securities and Exchange Commission the proposed rule change, security-
based swap submission, or advance notice as described in Items I, II
and III below, which Items have been prepared by ICC. The Commission is
publishing this notice to solicit comments on the proposed rule change,
security-based swap submission, or advance notice from interested
persons.
---------------------------------------------------------------------------

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

I. Clearing Agency's Statement of the Terms of Substance of the
Proposed Rule Change, Security-Based Swap Submission, or Advance Notice

    The principal purpose of the proposed rule change is to make
certain changes to ICC's Clearing Rules (the ``Rules'') \3\ and related
procedures to provide for the clearing of credit default index
swaptions.
---------------------------------------------------------------------------

    \3\ Capitalized terms used but not defined herein have the
meanings specified in the Rules.
---------------------------------------------------------------------------

II. Clearing Agency's Statement of the Purpose of, and Statutory Basis
for, the Proposed Rule Change, Security-Based Swap Submission, or
Advance Notice

    In its filing with the Commission, ICC included statements
concerning the purpose of and basis for the proposed rule change,
security-based swap submission, or advance notice and discussed any
comments it received on the proposed rule change, security-based swap
submission, or advance notice. The text of these statements may be
examined at the places specified in Item IV below. ICC has prepared
summaries, set forth in sections (A), (B), and (C) below, of the most
significant aspects of these statements.

(A) Clearing Agency's Statement of the Purpose of, and Statutory Basis
for, the Proposed Rule Change, Security-Based Swap Submission, or
Advance Notice

(a) Purpose
    ICE Clear Credit proposes amendments to its Rules, End-of-Day Price
Discovery Policies and Procedures (the ``EOD Policy'') and Risk
Management Framework (the ``Risk Framework'') to provide for the
clearing by ICC of credit default index swaptions (``Index
Swaptions''). Pursuant to an Index Swaption, one party (the ``Swaption
Buyer'') has the right (but not the obligation) to cause the other
party (the ``Swaption Seller'') to enter into an index credit default
swap transaction at a pre-determined strike price on a specified
expiration date on specified terms. In the case of Index Swaptions that
would be cleared by ICC, the underlying index credit default swap would
be limited to certain CDX and iTraxx Europe index credit default swaps
that are accepted for clearing by ICC, and which would be automatically
cleared by ICC upon exercise of the Index Swaption by the Swaption
Buyer in accordance with its terms.
    ICC is proposing to adopt a new Subchapter 26R of its Rules, which
will set out the contract terms and specifications for cleared Index
Swaptions. ICC is also proposing to adopt amendments to its EOD Policy
which would establish an end-of-day (``EOD'') settlement price
submission process for Index Swaptions. Proposed amendments to the Risk
Framework would address the margining and risk management processes for
Index Swaptions, among other matters. The text of the proposed
amendments is attached [sic] in Exhibit 5.
    Prior to the commencement of clearing of Index Swaptions, ICC
intends to adopt certain other policies and procedures, including a new
set of Exercise Procedures, which will address in further detail the
manner in which Index Swaptions may be exercised by Swaption Buyers and
the manner in which ICC will assign such exercises to Swaption Sellers.
ICC also expects to make certain changes to its Risk Management Model
Description relating to the initial margin model for Index Swaptions.
ICC will make subsequent filings pursuant to Rule 19b-4 with respect to
such additional or amended policies or procedures as required. ICC does
not intend to commence clearing of Index Swaptions until any such
additional filings, as well as the current filing (``Index Swaptions
Related Filings'') have been approved by the Commission or otherwise
become effective. As such, ICC proposes to make the changes to the
Rules, EOD Policy, and Risk Framework effective following the approval
of all Index Swaptions Related Filings and the completion of the ICC
governance process surrounding the Index Swaptions product expansion.
Rule Amendments
    In new Subchapter 26R, Rule 26R-102 will set out key definitions
used for Index Swaptions, which are generally similar to those used in
the subchapters for other index Contracts cleared by ICC. Key defined
terms would include ``Eligible Untranched Swaption Index'', which would
specify the applicable series and version of a CDX or iTraxx index or
sub-index underlying an Index Swaption. As with other index Contracts,
ICC would maintain a List of Eligible Untranched Swaption Indices,
which will contain the Eligible Untranched Swaption Indices as well as
the eligible expiration dates and strike prices, as well as other
relevant terms, for Index Swaptions that will be accepted for clearing
by ICC. The rule would define the ``Relevant Index Swaption Untranched
Terms Supplement'', which is the market-standard published standard
terms document for index swaptions of the relevant type that would be
incorporated by reference into the contract terms in the Rules for a
cleared Index Swaption. The rule also would define the ``Underlying
Contract,'' which would be the index CDS Contract into which the Index
Swaption may be exercised, and the ``Underlying New Trade,'' which
would be a new single name CDS trade that would arise upon exercise of
an Index Swaption where a relevant Restructuring Credit Event, if

applicable, has occurred with respect to a reference entity in the
relevant index.
    New Rule 26R-103 would clarify the application of certain aspects
of the Rules to Index Swaptions. For most purposes of the Rules,
including Chapters 20 (regarding default management), 20A (regarding
transfers of positions), 21 (regarding determination of credit events)
and 26E (regarding restructuring credit events), Index Swaptions would
be treated as CDS Contracts. Although Index Swaptions are ``physically
settled,'' as that term is understood in the market for swaptions
(meaning that the swaption, upon exercise, will result in the parties
entering into an index credit default swap position on the specified
terms), the physical settlement terms for CDS Contracts in Chapter 22
of the Rules would not apply to settlement of the Index Swaption
itself. Once an Index Swaption has been exercised, the resulting
Underlying Contract and Underlying New Trade, if any, would themselves
be treated as CDS Contracts for all purposes of the Rules.
    In Rule 26R-309, CDS Participants agree to use reasonable efforts
not to submit for clearing an Index Swaption at a time when the
Underlying Contract could not be submitted for clearing under the Rules
or at a time when the CDS Participant would be under an obligation to
use reasonable efforts not to submit such Underlying Contract. (The
Rules related to CDS Contracts cleared by ICC impose limitations on
submission of trades for clearing at certain times.) \4\ As with other
CDS Contracts under the Rules, a CDS Participant would also be required
to notify ICC if it has submitted an Index Swaption that was not a
Conforming Trade under the Rules.
---------------------------------------------------------------------------

    \4\ See, e.g., ICC Rule 26A-309.
---------------------------------------------------------------------------

    Rule 26R-315 would establish certain basic terms for Index
Swaptions. The Rule would provide that the Index Swaption is governed
by the Relevant Index Swaption Untranched Terms Supplement (which
contains the market standard terms for uncleared Index Swaptions of the
relevant type), subject to the relevant provisions of Subchapter 26R of
the Rules (which would govern in the case of any inconsistency). The
approach is consistent with the treatment of other cleared index CDS
Contracts under the Rules, which rely on and incorporate their own
forms of standard terms supplements.
    Rule 26R-316 would address the situation where a new Index Swaption
Untranched Terms Supplement is published. Consistent with ICC's
practice for other index CDS Contracts, the ICC Board or its designee
would determine whether Index Swaptions referencing the existing
standard terms supplement would be fungible with Index Swaptions
referencing the new standard terms supplement, and if so, ICC would
update existing Index Swaptions to reference the new standard terms
supplement.
    Rule 26R-317 specifies other key terms for Index Swaptions.
Subsection (a) addresses certain modifications to the Relevant Index
Swaption Standard Terms Supplement and the 2014 Definitions
incorporated therein, in the context of an Index Swaption referencing a
CDX.NA index. These generally reflect changes necessary to accommodate
the clearing of the Index Swaption transactions, including to
incorporate the clearing house's procedures for determination of a
Credit Event and for application of physical settlement, and are
consistent with similar modifications used for the Underlying Contract
itself under the applicable subchapter of Chapter 26 of the Rules.
Subsection (b) makes similar modifications in the case of an Index
Swaption referencing an iTraxx Europe index. Rule 26R-317(c) states
explicitly that Index Swaptions will be physically settled in
accordance with Subchapter 26R (and not, for the avoidance of doubt,
the physical settlement rules in Chapter 22 (which may apply to the
settlement of the Underlying Contract, if applicable, but not to the
settlement of the Index Swaption)).
    Rule 26-317(d) sets out certain terms and elections under the
Relevant Index Swaption Untranched Terms Supplement that will apply to
all Index Swaptions of a particular type and underlying index.
Significantly, ICC will only accept Index Swaptions that are European
style, such that the option may only be exercised on the expiration
date. ICC is defined as the Calculation Agent, except as provided in
the CDS Committee Rules in Chapter 21. The rule would also set out
certain elections regarding the Underlying Contract.
    Rule 26-317(e) would set out the terms for an Index Swaption that
must be included in the submission of a transaction for clearing,
including identifying the underlying index, swaption trade date,
expiration date, Swaption Buyer, Swaption Seller, strike price and
swaption premium. The submission would also specify whether the Index
Swaption is a ``payer'' or ``call'' option, in which case the Swaption
Buyer, upon exercise, would be the fixed rate payer under the
Underlying Contract, or a ``receiver'' or ``put'' option, in which case
the Swaption Seller, upon exercise, would be the fixed rate payer under
the Underlying Contract. The submission would also specify the
scheduled termination date of the Underlying Contract and original
notional amount of the Underlying Contract.
    Procedures for exercise and assignment of Index Swaptions would be
addressed in new Rule 26R-318. Specifically, an Open Position in an
Index Swaption may be exercised on its expiration date by the relevant
Participant (or, in the case of a client position, the relevant Non-
Participant Party) that is the Swaption Buyer delivering an exercise
notice to ICC.\5\ When ICC receives exercise notices in respect of a
particular type of Index Swaption on its expiration date, ICC will
assign the exercise notices to Open Positions of Participants that are
Swaption Sellers (across both the house and customer origin accounts)
in accordance with the Exercise Procedures. Such an assignment will
constitute exercise by ICC of its Index Swaption position against such
Swaption Sellers (and the exercise of the position between the
exercising Swaption Buyer and ICC and an offsetting position between
ICC and the assigned Swaption Seller will be deemed to occur
simultaneously). The assignment of an exercise notice does not create a
direct relationship between the exercising Swaption Buyer and the
assigned Swaption Seller; both such parties continue to face ICC as
clearing organization. Index Swaptions that are not validly exercised
on the expiration date will expire without further obligation of any
party.
---------------------------------------------------------------------------

    \5\ ICC contemplates that it will adopt a set of Exercise
Procedures that will provide further detail as to the manner in
which Index Swaptions may be exercised by Swaption Buyers and in
which notices of exercise will be assigned to Swaption Sellers. The
Exercise Procedures may also detail any circumstances under which
Index Swaptions would be automatically exercised at expiration. ICC
expects that it will separately file such procedures for approval
under Rule 19b-4 as required.
---------------------------------------------------------------------------

    New Rule 26R-319 would address procedures for settlement of an
exercised Index Swaption. Upon exercise, a cleared Contract in the form
of the Underlying Contract will automatically come into effect as
between the exercising Swaption Buyer and ICC and an offsetting cleared
Contract will automatically come into effect as between ICC and the
assigned Swaption Seller. A settlement payment in connection with the
exercise (representing a strike adjustment amount based on the strike
price of the Index Swaption and an accrual amount (reflecting the
accrued fixed payment for the Underlying Contract through expiration))
will be paid by one party to

the other in accordance with the terms of the relevant Index Swaption
(based on the Relevant Index Swaption Untranched Terms Supplement).
    Consistent with the terms of the Index Swaption, additional
settlements may be required under Rule 26R-319(b) if one or more Credit
Events has occurred with respect to the underlying index at or prior to
the expiration date of the Index Swaption. In general, such settlements
are designed so that the party in the position of the protection buyer
under the Index Swaption would receive settlement for all such Credit
Events as if it had held the Underlying Contract at the time of the
Credit Event. These settlement amounts may include auction cash
settlement amounts, fixed rate payments, and accruals with respect to
such credit events. The proposed rule would also provide for an
additional accrual amount, owed by the party that is in the position of
fixed rate payer or floating rate payer, as applicable, to ensure
consistency in economic result where the swaption expiration occurs
after the relevant auction date for a Credit Event as compared to cases
where expiration occurs before the auction date. Rule 26R-319(b) also
addresses cases where the relevant Underlying Contract is itself
subject to physical settlement under Chapter 22 of the Rules, and
provides for matching of Swaption Buyers and Swaption Sellers for that
purpose. Rule 26R-319(c) would apply in the case of a relevant M(M)R
Restructuring Credit Event, and provide for delivery of MP Notices
(both Restructuring Credit Event Notices and Notices to Exercise
Movement Option) by Swaption Buyer and Swaption Sellers prior to
expiration of the Index Swaption, which will have effect with respect
to the Underlying New Trade established if the Index Swaption is
exercised. Subsection (c) also addresses settlement with respect to the
Underlying New Trade.
    Rule 26R-502 would clarify that certain actions do not constitute
Specified Actions subject to Risk Committee consultation, including
adding new eligible strike prices and expiration dates for Index
Swaptions and adding new series and tenors for the Underlying Contracts
for Index Swaptions. Consistent with similar provisions for other
product subchapters, Rule 26R-616 would provide that actions to give
effect to certain determinations of the Credit Derivatives
Determinations Committee or Regional CDS Committee, such as succession
events and the like, would not constitute a Contract Modification for
purposes of the Rules.
EOD Policy Amendments
    ICC also proposes to amend its EOD Policy to incorporate Index
Swaptions. The EOD Policy sets out ICC's EOD price discovery process
used to determine the daily settlement prices for all cleared
Contracts, based on submissions made by Participants. The amended EOD
Policy would specify the characteristics that define a unique Index
Swaption instrument for purposes of price submissions, including
exercise style, underlying index, option type (put or call), expiration
date, strike price and convention (price or spread) and transaction
type (reflecting the applicable legal documentation). The policy would
further define a ``put/call surface pair,'' as the group of Index
Swaptions with the same combination of underlying index, strike
convention and transaction type, but differ with respect to option
type, expiration date and strike price, and a ``surface,'' as the group
of Index Swaptions from a given put/call surface pair with the same
option type (such that for every put/call surface pair there is a put
surface and a call surface). Under the policy, a ``strip'' would be
referred to as the group of Index Swaptions on a given surface with the
same expiration date (but with different strike prices).
    The revised EOD Policy would establish a methodology for
determining EOD bid-offer widths (``BOWs'') for clearing-eligible Index
Swaptions, which are used for establishing EOD settlement prices. Under
the methodology, ICC uses the EOD BOW of the Underlying Contract in
price terms for each put/call surface pair. For each strip, ICC would
determine an around-at-the money BOW using the underlying index EOD BOW
and scaling factors that take into account time to expiry and the
magnitude of an at-the-money swaption's BOW as related of the BOW of
the underlying. ICC then determines a systematic BOW for each Index
Swaption on a strip by applying an in-the-moneyness scaling factor
based on strike prices. The final BOW for an Index Swaption would be
determined as the greater of the systematic BOW and a dynamic BOW
determined on the range of a series of unique price submissions made by
Participants for the particular Index Swaption (excluding certain of
the largest and smallest elements), in a manner similar to that
currently used for calculating dynamic BOWs for single name
instruments.
    The EOD Policy also would set out price submission requirements for
Participants. If a Participant has a gross notional position in any
Index Swaption in any strip of puts or calls, the Participant must
provide submissions for all clearing-eligible instruments in that strip
of puts or calls and the corresponding strip of calls or puts. In
addition, if an insufficient number of Participants are required to
submit under this standard, ICC may require all Participants to provide
relevant submissions. Under the amendments, ICC would establish a
separate price submission window for Index Swaptions that differs from
the current submission window for CDS Contracts. The policy would
specify the required format of submissions, and permit either midpoint
or bid-offer pair submissions. ICC will convert submissions into
standardized bid-offer pairs using the calculated EOD BOW as discussed
above. ICC would also determine implied forward prices for all
underlying index instruments for which EOD Index Swaption prices are
determined, for maturities corresponding to each Index Swaption
expiration date.
    ICC would apply its firm trade requirements, under which a subset
of trades generated by ICC's cross-and lock algorithm are required to
be entered into by Participants, to Index Swaptions. As with other
cleared products, there would be a notional limit for firm Index Option
trades for Participants affiliate groups. The amended policy would set
out procedures for determining the relevant firm trade days for Index
Swaptions and the strips of puts and calls that are firm-trade
eligible. Firm trades in Index Swaptions may be eligible for reversing
transactions, in a similar manner to other firm trades.
    The amendments would address distribution of Index Swaption prices,
both to Participants and publicly. The amendments also amend the
governance provisions of the EOD Policy to incorporate the relevant
functions of the ICC Risk Management Department regarding Index
Swaptions. The table in the appendix setting out the timing for various
aspects of the price submission process would also be updated to
incorporate Index Swaptions.
    The amendments would make certain other clarifications to the EOD
Policy, including references to additional alternative price sources
that ICC may use in establishing settlement prices. Certain
clarifications would be made to the existing process for index and
single name CDS Contracts to distinguish it from the additional
submission process for Index Swaptions. Certain updates to defined
terms and typographical and similar corrections would also be made.

Risk Framework Amendments
    ICC would make conforming changes to its Risk Framework to
incorporate the clearing of Index Swaptions. The amendments would,
among other matters, define Index Swaptions and identify key terms of
Index Swaptions, consistent with the Rules and EOD Policy. For risk
management purposes, the Risk Framework would define an instrument as a
specific combination of underlying index, expiration date, strike
price, option type, exercise type, currency and transaction type. The
amendments would address the application of the ICC initial margin
model to Index Swaptions, including the integrated spread response
component of the margin model, based on implied forward looking Index
Swaption prices. Index Swaptions would not be eligible for index-single
name decomposition benefits for purposes of determining the integrated
spread response and accordingly would not be subject to basis risk
requirements based on decomposed index positions. Certain price-based
scenarios and jump to default requirements in the margin model would,
in the case of Index Swaptions, be applied to delta equivalent notional
amounts of the underlying index swap position. The framework would also
apply concentration charges to Index Swaption positions, based on delta
equivalent notional amounts of the underlying index.
    Amendments to the Risk Framework would also remove certain outdated
references and clarify certain risk management data and systems used in
the margin models. Risk management review procedures contained in an
appendix to the document would also be updated to incorporate Index
Swaptions.
(b) Statutory Basis
    ICC believes that the proposed rule changes are consistent with the
requirements of Section 17A of the Act \6\ and the regulations
thereunder applicable to it, including the applicable standards under
Rule 17Ad-22.\7\ In particular, Section 17A(b)(3)(F) of the Act
requires that that the rule change be consistent with the prompt and
accurate clearance and settlement of securities transactions and
derivative agreements, contracts and transactions cleared by ICC, the
safeguarding of securities and funds in the custody or control of ICC
or for which it is responsible, and the protection of investors and the
public interest.\8\
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    \6\ 15 U.S.C. 78q-1.
    \7\ 17 CFR 240.17Ad-22.
    \8\ 15 U.S.C. 78q-1(b)(3)(F).
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    The amendments would provide for clearing of an additional type of
contract, Index Swaptions. When exercised, Index Swaptions would result
in the creation of an underlying index CDS Contract cleared by ICC.
Index Swaptions would only relate to underlying index CDS Contracts
that are accepted for clearing by ICC. The Rule amendments would
provide for the creation of a new Subchapter 26R of the Rules governing
the terms and conditions of Index Swaptions. In general, the Rules
would incorporate market-standard documentation for Index Swaptions
(much as ICC does for other categories of cleared contract), with
applicable changes to reflect the clearing process at ICC. The Rule
amendments would also provide for the exercise of Index Swaptions by
Swaption Buyers, and the assignment of exercised positions to Swaption
Sellers, and the settlement of Index Swaptions following exercise. The
revised EOD Policy would provide a means for daily pricing of Index
Swaptions for settlement and margining purposes, in a manner similar to
that for other cleared Contracts. In addition, the Risk Framework would
be updated, principally to incorporate Index Swaptions into the ICC's
initial margin model, among other risk management matters. In ICC's
view, clearing of Index Swaptions on these terms and arrangements would
extend the benefits of clearing to market participants that use these
products, enhancing the functioning of the derivatives markets and
providing increased ability for market participants to manage risk
through the cleared environment. With the proposed amendments to the
EOD Policy and Risk Framework, ICC believes the Index Swaptions can be
effectively cleared within ICC's existing clearing arrangements and
related financial safeguards, protections and risk management
procedures. Margin provided in connection with the clearing of Index
Swaptions would be held by ICC in the same manner, and with the same
protections, as margin provided in respect of other cleared Contracts.
Accordingly, in ICC's view, the amendments are consistent with the
prompt and accurate clearance and settlement of derivatives
transactions cleared by ICC, the safeguarding of securities and funds
in the custody or control of ICC or for which it is responsible, and
the protection of investors and the public interest, within the meaning
of Section 17A(b)(3)(F) of the Act.
    The amendments will also satisfy relevant requirements of Rule
17Ad-22,\9\ as set forth in the following discussion.
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    \9\ 17 CFR 240.17Ad-22.
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    Financial Resources. Rule 17Ad-22(b)(2)-(3) \10\ requires, in
relevant part, a clearing agency for security-based swaps to establish,
implement, maintain and enforce written policies and procedures
reasonably designed to ``use margin requirements to limit its credit
exposures to participants under normal market conditions and use risk-
based models and parameters to set margin requirements'' and maintain
financial resources ``sufficient to withstand, at a minimum, a default
by the two participant families to which it has the largest exposure in
extreme but plausible market conditions.'' As discussed above, ICC is
modifying the Risk Framework, and in particular the initial margin
model, to apply to Index Swaptions. With these modifications, ICC
believes that its initial margin and guaranty fund resources will be
sufficient to meet ICC's financial obligations to Participants with
respect to cleared Index Swaptions as well as other cleared Contracts
notwithstanding a default by the two Participant families creating the
largest combined loss, in extreme but plausible market conditions,
consistent with these regulatory requirements. ICC does not propose to
otherwise reduce or change its financial resources.
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    \10\ 17 CFR 240.17Ad-22(b)(2)-(3).
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    Operational Resources. Rule 17Ad-22(d)(4) requires a clearing
agency to establish, implement, maintain and enforce written policies
and procedures reasonably designed to ``identify sources of operational
risk and minimize them through the development of appropriate systems,
controls and procedures.'' \11\ ICC proposes to modify its EOD Policy
and Risk Framework to facilitate pricing and risk management of Index
Swaptions, within ICC's existing systems and procedures. ICC believes
that with these modifications, its operational and managerial resources
will be sufficient to support clearing of Index Swaptions, consistent
with the requirements of Rule 17Ad-22(d)(4).\12\
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    \11\ 17 CFR 240.17Ad-22(d)(4).
    \12\ 17 CFR 240.17Ad-22(d)(4).
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    Settlement Procedures. Rule 17Ad-22(d)(12) \13\ requires a clearing
agency to establish, implement, maintain and enforce written policies
and procedures reasonably designed to ``ensure that final settlement
occurs no

later than the end of the settlement day, and require that intraday or
real-time finality be provided where necessary to reduce risks.'' ICC
proposes to amend its EOD Policy to accommodate Index Swaptions. The
revised policy will provide a robust basis for calculation of EOD
settlement prices for cleared Index Swaptions, which in turn will serve
as the basis for Mark-to-Market Margin settlement for Index Swaptions.
As such, ICC believes its arrangements for settlement of Index
Swaptions will be consistent with the requirements of the Rule as to
the finality and accuracy of its daily settlement process.
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    \13\ 17 CFR 240.17Ad-22(d)(12).
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    In addition, Rule 17Ad-22(d)(15) requires the clearing agency to
establish, implement, maintain and enforce written policies and
procedures reasonably designed to ``state to its participants the
clearing agency's obligations with respect to physical deliveries and
identify and manage the risks from these obligations.'' \14\ The
amended Rules clearly set out the procedures for settlement of Index
Swaptions on exercise, which result in the creation of a cleared
underlying index CDS Contract (and in some cases in the event of a
Restructuring Credit Event, an Underlying New Trade). The Rules also
provide for settlements of credit events that occur prior to exercise
of an Index Swaption, consistent with the documentation for such
contracts. In ICC's view, the Rules, as well as the amended Risk
Framework and its existing risk management procedures, enable ICC to
identify and manage the risks of settlement of Index Swaptions on
exercise. As such, the amendments would satisfy the requirements of the
Rule.
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    \14\ 17 CFR 240.17Ad-22(d)(15).
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    Default Procedures. Rule 17Ad-22(d)(11) \15\ requires the clearing
agency to establish, implement, maintain and enforce written policies
and procedures reasonably designed to ``establish default procedures
that ensure that the clearing agency can take timely action to contain
losses and liquidity pressures and to continue meeting its obligations
in the event of a participant default.'' ICC will apply its existing
default management Rules and procedures to the management of any
default involving Index Swaptions. ICC believes these arrangements
allow it to take timely action to contain losses and liquidity
pressures, and to continue meeting its obligations, in the case of such
a default involving Index Swaptions, and are therefore consistent with
the Rule.
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    \15\ 17 CFR 240.17Ad-22(d)(11).
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(B) Clearing Agency's Statement on Burden on Competition

    ICE Clear Credit does not believe the proposed amendments would
have any impact, or impose any burden, on competition not necessary or
appropriate in furtherance of the purpose of the Act. The amendments
will authorize the clearing of Index Swaptions as an additional type of
Contract. Index Swaptions will be available to all ICC Participants for
clearing. ICC does not believe acceptance of Index Swaptions for
clearing would adversely affect the trading markets for such contracts,
and in fact acceptance of such contracts by ICC would provide market
participants with the additional flexibility to have their Index
Swaptions cleared. Acceptance of the Index Swaptions for clearing will
not, in ICC's view, adversely affect clearing of any other currently
cleared product. As a result, ICC does not believe the amendments would
adversely affect the ability of Participants, their customers or other
market participants to continue to clear contracts, including CDS
Contracts. ICC also does not believe the enhancements would adversely
affect the cost of clearing or otherwise limit market Participants'
choices for selecting clearing services in Index Swaptions, credit
default swaps or other products. Accordingly, ICC does not believe the
amendments would impose any burden on competition not necessary or
appropriate in furtherance of the purpose of the Act.

(C) Clearing Agency's Statement on Comments on the Proposed Rule
Change, Security-Based Swap Submission, or Advance Notice Received From
Members, Participants or Others

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

III. Date of Effectiveness of the Proposed Rule Change, Security-Based
Swap Submission, or Advance Notice and Timing for Commission Action

    Within 45 days of the date of publication of this notice in the
Federal Register or within such longer period up to 90 days (i) as the
Commission may designate if it finds such longer period to be
appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:
    (A) By order approve or disapprove such proposed rule change, or
    (B) institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change, security-based swap submission, or advance notice 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-ICC-2019-007 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-ICC-2019-007. 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, security-based
swap submission, or advance notice that are filed with the Commission,
and all written communications relating to the proposed rule change,
security-based swap submission, or advance notice 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
such filings will also be available for inspection and copying at the
principal office of ICE Clear Credit and on ICE Clear Credit's website
at https://www.theice.com/clear-credit/regulation.
    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-ICC-2019-007
and should be submitted on or before August 7, 2019.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\16\
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    \16\ 17 CFR 200.30-3(a)(12).
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Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-15136 Filed 7-16-19; 8:45 am]
 BILLING CODE 8011-01-P