[Federal Register Volume 76, Number 166 (Friday, August 26, 2011)]
[Notices]
[Pages 53521-53524]
[FR Doc No: 2011-21856]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-65180; File No. SR-NASDAQ-2011-111]

Self-Regulatory Organizations; The NASDAQ Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change
Relating to Access Services Fees

August 22, 2011.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on August 10, 2011, The NASDAQ Stock Market LLC (``NASDAQ'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by the Exchange. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to modify Exchange Rule 7053, entitled
``NASDAQ Options Market--Access Services,'' related to fees governing
pricing for NASDAQ members using the NASDAQ Options Market (``NOM''),
NASDAQ's facility for executing and routing standardized equity and
index options.
    While fee changes pursuant to this proposal are effective upon
filing, the Exchange has designated these changes to be operative on
August 26, 2011.
    The text of the proposed rule change is set forth below. Proposed
new text is in italics and deleted text is in brackets.

7053. NASDAQ Options Market--Access Services

    Part A: The following charges are assessed by Nasdaq for
connectivity to the NASDAQ Options Market [.]for NOM 1.0:
    (a) Financial Information Exchange (FIX)

----------------------------------------------------------------------------------------------------------------
                  Ports                              Quantity                             Price
----------------------------------------------------------------------------------------------------------------
FIX Trading Port.........................  First 25 ports..............  $500/port/month.
                                           Additional ports above 25...  $250/port/month.
FIX Port for Services Other than Trading.  First 25 ports..............  $500/port/month.
                                           Additional ports above 25...  $250/port/month.
----------------------------------------------------------------------------------------------------------------

    (b) TradeInfo
     Members not subscribing to the Nasdaq Workstation using
TradeInfo will be charged a fee of $95 per user per month.
    (c) Other Port Fees
    The following port fees shall apply in connection with the use
of other trading telecommunication protocols:

------------------------------------------------------------------------
                           Quantity                              Price
------------------------------------------------------------------------
First 25 ports...............................................   $500 per
                                                               month for
                                                               each port
                                                                   pair.
Additional ports above 25....................................   $250 per
                                                               month for
                                                               each port
                                                                   pair.
------------------------------------------------------------------------

    Part B: The following charges are assessed by Nasdaq for
connectivity to the NASDAQ Options Market for NOM 2.0 as of August
26, 2011 through September 30, 2011:
    (a) TradeInfo
     Members not subscribing to the Nasdaq Workstation using
TradeInfo will be charged a fee of $95 per user per month.
    (b) Port Fees, per port per month, as follows:

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

------------------------------------------------------------------------
Order Entry Port Fee.........................................      $0.00
CTI Port Fee.................................................      $0.00
OTTO Port Fee................................................      $0.00
ITTO Port Fee................................................      $0.00
Order Entry DROP Port Fee....................................      $0.00
OTTO DROP Port Fee...........................................      $0.00
SQF Port Fee.................................................      $0.00
------------------------------------------------------------------------

    Part C: The following charges* are assessed by Nasdaq for
connectivity to the NASDAQ Options Market as of October 3, 2011:
    (a) TradeInfo
     Members not subscribing to the Nasdaq
Workstation using TradeInfo will be charged a fee of $95 per user
per month.
    (b) Port Fees, per port per month, as follows:

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

------------------------------------------------------------------------
Order Entry Port Fee.........................................    $500.00
CTI Port Fee.................................................    $500.00
OTTO Port Fee................................................    $500.00
ITTO Port Fee................................................    $500.00
Order Entry DROP Port Fee....................................    $500.00
OTTO DROP Port Fee...........................................    $500.00
SQF Port Fee.................................................      $0.00
------------------------------------------------------------------------

    * As of October 3, 2011, the fees in Parts A and B shall no
longer apply. All NOM Participants will be assessed the fees in Part
C.

    The text of the proposed rule change is available on the Exchange's
Web site at http://www.nasdaq.cchwallstreet.com, at the principal
office of the Exchange, and at the Commission's Public Reference Room.

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

    In its filing with the Commission, the Exchange included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. The

Exchange has prepared summaries, set forth in sections A, B, and C
below, of the most significant aspects of such statements.

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

1. Purpose
    NASDAQ is proposing to amend Exchange Rule 7053, titled NASDAQ
Options Market--Access Services. Specifically, the Exchange proposes to
amend the fees applicable to NOM Participants in connection with
several trading system enhancements. The Exchange proposes to establish
Access Services Fees for NOM Participants dependent on whether NOM
Participants are utilizing the current platform or the enhanced
platform as of August 26, 2011. The Exchange also proposes the
implementation of new Access Services Fees for all NOM Participants as
of October 3, 2011, at which time all NOM Participants will have been
required to transition to the new trading platform. The proposed fees
are intended to incentivize NOM Participants to quickly transition to
the new trading platform prior to October 3, 2011.\3\
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    \3\ NOM Participants will be required to set up an account
number with the Membership Department in order to transition.
Testing will also be available as of August 6, 2011. Technical
specifications are available on the Exchange's Web site.
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    By way of background, several enhancements will be made to the
current NOM platform (``NOM 1.0'') which will benefit NOM Participants
and their customers. The implementation of the enhancements will be
referred to as NOM 2.0. The transition will begin on August 26, 2011.
There will be additional enhancements available to NOM Participants
with NOM 2.0.\4\ The Exchange proposes to divide Exchange Rule 7053
into three parts.
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    \4\ Among other things, NOM 2.0 intends to provide, subject to
Commission approval where applicable, the following: (i) An advanced
market making interface with a common interface on NOM and NASDAQ
OMX PHLX LLC (an option exchange operated by NASDAQ OMX) to provide
risk monitor functionality; (ii) an Acceptable Trade Range price
protection feature; (iii) an Order Price Protection feature; (iv)
ITCH to Trade Options and Best of NASDAQ Options data feeds; (v) FIX
interface; (vi) a daily open order report; (vii) support for All-or-
None orders; (viii) a cancel/replace feature of an order from DAY to
GTC; and (ix) support for Good Til time TIF.
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    First, the Exchange proposes to continue assessing NOM Participants
utilizing the current NOM platform or NOM 1.0, the current fees in
Exchange Rule 7053 until October 3, 2011. The Exchange proposes to add
a reference in Exchange Rule 7053 to title the current pricing as
``Part A'' and add a sentence indicating this pricing is applicable to
NOM 1.0 Participants.
    Second, the Exchange also proposes to add a ``Part B'' to Exchange
Rule 7053, applicable to NOM Participants who have connected to NOM
2.0. Certain fees will be waived for NOM 2.0 Participants. The port
fees, which are listed in proposed Part B, section (b) of Exchange Rule
7053 and described below, will be waived for NOM 2.0 Participants who
have connected to NOM 2.0 between August 26, 2011 and September 30,
2011.\5\ The TradeInfo Fee, described below, will not be waived for NOM
Participants who have connected to NOM 2.0.
---------------------------------------------------------------------------

    \5\ The SQF Port Fee has no charge.
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    Third, the Exchange proposes to add a ``Part C'' to Exchange Rule
7053, which will be applicable to all NOM Participants as of October 3,
2011. The Exchange will require that all NOM Participants convert to
NOM 2.0 prior to October 3, 2011.
    Currently Rule 7053 contains fees assessed by Nasdaq for
connectivity to NOM. Access Services Fees relate to ports used to:
enter orders into the NASDAQ trading systems; receive market data; and
enter quotes. The Exchange currently assesses the following tiered
Financial Information Exchange (``FIX'') \6\ fees:
---------------------------------------------------------------------------

    \6\ FIX is a protocol used by NOM market participants for order
entry, modification and cancellation and message transmittal.

----------------------------------------------------------------------------------------------------------------
                  Ports                              Quantity                             Price
----------------------------------------------------------------------------------------------------------------
FIX Trading Port.........................  First 25 ports..............  $500/port/month.
                                           Additional ports above 25...  $250/port/month.
FIX Port for Services Other than Trading.  First 25 ports..............  $500/port/month.
                                           Additional ports above 25...  $250/port/month.
----------------------------------------------------------------------------------------------------------------

    NOM Participants are currently assessed a $95 per user per month
TradeInfo \7\ Fee if they are not subscribing to the Nasdaq
Workstation.
---------------------------------------------------------------------------

    \7\ TradeInfo allows users to scan for their NASDAQ-listed
orders submitted in NASDAQ. Users can then perform actions on their
orders. Users can scan for all orders in a particular security or
all orders of a particular type, regardless of their status (open,
canceled, executed, etc.). For example, after scanning for open
orders the user is then able to select an open order and is allowed
to make corrections to the order or cancel the order. TradeInfo also
allows the users to scan other orders, such as executed, cancelled,
broken, rejected and suspended orders.
---------------------------------------------------------------------------

    Finally, the Exchange currently assesses Other Ports the following
tiered fees:

------------------------------------------------------------------------
                 Quantity                               Price
------------------------------------------------------------------------
First 25 ports............................  $500 per month for each port
                                             pair.
Additional ports above 25.................  $250 per month for each port
                                             pair.
------------------------------------------------------------------------

    The Exchange will continue to assess NOM Participants these above
fees for connectivity to NOM 1.0. Beginning August 26, 2011, any NOM
Participant with connectivity to NOM 2.0 will not be assessed fees for
ports in Part B, section (b), as these port fees will be waived through
September 30, 2011.\8\ NOM Participants connected to NOM 2.0 will
continue to be subject to the TradeInfo Fee, which will continue to be
assessed regardless of whether the NOM Participant is connected to NOM
1.0 or NOM 2.0. If a NOM Participant is connected to both NOM 1.0 and
NOM 2.0, the NOM Participant will be assessed the applicable current
fees, which are listed in Part A, including the TradeInfo Fee, if
applicable. All other fees related to NOM 2.0 will be waived through
September 30, 2011. A NOM Participant connected to NOM 1.0 and NOM 2.0
will only be assessed a $95 per user per month TradeInfo Fee, if
applicable.
---------------------------------------------------------------------------

    \8\ The SQF Port Fee has no charge.
---------------------------------------------------------------------------

    As of October 3, 2011, the Exchange will assess new Access Services
Fees and will discontinue the fees in Parts A and B, with the exception
of the TradeInfo Fee which will continue to be assessed to all NOM
Participants. The Exchange lists these new proposed fees, which are per
port per month, in Part C, section (b) of Exchange Rule 7053. The
Exchange also proposes to add text to Part C of Exchange Rule 7053 to
indicate that as of October 3, 2011, only the fees in Part C are
applicable to all NOM Participants.
    As of October 3, 2011, the Exchange is proposing to assess the
following per port per month Access Services Fees: (i)

Order Entry Port Fee \9\ of $500; (ii) Clearing Trade Interface
(``CTI'') \10\ Port Fee of $500; (iii) OUCH to Trade Options (``OTTO'')
\11\ Port Fee of $500; (iv) ITCH to Trade Options (``ITTO'') \12\ Port
Fee of $500; (v) Order Entry Delivery of real-time execution
information (``DROP'') \13\ Port Fee of $500; (vi) OTTO DROP Port Fee
\14\ of $500; and (vii) Specialized Quote Feed (``SQF'') Port Fee \15\
of $0.00. The Exchange will also continue to assess the TradeInfo Fee.
---------------------------------------------------------------------------

    \9\ The Order Entry Port Fee is a connectivity fee in connection
with routing orders to the Exchange via an external order entry
port. NOM Participants access the Exchange's network through order
entry ports. A NOM Participant may have more than one order entry
port. In NOM 1.0, this port was referred to as FIX.
    \10\ CTI offers real-time clearing trade updates. A real-time
clearing trade update is a message that is sent to a member after an
execution has occurred and contains trade details. The message
containing the trade details is also simultaneously sent to the The
Options Clearing Corporation. The trade messages are routed to a
member's connection containing certain information. The
administrative and market event messages include, but are not
limited to: system event messages to communicate operational-related
events; options directory messages to relay basic option symbol and
contract information for options traded on the Exchange; complex
strategy messages to relay information for those strategies traded
on the Exchange; trading action messages to inform market
participants when a specific option or strategy is halted or
released for trading on the Exchange; and an indicator which
distinguishes electronic and non-electronically delivered orders.
    \11\ OTTO provides a method for subscribers to send orders and
receive status updates on those orders. OTTO accepts limit orders
from system subscribers, and if there is a matching order, the
orders will execute. Non-matching orders are added to the limit
order book, a database of available limit orders, where they are
matched in price-time priority.
    \12\ The ITTO data feed will contain all quote and order
messages including all executions. This feed allows subscribers to
track the full depth of the NOM quote and order book.
    \13\ The DROP interface provides real time information regarding
orders sent to NOM and executions that occurred on NOM. The DROP
interface is not a trading interface and does not accept order
messages.
    \14\ The OTTO DROP data feed will provide real-time information
regarding orders entered through OTTO and the execution of those
orders. The OTTO DROP data feed is not a trading interface and does
not accept order messages.
    \15\ SQF ports are ports that receive inbound quotes at any time
within that month. The SQF Port allows a NOM Participant to access,
information such as execution reports and other relevant data
through a single feed. For example, this data would show which
symbols are trading on NOM and the current state of an options
symbol (i.e., open for trading, trading, halted or closed). Auction
notifications and execution reports are also available.
---------------------------------------------------------------------------

    While fee changes pursuant to this proposal are effective upon
filing, the Exchange has designated these changes to be operative on
August 26, 2011.
2. Statutory Basis
    NASDAQ believes that its proposal to amend its schedule of fees is
consistent with Section 6(b) of the Act \16\ in general, and furthers
the objectives of Section 6(b)(4) of the Act \17\ in particular, in
that it is an equitable allocation of reasonable fees and other charges
among Exchange members and other persons using any facility or system
which NASDAQ operates or controls.
---------------------------------------------------------------------------

    \16\ 15 U.S.C. 78f(b).
    \17\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

    The Exchange believes the proposed amendments to Exchange Rule 7053
to waive certain Access Service Fees for a period of time to encourage
NOM Participants to transition to NOM 2.0 is both reasonable and
equitable. The Exchange believes that the waiver is reasonable because
it will lower costs for NOM Participants who connect early and will not
impact any NOM Participants who do not desire to connect until a later
time. The Exchange also believes it is reasonable to allow NOM
Participants a period of time to complete the transition before
amending the Access Service Fees. All NOM Participants will be provided
an opportunity to transition once NOM 2.0 is launched on August 26,
2011.
    The Exchange believes the new Access Service Fees that will be in
place on October 3, 2011 are reasonable because the fees are within the
range of port fees that are assessed today by NOM. The Exchange
believes that the port fees, for which the Exchange is assessing NOM
Participants as of October 3, 2011, are equitable because they are
being uniformly applied to all NOM Participants.
    With respect to the SQF Port Fee, for which there is no charge, the
Exchange believes this fee is reasonable because the Exchange is
seeking to incentivize market makers to connect to NOM 2.0.\18\ The
Exchange believes not assessing a fee for the SQF Port, as compared to
other ports, is just and equitable because market makers have
obligations to the market and regulatory requirements,\19\ which
normally do not apply to other market participants.
---------------------------------------------------------------------------

    \18\ The SQF Port can only be utilized by market makers.
    \19\ Pursuant to Chapter VII (Market Participants), Section 5
(Obligations of Market Makers), in registering as a market maker, an
Options Participant commits himself to various obligations.
Transactions of a Market Maker in its market making capacity must
constitute a course of dealings reasonably calculated to contribute
to the maintenance of a fair and orderly market, and Market Makers
should not make bids or offers or enter into transactions that are
inconsistent with such course of dealings. Further, all Market
Makers are designated as specialists on NOM for all purposes under
the Act or rules thereunder. See Chapter VII, Section 5.
---------------------------------------------------------------------------

    Finally, the Exchange believes that continuing to assess the
TradeInfo Fee on all NOM Participants, regardless of the transition
from NOM 1.0 to NOM 2.0, is reasonable because this functionality is
not impacted by the NOM 2.0 transition and it is reasonable to continue
assessing the same fee for this service. The Exchange believes
continuing to assess the TradeInfo Fee on all NOM Participants,
regardless of the transition from NOM 1.0 to NOM 2.0, is equitable
because all NOM Participants are uniformly assessed this fee.

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

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

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

    No written comments were either solicited or received.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A)(ii) of the Act \20\ and paragraph (f)(2) of Rule 19b-4 \21\
thereunder. At any time within 60 days of the filing of the proposed
rule change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.
---------------------------------------------------------------------------

    \20\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \21\ 17 CFR 240.19b-4(f)(2).
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IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-NASDAQ-2011-111 on the subject line.

Paper Comments

     Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary,

Securities and Exchange Commission, 100 F Street, NE., Washington, DC
20549-1090.

All submissions should refer to File Number SR-NASDAQ-2011-111. This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments,
all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for Web site
viewing and printing in the Commission's Public Reference Room, 100 F
Street, NE., Washington, DC 20549, on official business days between
the hours of 10 a.m. and 3 p.m. Copies of 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-
NASDAQ-2011-111 and should be submitted on or before September 16,
2011.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\22\
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    \22\ 17 CFR 200.30-3(a)(12).
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Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-21856 Filed 8-25-11; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 184 (Friday, September 21, 2012)]
[Rules and Regulations]
[Pages 58491-58492]
[FR Doc No: 2012-23292]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 117

[Docket No. USCG-2012-0808]

Drawbridge Operation Regulation; Old River, Orwood, CA

AGENCY: Coast Guard, DHS.

ACTION: Notice of temporary deviation from regulations.

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SUMMARY: The Coast Guard has issued a temporary deviation from the
operating regulation that governs the Burlington Northern & Santa Fe
Railroad (BNSF) Drawbridge across Old River, mile 10.4, at Orwood, CA.
The deviation is to allow the bridge owner to perform essential
mechanical repairs on the bridge. This deviation allows the bridge to
remain in the closed-to-navigation position during the event.

DATES: This deviation is effective from 8 a.m. October 22, 2012 to 4
p.m. on October 26, 2012.

ADDRESSES: Documents mentioned in this preamble as being available in
the docket are part of the docket USCG-2012-0808 and are available
online by going to http://www.regulations.gov, inserting USCG-2012-0808
in the ``Keyword'' box and then clicking ``Search''. They are also
available for inspection or copying at the Docket Management Facility
(M-30), U.S. Department of Transportation, West Building Ground Floor,
Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590, between
9 a.m. and 5 p.m., Monday through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or email David H. Sulouff, Chief, Bridge Section, Eleventh Coast
Guard District; telephone<PHONE_NUMBER>, email<EMAIL_ADDRESS>
If you have questions on viewing the docket, call Renee V. Wright,
Program Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: BNSF has requested a temporary change to the
operation of the BNSF Railroad Drawbridge, mile 10.4, over Old River,
at Orwood, CA. The drawbridge navigation span provides a vertical
clearance of 11.2 feet above Mean High Water in the closed-to-
navigation position. The draw opens promptly and fully when a request
to open is given. Navigation on the waterway is commercial and
recreational.
    This temporary deviation has been coordinated with commercial
operators and various marinas. No objections to the proposed temporary
deviation were raised. Vessels that can transit the bridge, while in
the closed-to-navigation position, may continue to do so at any time.
The BNSF drawbridge across Middle River provides alternative access for
vessel transits.
    In accordance with 33 CFR 117.35(e), the drawbridge must return to
its regular operating schedule immediately at the end of the designated
time period. This deviation from the operating regulations is
authorized under 33 CFR 117.35.

    Dated: September 11, 2012.
D.H. Sulouff,
District Bridge Chief, Eleventh Coast Guard District.
[FR Doc. 2012-23292 Filed 9-20-12; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 87, Number 64 (Monday, April 4, 2022)]
[Notices]
[Page 19501]
[FR Doc No: 2022-07035]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

    Take notice that the Commission received the following exempt
wholesale generator filings:

    Docket Numbers: EG22-73-000.
    Applicants: Graphite Solar 1, LLC.
    Description: Notice of Self-Certification of Exempt Wholesale
Generator Status of Graphite Solar 1, LLC.
    Filed Date: 3/28/22.
    Accession Number: 20220328-5261.
    Comment Date: 5 p.m. ET 4/18/22.

    Take notice that the Commission received the following electric
rate filings:

    Docket Numbers: ER22-1484-000.
    Applicants: Arizona Public Service Company.
    Description: Sec.  205(d) Rate Filing: Service Agreement No. 324,
Amendment No. 2 to be effective 5/28/2022.
    Filed Date: 3/28/22.
    Accession Number: 20220328-5212.
    Comment Date: 5 p.m. ET 4/18/22.

    Docket Numbers: ER22-1485-000.
    Applicants: Arizona Public Service Company.
    Description: Tariff Amendment: Service Agreement No. 391--Notice of
Cancellation to be effective 5/28/2022.
    Filed Date: 3/28/22.
    Accession Number: 20220328-5214.
    Comment Date: 5 p.m. ET 4/18/22.

    Docket Numbers: ER22-1487-000.
    Applicants: Traverse Wind Energy Holdings LLC.
    Description: Tariff Amendment: Notice of Cancellation of Market-
Based Rate Tariff to be effective 5/29/2022.
    Filed Date: 3/29/22.
    Accession Number: 20220329-5006.
    Comment Date: 5 p.m. ET 4/19/22.

    Docket Numbers: ER22-1488-000.
    Applicants: Wisconsin Public Service Corporation.
    Description: Sec.  205(d) Rate Filing: Filing of Annual Formula
Rate of PEB and PBOP Changes to be effective 4/1/2022.
    Filed Date: 3/29/22.
    Accession Number: 20220329-5011.
    Comment Date: 5 p.m. ET 4/19/22.

    Docket Numbers: ER22-1489-000.
    Applicants: New York Independent System Operator, Inc., Niagara
Mohawk Power Corporation.
    Description: Sec.  205(d) Rate Filing: New York Independent System
Operator, Inc. submits tariff filing per 35.13(a)(2) (iii: 205 SGIA
between NYISO and NMPC for ELP Ticonderoga Solar SA No. 2666 to be
effective 3/15/2022.
    Filed Date: 3/29/22.
    Accession Number: 20220329-5039.
    Comment Date: 5 p.m. ET 4/19/22.

    Docket Numbers: ER22-1490-000.
    Applicants: Northern States Power Company, a Wisconsin corporation.
    Description: Sec.  205(d) Rate Filing: 2022-03-29 NSPW-CWDR-SISA-
166-0.0.0 to be effective 3/30/2022.
    Filed Date: 3/29/22.
    Accession Number: 20220329-5062.
    Comment Date: 5 p.m. ET 4/19/22.

    Docket Numbers: ER22-1491-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Sec.  205(d) Rate Filing: Corn Belt Power Cooperative,
Inc.'s Revisions to Formula Rate to be effective 6/1/2022.
    Filed Date: 3/29/22.
    Accession Number: 20220329-5072.
    Comment Date: 5 p.m. ET 4/19/22.

    Docket Numbers: ER22-1492-000.
    Applicants: PacifiCorp.
    Description: Sec.  205(d) Rate Filing: Deseret TSOA Rev 8 to be
effective 5/28/2022.
    Filed Date: 3/29/22.
    Accession Number: 20220329-5090.
    Comment Date: 5 p.m. ET 4/19/22.

    Docket Numbers: ER22-1493-000.
    Applicants: Midcontinent Independent System Operator, Inc., Entergy
Services, LLC.
    Description: Sec.  205(d) Rate Filing: Midcontinent Independent
System Operator, Inc. submits tariff filing per 35.13(a)(2) (iii: 2022-
03-29_Entergy (ELL & ENOL) revisions RE to Hurricane Ida and 2020
Storms to be effective 6/1/2022.
    Filed Date: 3/29/22.
    Accession Number: 20220329-5101.
    Comment Date: 5 p.m. ET 4/19/22.

    Docket Numbers: ER22-1494-000.
    Applicants: Duke Energy Florida, LLC.
    Description: Tariff Amendment: DEF--Cancellations of Service
Agreement Nos. 171, 177 to be effective 5/29/2022.
    Filed Date: 3/29/22.
    Accession Number: 20220329-5133.
    Comment Date: 5 p.m. ET 4/19/22.

    The filings are accessible in the Commission's eLibrary system
(https://elibrary.ferc.gov/idmws/search/fercgensearch.asp) by querying
the docket number.
    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: March 29, 2022.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2022-07035 Filed 4-1-22; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 82, Number 46 (Friday, March 10, 2017)]
[Notices]
[Pages 13330-13331]
[FR Doc No: 2017-04748]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:

Filings Instituting Proceedings

    Docket Numbers: RP16-137-011.
    Applicants: Tallgrass Interstate Gas Transmission, LLC.
    Description: Tallgrass Interstate Gas Transmission, LLC submits
tariff filing per 154.203: Cancellation of Fifth Revised Volume No. 1
to be effective 4/1/2017.
    Filed Date: 03/01/2017.
    Accession Number: 20170301-5306.
    Comment Date: 5:00 p.m. Eastern Time on Monday, March 13, 2017.

    Docket Numbers: RP17-510-000.
    Applicants: WBI Energy Transmission, Inc.
    Description: WBI Energy Transmission, Inc. submits tariff filing
per 154.204: 2017 Non-conforming SA FT-1388 to be effective 4/1/2017.
    Filed Date: 03/02/2017.
    Accession Number: 20170302-5004.
    Comment Date: 5:00 p.m. Eastern Time on Tuesday, March 14, 2017.

    Docket Numbers: RP17-511-000.
    Applicants: Dauphin Island Gathering Partners.
    Description: Dauphin Island Gathering Partners submits tariff
filing per 154.204: Tariff Sections Update to be effective 4/1/2017.
    Filed Date: 03/02/2017.
    Accession Number: 20170302-5005.
    Comment Date: 5:00 p.m. Eastern Time on Tuesday, March 14, 2017.

    Docket Numbers: RP17-512-000.
    Applicants: Ruby Pipeline, L.L.C.
    Description: Ruby Pipeline, L.L.C. submits tariff filing per
154.204: Index Price Update Filing to be effective 4/1/2017.
    Filed Date: 03/02/2017.
    Accession Number: 20170302-5006.
    Comment Date: 5:00 p.m. Eastern Time on Tuesday, March 14, 2017.

    Docket Numbers: RP17-515-000.
    Applicants: Equitrans, L.P.
    Description: Equitrans, L.P. submits tariff filing per 154.204:
Mountaineer Keystone Name Change to Arsenal Resources to be effective
2/23/2017.
    Filed Date: 03/02/2017.
    Accession Number: 20170302-5061.
    Comment Date: 5:00 p.m. Eastern Time on Tuesday, March 14, 2017.

    Docket Numbers: RP17-516-000.
    Applicants: Kern River Gas Transmission Company.
    Description: Kern River Gas Transmission Company submits tariff
filing per 154.203: 2017 Stipulation Agreement Compliance Filing to be
effective 5/1/2017.
    Filed Date: 03/02/2017.
    Accession Number: 20170302-5175.
    Comment Date: 5:00 p.m. Eastern Time on Tuesday, March 14, 2017.

    Docket Numbers: RP17-517-000.
    Applicants: National Fuel Gas Supply Corporation.
    Description: National Fuel Gas Supply Corporation submits tariff
filing per 154.204: Amendment to Service Agreement FT #F12205 to be
effective 4/1/2017.
    Filed Date: 03/02/2017.
    Accession Number: 20170302-5191.
    Comment Date: 5:00 p.m. Eastern Time on Tuesday, March 14, 2017.

    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: March 6, 2017.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2017-04748 Filed 3-9-17; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register: October 8, 2009 (Volume 74, Number 194)]
[Notices]
[Page 51886-51888]
[DOCID:fr08oc09-88]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-60754; File No. SR-FINRA-2009-059]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing of Proposed Rule Change To Adopt NASD
Rules 2360 and 2361 Into the Consolidated Rulebook as FINRA Rules 2130
and 2270

October 2, 2009.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on September 9, 2009, 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'') a proposed rule change to adopt NASD Rule 2360
(Approval Procedures for Day-Trading Accounts) as FINRA Rule 2130 and
to adopt NASD Rule 2361 (Day-Trading Risk Disclosure Statement) as
FINRA Rule 2270 in the consolidated FINRA rulebook, with minor changes,
as described in Items I, II, and III below, which Items substantially
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

    The text of the proposed rule change is available on FINRA's Web
site at http://www.finra.org, at the principal office of FINRA 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, 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''),\3\ FINRA is proposing to adopt NASD
Rules 2360 and 2361 in the consolidated FINRA rulebook with minor
changes, as FINRA Rules 2130 and 2270 respectively.
---------------------------------------------------------------------------

    \3\ The current FINRA rulebook consists of (1) FINRA Rules; (2)
NASD Rules; and (3) 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''). The FINRA Rules apply to all FINRA
members, unless such rules have a more limited application by their
terms. For more information about the rulebook consolidation
process, see Information Notice, March 12, 2008 (Rulebook
Consolidation Process).
---------------------------------------------------------------------------

    NASD Rules 2360 and 2361 focus on members' obligations to disclose
to non-institutional customers \4\ the basic risks of engaging in a
``day-trading strategy'' and to assess the appropriateness of day-
trading strategies for such customers. The rules define a ``day-trading
strategy'' as ``an overall trading strategy characterized by the
regular transmission by a customer of intra-day orders to effect both
purchase and sale transactions in the same security or securities.''
\5\ NASD Rule 2360 creates an obligation on members that promote a day-
trading strategy regarding account-opening approval procedures for non-
institutional customers. NASD Rule 2361 creates an obligation on such
members to disclose to non-institutional customers the unique risks of
engaging in a day-trading strategy.
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    \4\ For purposes of these rules, the term ``non-institutional
customer'' means a customer that does not qualify as an
``institutional account'' under NASD Rule 3110(c)(4). See NASD Rule
2360(f); NASD Rule 2361(d). FINRA is proposing to adopt NASD Rule
3110(c)(4) as FINRA Rule 4512(c). See Regulatory Notice 08-25 (May
2008).
    \5\ See NASD Rule 2360(e); NASD Rule 2361(c).
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    NASD Rule 2360 prohibits a member promoting a day-trading strategy
from opening an account for a non-institutional customer unless, prior
to opening the account, the member has furnished the customer with a
risk disclosure statement (as described in NASD Rule 2361) and has
either (1) approved the customer's account for a day-trading strategy
and prepared a record setting forth the basis for the

approval; or (2) obtained from the customer a written agreement stating
that the customer does not intend to use the account to engage in a
day-trading strategy. The rule further requires that, in order to
approve a customer's account for a day-trading strategy, a member must
have reasonable grounds to make a determination that a day-trading
strategy is appropriate for the customer.\6\
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    \6\ In making such determination, the rule requires a member to
exercise reasonable diligence to ascertain the essential facts
relative to the customer, including investment objectives,
investment and trading experience and knowledge, financial
situation, tax status, employment status, marital status, number of
dependents and age. See NASD Rule 2360(b).
---------------------------------------------------------------------------

    NASD Rule 2361 requires members that promote a day-trading strategy
to deliver to their non-institutional customers, prior to opening an
account for such customers, a risk disclosure statement, as specified
in paragraph (a) of the rule (the ``Disclosure Statement'').\7\ In
addition, members that promote a day-trading strategy must post the
Disclosure Statement on their Web sites in a clear and conspicuous
manner. The Disclosure Statement includes seven specific points,
described in more detail in the statement itself, addressing the
following factors that a customer should consider before engaging in
day-trading, as follows:
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    \7\ The rule provides that, in lieu of the disclosure statement
specified in the rule, a member may use an alternative disclosure
statement, provided that it is substantially similar to the
specified disclosure statement and is approved by FINRA's
Advertising Department prior to use. See NASD Rule 2361(b).
---------------------------------------------------------------------------

    (1) Day trading can be extremely risky.
    (2) Be cautious of claims of large profits from day trading.
    (3) Day trading requires knowledge of securities markets.
    (4) Day trading requires knowledge of a firm's operations.
    (5) Day trading will generate substantial commissions, even if the
per trade cost is low.
    (6) Day trading on margin or short selling may result in losses
beyond your initial investment.
    (7) Potential registration requirements (i.e., persons providing
investment advice for others or managing securities accounts for others
may need to register as an investment adviser or broker or dealer; such
activities also may trigger state registration requirements).
    Although these rules define ``day-trading strategy,'' neither
defines ``promoting a day-trading strategy.'' NASD Rule 2360 does
provide, however, that a firm will not be deemed to be ``promoting a
day-trading strategy'' solely by engaging in the following activities:
    (1) promoting efficient execution services or lower execution costs
based on multiple trades;
    (2) providing general investment research or advertising the high
quality or prompt availability of such general research; and
    (3) Having a Web site that provides general financial information
or news or that allows the multiple entry of intra-day purchases and
sales of the same securities.\8\
---------------------------------------------------------------------------

    \8\ See NASD Rule 2360(g).
---------------------------------------------------------------------------

    Additional guidance regarding as to what constitutes ``promoting a
day-trading strategy'' can be found in the SEC order approving the
adoption of NASD Rule 2360 and 2361 (the ``2000 SEC Approval Order'')
and FINRA's Notice announcing SEC approval of the rules (the ``2000
FINRA Notice'').\9\ For example, the 2000 FINRA Notice provides:
---------------------------------------------------------------------------

    \9\ See Securities Exchange Act Release No. 43021 (July 10,
2000), 65 FR 44082 (July 17, 2000) (Approval Order; File No. SR-
NASD-99-41); Notice to Members 00-62 (September 2000) (announcing
SEC approval of Rules 2360 and 2361).

    A member will be subject to the day-trading rules if it
affirmatively promotes day-trading activities or strategies through
advertising, training seminars, or direct outreach programs. For
instance, a firm generally will be subject to the new rules if its
advertisements address the benefits of day trading, rapid-fire
trading, or momentum trading, or encourages persons to trade or
profit like a professional trader. A firm also will be subject to
the new rules if it promotes its day-trading services through a
third party. Moreover, the fact that many of a firm's customers are
engaging in a day-trading strategy will be relevant in determining
whether a firm has promoted itself in this way.\10\
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    \10\ See 2000 FINRA Notice. See also 2000 SEC Approval Order, 65
FR at 44082-83.

The 2000 SEC Approval Order and the 2000 FINRA Notice also state that a
member may submit an advertisement to FINRA's Advertising Department
for review and guidance on whether the content of the advertisement
constitutes ``promoting a day-trading strategy'' for purposes of NASD
Rules 2360 and 2361.\11\
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    \11\ See 2000 SEC Approval Order, 65 FR at 44083-44084; 2000
FINRA Notice, at note 2.
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Proposed FINRA Rule 2130
    The proposed rule change would transfer NASD Rule 2360 with the
following minor changes into the Consolidated FINRA Rulebook as FINRA
Rule 2130. First, the proposed rule change would add Supplementary
Material to clarify the concept of ``promoting a day-trading
strategy,'' based on guidance provided in the 2000 FINRA Notice and the
2000 SEC Approval Order, as follows:

.01 Promoting a Day-Trading Strategy

    (a) A member shall be deemed to be ``promoting a day-trading
strategy'' if it affirmatively endorses a ``day-trading strategy,''
as defined in paragraph (e) of this Rule, through advertising, its
Web site, training seminars or direct outreach programs. For
example, a member generally shall be deemed to be ``promoting a day-
trading strategy'' if its advertisements address the benefits of day
trading, rapid-fire trading, or momentum trading, or encourage
persons to trade or profit like a professional trader. A member also
shall be deemed to be ``promoting a day-trading strategy'' if it
promotes its day-trading services through a third party. Moreover,
the fact that many of a member's customers are engaging in a day-
trading strategy will be relevant in determining whether a member
has promoted itself in this way.\12\
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    \12\ To enhance the readability of the rule, the proposed rule
change would relocate paragraph (g) of Rule 2360 regarding those
activities that would not constitute ``promoting a day-trading
strategy,'' as paragraph (b) of this new Supplementary Material .01.

    Second, the proposed rule change would add Supplementary Material,
based on guidance provided in the 2000 SEC Approval Order and the 2000
FINRA Notice, to specifically provide that a member may submit
advertising materials to FINRA's Advertising Department for review and
guidance on whether the content of the advertisement constitutes
``promoting a day-trading strategy,'' as follows:

.02 Review by FINRA's Advertising Department

    A member may submit its advertisements to FINRA's Advertising
Department for review and guidance on whether the content of the
advertisement constitutes ``promoting a day-trading strategy'' for
purposes of this Rule.

    Third, the proposed rule change would add Supplementary Material to
alert members of additional FINRA rules specifically addressing day-
trading, including the rule addressing the Disclosure Statement
(further discussed below) and rules regarding margin requirements.\13\
---------------------------------------------------------------------------

    \13\ See proposed Supplementary Material .03 to proposed FINRA
Rule 2130.
---------------------------------------------------------------------------

    Finally, the proposal would make minor changes to the rule to
update cross-references and format.
Proposed FINRA Rule 2270
    The proposed rule change would transfer NASD Rule 2361 with the
following minor changes into the Consolidated FINRA Rulebook as FINRA
Rule 2270.

    First, the proposed rule change would slightly modify the rule's
existing provisions regarding form of delivery of documents. Currently,
the rule provides that the disclosure statements may be provided to
individuals either ``in writing or electronically.'' Because in some
circumstances electronic documents may be considered a form of
``writing,'' the proposal would amend the rule to clarify that the
documents may be provided ``in paper or electronic form.''
    Second, to comport with the proposed revisions to NASD Rule 2360,
the proposed rule change would add a statement to FINRA Rule 2270 that
the term ``promoting a day-trading strategy'' shall have the meaning as
provided in FINRA Rule 2130.
    Third, the proposed rule change would add Supplementary Materials
similar to those proposed to be added to FINRA Rule 2130, as discussed
above, to specifically provide that a member may submit advertising
materials to FINRA's Advertising Department for review and guidance on
whether the content of the advertisement constitutes ``promoting a day-
trading strategy'' and to alert members of additional FINRA rules
specifically addressing day-trading.\14\
---------------------------------------------------------------------------

    \14\ See proposed Supplementary Material .01 and .02 to proposed
FINRA Rule 2270.
---------------------------------------------------------------------------

    Finally, the proposed rule change would make minor changes to the
rule to update cross-references and format.
    FINRA intends to 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,\15\ 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 continues to believe that the required approval
process for day-trading accounts serves to protect investors engaged in
day-trading activities, and the requisite disclosures in the Disclosure
Statement increase investors' understanding of the risks associated
with day trading. FINRA believes that the proposed rule change will
provide greater clarity regarding these requirements.
---------------------------------------------------------------------------

    \15\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------

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

    Written comments were neither solicited nor received.

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-2009-059 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-FINRA-2009-059. This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/
rules/sro.shtml). Copies of the submission, all subsequent amendments,
all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for inspection
and copying in the Commission's Public Reference Room, 100 F Street,
NE., Washington, DC 20549, on official business days between the hours
of 10 a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of 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-2009-059 and should be
submitted on or before October 29, 2009.
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    \16\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\16\
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-24259 Filed 10-7-09; 8:45 am]

BILLING CODE 8011-01-P