[Federal Register: January 2, 2009 (Volume 74, Number 1)]
[Notices]
[Page 152-154]
[DOCID:fr02ja09-61]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-59160; File No. SR-FINRA-2008-062]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt
FINRA Rule 2267 (Investor Education and Protection) in the Consolidated
FINRA Rulebook

December 23, 2008.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on December 11, 2008, the Financial Industry Regulatory Authority, Inc.
(``FINRA'') (f/k/a National Association of Securities Dealers, Inc.
(``NASD'')) filed with the Securities and Exchange Commission (``SEC''
or ``Commission'') the proposed rule change as described in Items I,
II, and III below, which Items have been prepared by FINRA. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA is proposing to adopt new FINRA Rule 2267 (Investor Education
and Protection) based on NASD Rule 2280. The proposed rule change would
require member firms, with certain exceptions, to provide customers
with FINRA's Web site address and information regarding FINRA's
BrokerCheck program at least once every calendar year. The text of the
proposed rule change is attached as Exhibit 5.\3\
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    \3\ The Commission notes that while provided in Exhibit 5 to the
filing, the text of the proposed rule change is not attached to this
notice but is available at FINRA, the Commission's Public Reference
Room, and at http://www.finra.org.
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II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, FINRA 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. FINRA has prepared summaries, set forth in sections A,
B, and C below, of the most significant aspects of such statements.

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

1. Purpose
    As part of the process of developing a new consolidated rulebook
(``Consolidated FINRA Rulebook''),\4\ FINRA is proposing to adopt a new
FINRA rule based on NASD Rule 2280 (Investor Education and Protection).
The proposed rule would require member firms, with certain exceptions,
to provide customers with FINRA's Web site address and information
regarding FINRA's BrokerCheck program at least once every calendar
year.
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    \4\ The current FINRA rulebook includes, in addition to FINRA
Rules, (1) NASD Rules and (2) rules incorporated from NYSE
(``Incorporated NYSE Rules'') (together, the NASD Rules and
Incorporated NYSE Rules are referred to as the ``Transitional
Rulebook''). While the NASD Rules generally apply to all FINRA
members, the Incorporated NYSE Rules apply only to those members of
FINRA that are also members of the NYSE (``Dual Members''). For more
information about the rulebook consolidation process, see FINRA
Information Notice, March 12, 2008 (Rulebook Consolidation Process).
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    NASD Rule 2280 currently applies to all member firms that carry
customer accounts and hold customer funds or securities. The Rule
requires that each such member firm provide its customers with the
following information in writing not less than once every calendar
year: (1) The ``Public Disclosure Program'' hotline number; (2) the
NASD Regulation Web site address; and (3) a statement regarding the
availability of an investor brochure that includes information
describing the ``Public Disclosure Program.'' There is no comparable
Incorporated NYSE Rule.
    The proposed rule would apply to all member firms, with two general
exceptions: (1) a firm that does not have customers or (2) an
introducing firm that is party to a carrying agreement where the
carrying firm member complies with the Rule.
    Unlike NASD Rule 2280, the proposed rule would apply to member
firms that conduct a limited business with customers, such as mutual
fund distributors and member firms that deal solely with direct
participation programs (``DPPs''). These member firms would be required
to comply with the rule and provide the disclosures to their customers
at least once every calendar year. To the extent such firms are parties
to a carrying agreement and the carrying firm member complies on their
behalf, these firms would be excepted from the requirements of the
proposed rule.
    In December 2003, FINRA announced that its ``Public Disclosure
Program'' would thereafter be known as ``BrokerCheck.'' Accordingly,
the proposed rule would include references to ``BrokerCheck'' rather
than the ``Public Disclosure Program''. Additionally, the proposed rule
would include references to the FINRA Web site address rather than the
NASD Regulation Web site address. Lastly, the proposed rule would
clarify that the information required under the rule may be provided
electronically to customers.\5\
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    \5\ See NASD Notice to Members 98-3 (Electronic Delivery of
Information Between Members and Their Customers). This Notice sets
forth the policy applicable to electronic delivery of information
between member firms and their customers as permitted or required by
NASD rules.
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    FINRA will announce the implementation date of the proposed rule
change in a Regulatory Notice to be published no later than 90 days
following Commission approval.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\6\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. FINRA believes that, by adopting the investor
education and protection rule as a FINRA rule, the proposed rule change
will help to ensure that customers continue to receive written
information regarding FINRA's BrokerCheck program.
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    \6\ 15 U.S.C. 78o-3(b)(6).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    FINRA does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act.

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

    In May 2008, FINRA published Regulatory Notice 08-26 (Proposed
Consolidated FINRA Rule Addressing Investor Education and Protection)
requesting comment on the proposed rule change. A copy of the
Regulatory Notice is attached as Exhibit 2a to this rule filing.\7\ The
comment period expired on June 13, 2008. Nine comment letters were
received in response to the Regulatory Notice. Copies of the comment
letters, and a list of the commenters, are attached as Exhibit 2b to
this rule filing.\8\
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    \7\ The Commission notes that while provided in Exhibit 2a to
the filing, the Regulatory Notice is not attached to this notice.
    \8\ All references to commenters under this Item are to the
commenters as listed in Exhibit 2b. (The Commission notes that
Exhibit 2b is not attached to this notice.)
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    Certain commenters believe that the proposed rule should not apply
to institutional customers of a member. One commenter \9\ notes that
the proposed rule would continue to benefit retail investors but an
exception should be provided for member firms that predominately
transact business with institutional investors because these customers
do not require the same levels of disclosure as retail investors. If
FINRA pursues the rule change as currently proposed, the commenter
requests that the required disclosures be made to institutional
investors only at the time of account opening instead of once every
calendar year. A second commenter \10\ requests that the proposed rule
state expressly that member firms are not required to provide such
items of information to ``institutional accounts'' as defined in NASD
Rule 3110(c)(4) or any successor rule thereto. Another commenter,\11\ a
small introducing broker doing business solely with ``sophisticated
municipal market professionals'' and without any retail customers,
requests clarification as to whether the rule applies to its business.
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    \9\ UBS.
    \10\ Baum.
    \11\ Gilboy.
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    NASD Rule 2280 does not provide an exemption for institutional
customers, and FINRA continues to believe that institutional customers
may benefit from the receipt of the information required by the
proposed rule. Thus, at this time, FINRA has not included an
institutional exemption in the proposed FINRA rule.
    One commenter \12\ objects to the scope of the proposed rule
stating that the rule should not apply to firms that do not carry
customer accounts and do not hold customer funds or securities. The
commenter fails to see the benefit of providing this information to
customers who have no funds or securities being held with the member
firm and believes the proposed rule is unclear in its application to
firms that do not carry customer funds or securities. The commenter
requests that FINRA retain the exemption in current NASD Rule 2280(b)
for these types of firms. If FINRA pursues the rule change as currently
proposed, the commenter requests that FINRA clarify which offerees or
purchasers of DPPs must receive the annual disclosures. The commenter
suggests an alternative proposal to require the disclosures in the
subscription documents for future DPPs without an annual requirement or
a look-back to any closed offerings.
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    \12\ Kinkade.
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    FINRA understands the noted concerns and believes that if the
customer relationship does not extend beyond the offering, then a
subsequent annual notice is not needed. However, in such instances, the
member must provide the customer with the disclosures during the time a
customer relationship exists.
    One commenter \13\ notes that variable annuity issuers typically
distribute their products through a principal underwriter (a registered
broker-dealer) that enters into selling agreements with other member
firms (``selling firms''). The commenter believes that the purchaser of
the variable annuity contract should only be viewed as a customer of
the selling firm and that the principal underwriter should be able to
rely on the exception in the proposed rule for a firm with ``no
customers.'' The commenter further seeks clarification as to whether a
selling firm may rely on appropriate disclosure in a variable annuity
prospectus.
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    \13\ Sutherland.
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    FINRA agrees that a purchaser of a variable annuity contract
generally may be viewed as the customer of the selling firm and not of
the principal underwriter, for purposes of complying with the proposed
rule. However, although the rule does not prescribe the manner in which
the annual disclosures must be provided to customers, the selling firm
would not be permitted to provide such disclosures in the variable
annuity prospectus. FINRA does not believe that such manner of delivery
is sufficiently prominent so as to provide customers with the requisite
information regarding BrokerCheck. In contrast, in response to a
separate commenter,\14\ FINRA believes that such disclosures may be
included on periodic account statements and/or trade confirmations.
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    \14\ Baum.
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    According to one commenter,\15\ the proposed rule is unnecessary
because customers do not value receiving such information. The
commenter questions the usefulness of providing this notice to
customers. FINRA, however, believes that the proposed rule, like its
predecessor NASD Rule 2280, serves an important regulatory purpose as
it provides customers with information regarding the availability and
purpose of the BrokerCheck program.
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    \15\ FFSI.
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    Another commenter \16\ requests that the proposed rule have an
effective date beginning in January 2009 to avoid the administrative
costs of sending a separate all-client mailing at the end of the 2008
calendar year. The commenter notes that a January 1, 2009 effective
date for the proposed rule would allow member firms to combine the
proposed disclosures in a mailing with the required SIPC written
disclosures for 2009,\17\ since most member firms have already sent the
SIPC disclosures for the 2008 calendar year. In this regard, FINRA
notes that the proposed rule change would not become effective prior to
January 1, 2009. Further, it is FINRA's view that any firm subject to
NASD Rule 2280 that complies with its annual (calendar year) mailing
requirement on or after January 1, 2009 but prior to the effective date
of the proposed rule change (i.e., the effective date of FINRA Rule
2267) will be deemed to have complied with FINRA Rule 2267 for the 2009
calendar year.
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    \16\ MMLISI.
    \17\ See NASD Rule 2342.
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    Two commenters \18\ submitted letters that are outside the scope of
the proposed rule change.
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    \18\ FSI and Wachovia.
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III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

    Within 35 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date 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 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 is consistent with the Act. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-FINRA-2008-062 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-FINRA-2008-062. This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/
rules/sro.shtml). Copies of the submission, all subsequent amendments,
all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for inspection
and copying in the Commission's Public Reference Room on official
business days between the hours of 10 a.m. and 3 p.m. Copies of the
filing also will be available for inspection and copying at the
principal office of FINRA. 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-FINRA-2008-062 and should be submitted on or before January 23,
2009.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\19\
Florence E. Harmon,
Acting Secretary.
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    \19\ 17 CFR 200.30-3(a)(12).
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[FR Doc. E8-31204 Filed 12-31-08; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register Volume 81, Number 139 (Wednesday, July 20, 2016)]
[Notices]
[Page 47166]
[FR Doc No: 2016-17101]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER16-2190-000]

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

    This is a supplemental notice in the above-referenced proceeding of
Brady Wind, LLC's application for market-based rate authority, with an
accompanying rate tariff, noting that such application includes a
request for blanket authorization, under 18 CFR part 34, of future
issuances of securities and assumptions of liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is August 3, 2016.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
5 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street NE., Washington, DC 20426.
    The filings in the above-referenced proceeding are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for electronic 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
email notification when a document is added to a subscribed docket(s).
For assistance with any FERC Online service, please email
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.

    Dated: July 14, 2016.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2016-17101 Filed 7-19-16; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 84, Number 230 (Friday, November 29, 2019)]
[Notices]
[Pages 65825-65826]
[FR Doc No: 2019-25824]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2019-N-1614]

Tzvi Lexier: Final Debarment Order

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA) is issuing an order
under the Federal Food, Drug, and Cosmetic Act (FD&C Act) debarring
Tzvi Lexier for a period of 10 years from importing any drug into the
United States. FDA bases this order on a finding that Mr. Lexier was
convicted, as defined in the FD&C Act, of one felony count under
Federal law for conspiracy to smuggle into and distribute within the
United States misbranded drugs and one felony count under Federal law
for unlicensed wholesale distribution of prescription drugs. The
factual basis supporting both felony convictions, as described below,
is conduct relating to the importation into the United States of a drug
or controlled substance. Mr. Lexier was given notice of the proposed
debarment and, in accordance with the FD&C Act, was given an
opportunity to request a hearing to show why he should not be debarred.
As of August 2, 2019 (30 days after receipt of the notice), Mr. Lexier
had not responded. Mr. Lexier's failure to respond and request a
hearing constitutes a waiver of his right to a hearing concerning this
matter.

DATES: This order is applicable November 29, 2019.

ADDRESSES: Submit applications for termination of debarment to the
Dockets Management Staff, Food and Drug Administration, 5630 Fishers
Lane, Rm. 1061, Rockville, MD 20852.

FOR FURTHER INFORMATION CONTACT: Jaime Espinosa, Division of
Enforcement, Office of Strategic Planning and Operational Policy,
Office of Regulatory Affairs, Food and Drug Administration, 12420
Parklawn Dr., Rockville, MD 20857 or at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Background

    Section 306(b)(1)(D) of the FD&C Act (21 U.S.C. 335a(b)(1)(D))
permits debarment of an individual from importing or offering for
import any drug into the United States if FDA finds, as required by
section 306(b)(3)(C) of the FD&C Act, that the individual has been
convicted of a felony for conduct relating to the importation into the
United States of any drug or controlled substance. On January 18, 2019,
Mr. Lexier was convicted as defined in section 306(l)(1)(B) of the FD&C
Act, in the United States District Court for the Eastern District of
Virginia, when the court accepted his plea of guilty and entered
judgment against him for the offenses of conspiracy in violation of 18
U.S.C. 371 and unlicensed wholesale distribution of prescription drugs
in violation of section 301(t) of the FD&C Act (21 U.S.C. 331(t)).
    FDA's finding that debarment is appropriate is based on the felony
convictions referenced herein. The factual basis for these convictions
is as follows: As contained in the Stipulation of Facts incorporated
into the Plea Agreement, filed on October 25, 2018, from on or about
April 2011 to December 2014, Tzivi Lexier conspired with certain other
named individuals to smuggle into and distribute within the United
States, on multiple occasions, misbranded drugs. During this time, Mr.
Lexier served as a principal of SB Medical and TC Medical. In that
role, he coordinated the supply of drugs from foreign countries
ultimately intended for the illegal importation into and sale inside
the United States. The misbranded and unapproved prescription drugs
smuggled and sold in the United States by the conspiracy include:
Aclasta; Mabthera; and Bonviva, as well as foreign, unapproved versions
of FDA-approved drug products Actemra; Botox; Botox Cosmetic; Dysport;
Lucentis; Orencia; Prolia; Remicade; and, Zometa.
    As a result of this conviction, FDA sent Mr. Lexier by certified
mail on June 24, 2019, a notice proposing to debar him for two
consecutive 5-year periods (10 years) from importing or offering for
import any drug into the United States The proposal was based on a
finding under section 306(b)(3)(C) of the FD&C Act that Mr. Lexier's
felony convictions for conspiracy in violation of 18 U.S.C. 371 and
unlicensed wholesale distribution of prescription drugs in violation of
section 301(t) of the FD&C Act were for conduct relating to the
importation into the United States of any drug or controlled substance
because he conspired with others to smuggle into and distribute within
the United States, on multiple occasions, misbranded drugs. In
proposing a debarment period, FDA weighed the considerations set forth
in section 306(c)(3) of the FD&C Act that it considered applicable to
Mr. Lexier's offenses, concluded that each of these felony offenses
independently warranted a five-year period of

debarment, and proposed that these debarment periods be served
consecutively under section 306(c)(2)(A)(iii).
    The proposal informed Mr. Lexier of the proposed debarment and
offered Mr. Lexier an opportunity to request a hearing, providing him
30 days from the date of receipt of the letter in which to file the
request, and advised him that failure to request a hearing constituted
a waiver of the opportunity for a hearing and of any contentions
concerning this action. Mr. Lexier received the proposal and notice of
opportunity for a hearing on July 1, 2019. Mr. Lexier failed to request
a hearing within the timeframe prescribed by regulation and has,
therefore, waived his opportunity for a hearing and waived any
contentions concerning his debarment. (21 CFR part 12).

II. Findings and Order

    Therefore, the Assistant Commissioner, Office of Human and Animal
Food Operations, under section 306(b)(3)(C) of the FD&C Act, under
authority delegated to the Assistant Commissioner, finds that Mr.
Lexier has been convicted of two felony counts under Federal law for
conduct relating to the importation into the United States of any drug
or controlled substance. FDA finds that each offense should be accorded
a debarment period of 5 years. Under section 306(c)(2)(A)(iii) of the
FD&C Act, in the case of a person debarred for multiple offenses, FDA
shall determine whether the periods of debarment shall run concurrently
or consecutively. FDA has concluded that the 5-year period of debarment
for each of the two offenses of conviction needs to be served
consecutively, resulting in a total debarment period of 10 years.
    As a result of the foregoing finding, Mr. Lexier is debarred for a
period of 10 years from importing or offering for import any drug into
the United States, effective (see DATES). Pursuant to section 301(cc)
of the FD&C Act, the importing or offering for import into the United
States of any drug or controlled substance by, with the assistance of,
or at the direction of Mr. Lexier is a prohibited act.
    Any application by Mr. Lexier for termination of debarment under
section 306(d)(1) of the FD&C Act should be identified with Docket No.
FDA-2019-N-1614 and sent to the Dockets Management Staff (see
ADDRESSES). All such submissions are to be filed in four copies. The
public availability of information in these submissions is governed by
21 CFR 10.20(j).
    Publicly available submissions will be placed in the docket, and
will be viewable at http://www.regulations.gov or at the Dockets
Management Staff (see ADDRESSES) between 9 a.m. and 4 p.m., Monday
through Friday.

    Dated: November 21, 2019.
Lowell J. Schiller,
Principal Associate Commissioner for Policy.
[FR Doc. 2019-25824 Filed 11-27-19; 8:45 am]
 BILLING CODE 4164-01-P


[Federal Register Volume 87, Number 27 (Wednesday, February 9, 2022)]
[Notices]
[Page 7518]
[FR Doc No: 2022-02666]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-94143; File No. SR-CboeEDGX-2021-052]

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice
of Designation of Longer Period for Commission Action on Proposed Rule
Change To Amend Rule 25.3, Which Governs the Exchange's Minor Rule
Violation Plan, in Connection With Certain Minor Rule Violations and
Applicable Fines

February 3, 2022.
    On December 6, 2021, Cboe EDGX Exchange, Inc. (``Exchange'') filed
with the Securities and Exchange Commission (``Commission''), pursuant
to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')
\1\ and Rule 19b-4 thereunder,\2\ a proposed rule change to amend Rule
25.3, which governs the Exchange's Minor Rule Violation Plan, in
connection with certain minor rule violations and applicable fines. The
proposed rule change was published for comment in the Federal Register
on December 23, 2021.\3\ The Commission has received no comments on the
proposal.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 93815 (December 17,
2021), 86 FR 73029.
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    Section 19(b)(2) of the Act \4\ provides that within 45 days of the
publication of notice of the filing of a proposed rule change, or
within such longer period up to 90 days as the Commission may designate
if it finds such longer period to be appropriate and publishes its
reasons for so finding or as to which the self-regulatory organization
consents, the Commission shall either approve the proposed rule change,
disapprove the proposed rule change, or institute proceedings to
determine whether the proposed rule change should be disapproved. The
45th day for this filing is February 6, 2022.
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    \4\ 15 U.S.C. 78s(b)(2).
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    The Commission is extending the 45-day time period for Commission
action on the proposed rule change. The Commission finds that it is
appropriate to designate a longer period within which to take action on
the proposed rule change so that it has sufficient time to consider the
proposed rule change.
    Accordingly, pursuant to Section 19(b)(2) of the Act,\5\ the
Commission designates March 23, 2022, as the date by which the
Commission shall either approve or disapprove, or institute proceedings
to determine whether to disapprove, the proposed rule change (File No.
SR-CboeEDGX-2021-052).
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    \5\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\6\
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    \6\ 17 CFR 200.30-3(a)(31).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022-02666 Filed 2-8-22; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: February 28, 2008 (Volume 73, Number 40)]
[Notices]
[Page 10748-10749]
[DOCID:fr28fe08-48]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 13084-000]

BPUS Generation Development LLC; Notice of Application Accepted
for Filing and Soliciting Comments, Protests, and Motions To Intervene

February 21, 2008.
    Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection:
    a. Type of Application: Preliminary Permit.
    b. Project No.: 13084-000.
    c. Date filed: December 18, 2007.
    d. Applicant: BPUS Generation Development LLC.
    e. Name and Location of Project: The proposed Emsworth Back Channel
Dam Hydroelectric Project would be located on the Ohio River in
Allegheny County, Pennsylvania. It would use the U.S. Army Corps of
Engineers' Emsworth Back Channel Dam.
    f. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791(a)-825(r).
    g. Applicant contact: Mr. Jeffrey M. Auser, P.E., BPUS Generation
Development, LLC, 225 Greenfield Parkway, Suite 201, Liverpool, NY
13088,<PHONE_NUMBER>.
    h. FERC Contact: Tom Papsidero,<PHONE_NUMBER>.
    i. Deadline for filing comments, protests, and motions to
intervene: 60 days from the issuance date of this notice.
    All documents (original and eight copies) should be filed with:
Kimberly D. Bose, Secretary, Federal Energy Regulatory Commission, 888
First Street, NE., Washington, DC 20426. Comments, protests and
interventions may be filed electronically via the Internet in lieu of
paper; see 18 CFR 385.2001(a)(1)(iii) and the instructions on the
Commission's Web site under the ``e-Filing'' link. The Commission
strongly encourages electronic filings. Please include the project
number (P-13084-000) on any comments or motions filed.
    The Commission's Rules of Practice and Procedure require all
intervenors filing documents with the Commission to serve a copy of
that document on each person in the official service list for the
project. Further, if an intervenor files comments or documents with the
Commission relating to the merits of an issue that may affect the
responsibilities of a particular resource agency, they must also serve
a copy of the document on that resource agency.
    j. Description of Existing Facilities and Proposed Project: The
proposed project using the existing U.S. Army Corps of Engineers'
Emsworth Back Channel Dam would consist of: (1) A new 200-foot long,
200-foot wide, 50-foot high concrete powerhouse; (2) a new intake
channel and tailrace channel on the northern bank of the back channel,
on Neville Island; (3) five turbine/generator units with a combined
installed capacity of 32.7 megawatts; (4) a new 2.47-mile-long
transmission line extending from the switchyard near the powerhouse to
an interconnection point with an existing transmission line located
southwest of the powerhouse; and (5) appurtenant facilities. The
proposed project would have an average annual generation of 141.3
gigawatt-hours.
    k. Location of Applications: A copy of the application is available
for inspection and reproduction at the Commission in the Public
Reference Room or may be viewed on the Commission's Web site at http://
www.ferc.gov using the ``eLibrary'' link. Enter the docket number
excluding the last three digits in the docket number field to access
the document. For assistance, call toll-free 1-866-208-3676 or e-mail
<EMAIL_ADDRESS>For TTY, call<PHONE_NUMBER>. A copy is
also available for inspection and reproduction at the address in item g
above.
    l. Individuals desiring to be included on the Commission's mailing
list should so indicate by writing to the Secretary of the Commission.
    m. Competing Preliminary Permit--Anyone desiring to file a
competing application for preliminary permit for a proposed project
must submit the competing application itself, or a notice of intent to
file such an application, to the Commission on or before the specified
comment date for the particular application (see 18 CFR 4.36).
Submission of a timely notice of intent allows an interested person to
file the competing preliminary permit application no later than 30 days
after the specified comment date for the particular application. A
competing preliminary permit application must conform with 18 CFR 4.30
and 4.36.
    n. Competing Development Application--Any qualified development
applicant desiring to file a competing development application must
submit to the Commission, on or before a specified comment date for the
particular application, either a competing development application or a
notice of intent to file such an application. Submission of a timely
notice of intent to file a development application allows an interested
person to file the competing application no later than 120 days after
the specified comment date for the particular application. A competing
license application must conform with 18 CFR 4.30 and 4.36.
    o. Notice of Intent--A notice of intent must specify the exact
name, business address, and telephone number of the prospective
applicant, and must include an unequivocal statement of intent to
submit, if such an application may be filed, either a preliminary
permit application or a development application (specify which type of
application). A notice of intent must be served on the applicant(s)
named in this public notice.
    p. Proposed Scope of Studies under Permit--A preliminary permit, if
issued, does not authorize construction. The term of the proposed
preliminary permit would be 36 months. The work proposed under the
preliminary permit would include economic analysis, preparation of
preliminary engineering plans, and a study of environmental impacts.
Based on the results of these studies, the Applicant would decide
whether to proceed with the preparation of a development application to
construct and operate the project.
    q. Comments, Protests, or Motions to Intervene--Anyone may submit
comments, a protest, or a motion to intervene in accordance with the
requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211,
.214. In determining the appropriate action to take, the Commission
will consider all protests or other comments filed, but only those who
file a motion to intervene in accordance with the Commission's Rules
may become a party to the proceeding. Any comments, protests, or
motions to intervene must be received on or before the specified
comment date for the particular application.
    r. Filing and Service of Responsive Documents--Any filings must
bear in

all capital letters the title ``COMMENTS'', ``NOTICE OF INTENT TO FILE
COMPETING APPLICATION'', ``COMPETING APPLICATION'', ``PROTEST'', or
``MOTION TO INTERVENE'', as applicable, and the Project Number of the
particular application to which the filing refers. Any of the above-
named documents must be filed by providing the original and the number
of copies provided by the Commission's regulations to: The Secretary,
Federal Energy Regulatory Commission, 888 First Street, NE.,
Washington, DC 20426. An additional copy must be sent to Director,
Division of Hydropower Administration and Compliance, Federal Energy
Regulatory Commission, at the above-mentioned address. A copy of any
notice of intent, competing application or motion to intervene must
also be served upon each representative of the Applicant specified in
the particular application.
    s. Agency Comments--Federal, state, and local agencies are invited
to file comments on the described application. A copy of the
application may be obtained by agencies directly from the Applicant. If
an agency does not file comments within the time specified for filing
comments, it will be presumed to have no comments. One copy of an
agency's comments must also be sent to the Applicant's representatives.

Kimberly D. Bose,
Secretary.
 [FR Doc. E8-3725 Filed 2-27-08; 8:45 am]

BILLING CODE 6717-01-P


" Stolpe, Elizabeth A." < Elizabeth_ A._ Stolpe@ ceq. e op. gov>

12/ 16/ 2005 12: 41 PM To Jason Burnett/ DC/ USEPA/ US@ EPA, " Flynn, Amy E." < Amy_ E._ Flynn@ omb. eop. gov>, " Fraas, Arthur G." < Arthur_ G._ Fraas@ omb. eop. gov> cc Subject PM NAAQS comment Jsaon  per our conversation just now.

pg 14: see deleted text below.

Programs aimed at reducing direct emissions of particles have played an important role in reducing PM10 concentrations, particularly in western areas. Some examples of PM10 controls include paving unpaved roads, [ DELETE replacing wood and coal with cleaner burning fuels like natural gas], and using best management practices for agricultural sources of resuspended soil.


[Federal Register Volume 80, Number 195 (Thursday, October 8, 2015)]
[Notices]
[Pages 60896-60897]
[FR Doc No: 2015-25632]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket Nos. EL15-70-000; EL15-71-000; EL15-72-000; EL15-82-000]

Public Citizen, Inc. v. Midcontinent Independent System Operator,
Inc., The People of the State of Illinois By Illinois Attorney General
Lisa Madigan v. Midcontinent Independent System Operator, Inc.,
Southwestern Electric Cooperative, Inc. v. Midcontinent Independent
System Operator, Inc., Dynegy, Inc., and Sellers of Capacity into Zone
4 of the 2015-2016 MISO Planning Resource Auction, Illinois Industrial
Energy Consumers v. Midcontinent Independent System Operator, Inc.;
Notice of Technical Conference

    Take notice that a staff-led conference will be held on October 20,
2015, at the offices of the Federal Energy Regulatory Commission, 888
First Street NE., Washington, DC 20426, between 9:00 a.m. and 4:15 p.m.
(EST). The purpose of the conference is to obtain further information
concerning the above referenced complaints.\1\
---------------------------------------------------------------------------

    \1\ As noted in its order issued October 1, 2015 in Docket No.
IN15-10-000, the Commission's Office of Enforcement is conducting a
non-public investigation under Part 1b of the Commission's
regulations into whether market manipulation or other potential
violations of Commission orders, rules and regulations occurred
before or during the Auction conducted by MISO in April 2015. This
technical conference will not address the current investigation.
---------------------------------------------------------------------------

    The technical conference will be transcribed. Transcripts will be
available for a fee from Ace-Federal Reports, Inc.<PHONE_NUMBER>).
    There will be a free webcast of the conference. The webcast will
allow persons to listen to the technical conference, but not
participate. Anyone with internet access who wants to listen to the
conference can do so by navigating to the Calendar of Events at
www.ferc.gov and locating the technical conference in the Calendar. The
technical conference will contain a link to its webcast. The Capitol
Connection provides technical support for the webcast and offers the
option of listening to the meeting via phone-bridge for a fee. If you
have any questions, visit www.CapitolConnection.org or call 703-993-
3100. The webcast will be available on the Calendar of Events on the
Commission's Web site www.ferc.gov for three months after the
conference.
    Advance registration is not required but is highly encouraged.
Attendees may register at the following Web page: https://www.ferc.gov/whats-new/registration/10-20-15-form.asp. Attendees should allow time
to pass through building security procedures before the 9:00 a.m. (EST)
start time of the technical conference. In addition, information on
this event will be posted on the Calendar of Events on the Commission's
Web site, www.ferc.gov, prior to the event.
    Discussions at the conference may address matters at issue in the
following Commission proceeding(s) that are either pending or within
their rehearing period: Midcontinent Independent System Operator, Inc.,
Docket No. ER11-4081-000, et al.
    Commission conferences are accessible under section 508 of the
Rehabilitation Act of 1973. For accessibility accommodations, please
send an email to<EMAIL_ADDRESS>or call toll free (866) 208-
3372 (voice) or<PHONE_NUMBER> (TTY), or send a FAX to<PHONE_NUMBER>
with the required accommodations.

    The technical conference will consist of four sessions and focus on
the issues raised in the complaints, as detailed below. Commissioners
may attend and ask questions. The times given below are approximate and
may change, as needed.

Conference Introduction: Commission Staff (9:00 a.m.-9:15 a.m.)
Session 1: Market Power Mitigation (9:15 a.m.-12:15 p.m.)
    Panel 1: Implementation of the Current Mitigation Procedures and
Reference Level Calculations (90 mins)

    Staff will lead a discussion to obtain information on the current
market power mitigation procedures, including Initial Reference Levels,
the transmission availability from MISO to PJM Interconnection, L.L.C.
(PJM), PJM's market for replacement capacity, opportunity costs, and
the Conduct Threshold for capacity market offer mitigation. Panelists
should also be prepared to answer questions including, but not limited
to, the following: For the 2014/15 and 2015/16 delivery years, how much
PJM replacement capacity was procured after PJM's third incremental
auction, and of that, how much was from MISO resources, and for what
prices and durations were these MISO resources contracted? How much
total transmission capability was available between MISO and PJM during
the 2014/15 and 2015/16 MISO and PJM delivery years, and how much of
that transmission capacity was subscribed as of the PJM third
Incremental Auction for each delivery year? How much total transmission
capability is expected between MISO and PJM for the 2016/17 and 2017/18
delivery years, and how much of that transmission capability is already
subscribed?

    Panel 2: Alternatives to the Current Mitigation Procedures and
Reference Level Calculation (90 mins)

    Panelists should be prepared to discuss possible alternatives to
the current market power mitigation procedures and calculations.
Panelists should also be prepared to answer questions including, but
not limited to, the following: How should opportunity cost underlying
reference levels consider physical or economic limitations of capacity
sales? Should individual reference levels be developed for market
participants that are pivotal suppliers in the capacity market? If so,
how should they be determined? What are alternatives to PJM replacement
capacity sales for determining the opportunity costs used to establish
mitigation reference levels?

Lunch Break: (12:15 p.m.-1:15 p.m.)
Session 2: Local Requirements (1:15 p.m.-2:15 p.m.)

    Panelists should be prepared to describe the calculations of
Auction parameters such as Local Reliability Requirements, Capacity
Import Limits, Capacity Export Limits, and Local Clearing Requirements,
and to answer questions including, but not limited to, the following:
What was the rationale behind the methodological change to examine
constraints below 200 kV in the calculation of Capacity Import Limits
and Capacity Export Limits? How does MISO's calculation of zonal
Capacity Import Limits and Capacity Export Limits reflect counter-flows
from or into neighboring regions?

Session 3: Zonal Boundaries (2:15 p.m.-3:00 p.m.)

    Panelists should be prepared to discuss the current zonal
boundaries in MISO and the criteria used to establish zonal
configuration. Panelists should also be prepared to answer questions
including, but not limited to, the following: Have the six criteria in
the Tariff established a zonal configuration that reflects the physical
constraints on the MISO transmission system? If there is little or no
congestion between adjacent zones, what are the reasons for and against
combining the zones? What changes to the criteria and/or zonal
configuration are currently being considered by MISO?

Break: (3:00 p.m.-3:15 p.m.)
Session 4: Wrap Up (3:15 p.m.-4:00 p.m.)

    Panelists should be prepared to answer questions including, but not
limited to, the following: What changes to the Tariff, including those
not discussed in the first three sessions, might be necessary to ensure
just and reasonable outcomes going forward, and, of these changes,
which can be implemented for the 2016/17 Auction?

Conference Conclusion: Next Steps (4:00 p.m.-4:15 p.m.)

    Following the technical conference, the Commission will consider
post-technical conference comments regarding the matters discussed at
the conference submitted on or before November 4, 2015.
    For more information about this technical conference, please
contact Elizabeth Shen,<PHONE_NUMBER><EMAIL_ADDRESS>
regarding legal issues; or Angelo Mastrogiacomo,<PHONE_NUMBER>,
<EMAIL_ADDRESS>and Emma Nicholson,<PHONE_NUMBER>,
<EMAIL_ADDRESS>regarding technical issues; or Sarah McKinley,
202-502-8368<EMAIL_ADDRESS>regarding logistical issues.

    Dated: October 1, 2015.
Kimberly D. Bose,
Secretary.
[FR Doc. 2015-25632 Filed 10-7-15; 8:45 am]
 BILLING CODE 6717-01-P