[Federal Register Volume 80, Number 118 (Friday, June 19, 2015)]
[Notices]
[Pages 35417-35418]
[FR Doc No: 2015-15224]

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SECURITIES AND EXCHANGE COMMISSION

[File No. 500-1]

In The Matter of Revolutionary Concepts, Inc.; Order of
Suspension of Trading

June 17, 2015.
    It appears to the Securities and Exchange Commission
(``Commission'') that there is a lack of current and accurate
information concerning the securities of Revolutionary Concepts, Inc.
(``REVO'') because, among other things, of questions regarding the
accuracy and completeness of REVO's representations to investors and
prospective investors in REVO's public filings with the Commission and
REVO's publicly-available press releases and other public statements.
    In particular, there are questions regarding the accuracy and
completeness of REVO's public assertions relating to, among other
things: (1) REVO's license of certain patents to Eyetalk365, LLC
(``Eyetalk''), including a $900,000 ``in consideration'' fee paid by
Eyetalk to REVO and related net income received by REVO; (2) a line of
credit of up to $10 million obtained by REVO's wholly-owned subsidiary,
Greenwood Finance Group, LLC (``Greenwood''); (3) Greenwood's ownership
of $7 million of promissory notes, and interest payments made to
Greenwood in connection with such promissory notes with a projected
possible cash value exceeding $1 million; and (4) REVO's possible plans
to issue dividends and buy back shares of its common stock. In
addition, REVO currently is delinquent in filing its Form 10-K annual
report for its fiscal year ended December 31, 2014, and its Form 10-Q
quarterly report for its first quarter ended March 31, 2015.
    Based on REVO's most recent Form 10-K annual report filed for its
fiscal year ended December 31, 2013, REVO is a Nevada corporation based
in Charlotte, North Carolina. The company's common stock is quoted on
OTC Link operated by OTC Markets Group, Inc. under the symbol ``REVO.''
As of June 5, 2015, the company's stock had 10 market makers and was
eligible for the ``piggyback'' exception of Rule 15c2-11(f)(3).
    The Commission is of the opinion that the public interest and the
protection of investors require a suspension of trading in the
securities of REVO.
    Therefore, it is ordered, pursuant to Section 12(k) of the
Securities Exchange Act of 1934, that trading in the securities of REVO
is suspended for the

period from 9:30 a.m. EDT on June 17, 2015, through 11:59 p.m. EDT on
June 30, 2015.

    By the Commission.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2015-15224 Filed 6-17-15; 11:15 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 85, Number 10 (Wednesday, January 15, 2020)]
[Notices]
[Page 2420]
[FR Doc No: 2020-00515]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Notice of Filing

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

    Docket Numbers: RP20-212-000.
    Applicants: Enable Mississippi River Transmission, LLC.
    Description: Supplement to Settlement and Agreement under Docket
No. RP20-212-000.
    Filed Date: 12/12/19.
    Accession Number: 20191212-5205.
    Comments Due: 5 p.m. ET 1/13/20.

    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: January 9, 2020.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2020-00515 Filed 1-14-20; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 78, Number 119 (Thursday, June 20, 2013)]
[Notices]
[Pages 37273-37274]
[FR Doc No: 2013-14718]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[FMCSA Docket No. FMCSA-2013-0016]

Qualification of Drivers; Exemption Applications; Diabetes
Mellitus

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

ACTION: Notice of final disposition.

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SUMMARY: FMCSA announces its decision to exempt 16 individuals from its
rule prohibiting persons with insulin-treated diabetes mellitus (ITDM)
from operating commercial motor vehicles (CMVs) in interstate commerce.
The exemptions will enable these individuals to operate CMVs in
interstate commerce.

DATES: The exemptions are effective June 20, 2013. The exemptions
expire on June 20, 2015.

FOR FURTHER INFORMATION CONTACT: Elaine M. Papp, Chief, Medical
Programs Division,<PHONE_NUMBER><EMAIL_ADDRESS>FMCSA, Room
W64-224, Department of Transportation, 1200 New Jersey Avenue SE.,
Washington, DC 20590-0001. Office hours are from 8:30 a.m. to 5 p.m.,
Monday through Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION:

Electronic Access

    You may see all the comments online through the Federal Document
Management System (FDMS) at: http://www.regulations.gov.
    Docket: For access to the docket to read background documents or
comments, go to http://www.regulations.gov and/or Room W12-140 on the
ground level of the West Building, 1200 New Jersey Avenue SE.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays.
    Privacy Act: Anyone may search the electronic form of all comments
received into any of DOT's dockets by the name of the individual
submitting the comment (or of the person signing the comment, if
submitted on behalf of an association, business, labor union, or other
entity). You may review DOT's Privacy Act Statement for the Federal
Docket Management System (FDMS) published in the Federal Register on
January 17, 2008 (73 FR 3316).

Background

    On April 16, 2013, FMCSA published a notice of receipt of Federal
diabetes exemption applications from 16 individuals and requested
comments from the public (78 FR 22599). The public comment period
closed on May 16, 2013, and no comments were received.
    FMCSA has evaluated the eligibility of the 16 applicants and
determined that granting the exemptions to these individuals would
achieve a level of safety equivalent to or greater than the level that
would be achieved by complying with the current regulation 49 CFR
391.41(b)(3).

Diabetes Mellitus and Driving Experience of the Applicants

    The Agency established the current requirement for diabetes in 1970
because several risk studies indicated that drivers with diabetes had a
higher rate of crash involvement than the general population. The
diabetes rule provides that ``A person is physically qualified to drive
a commercial motor vehicle if that person has no established medical
history or clinical diagnosis of diabetes mellitus currently requiring
insulin for control'' (49 CFR 391.41(b)(3)).
    FMCSA established its diabetes exemption program, based on the
Agency's July 2000 study entitled ``A Report to Congress on the
Feasibility of a Program to Qualify Individuals with Insulin-Treated
Diabetes Mellitus to Operate in Interstate Commerce as Directed by the
Transportation Act for the 21st Century.'' The report concluded that a
safe and practicable protocol to allow some drivers with ITDM to
operate CMVs is feasible. The September 3, 2003 (68 FR 52441), Federal
Register notice in conjunction with the November 8, 2005 (70 FR 67777),
Federal Register notice provides the current protocol for allowing such
drivers to operate CMVs in interstate commerce.
    These 16 applicants have had ITDM over a range of 1 to 25 years.
These applicants report no severe hypoglycemic reactions resulting in
loss of consciousness or seizure, requiring the assistance of another
person, or resulting in impaired cognitive function that occurred
without warning symptoms, in the past 12 months and no recurrent (2 or
more) severe hypoglycemic episodes in the past 5 years. In each case,
an endocrinologist verified that the driver has demonstrated a
willingness to properly monitor and manage his/her diabetes mellitus,
received education related to diabetes management, and is on a stable
insulin regimen. These drivers report no other disqualifying
conditions, including diabetes-related complications. Each meets the
vision requirement at 49 CFR 391.41(b)(10).
    The qualifications and medical condition of each applicant were
stated and discussed in detail in the April 16, 2013, Federal Register
notice and they will not be repeated in this notice.

Discussion of Comments

    FMCSA received no comments in this proceeding.

Basis for Exemption Determination

    Under 49 U.S.C. 31136(e) and 31315, FMCSA may grant an exemption
from the diabetes requirement in 49 CFR 391.41(b)(3) if the exemption
is likely to achieve an equivalent or greater level of safety than
would be achieved without the exemption. The exemption allows

the applicants to operate CMVs in interstate commerce.
    To evaluate the effect of these exemptions on safety, FMCSA
considered medical reports about the applicants' ITDM and vision, and
reviewed the treating endocrinologists' medical opinion related to the
ability of the driver to safely operate a CMV while using insulin.
    Consequently, FMCSA finds that in each case exempting these
applicants from the diabetes requirement in 49 CFR 391.41(b)(3) is
likely to achieve a level of safety equal to that existing without the
exemption.

Conditions and Requirements

    The terms and conditions of the exemption will be provided to the
applicants in the exemption document and they include the following:
(1) That each individual submit a quarterly monitoring checklist
completed by the treating endocrinologist as well as an annual
checklist with a comprehensive medical evaluation; (2) that each
individual reports within 2 business days of occurrence, all episodes
of severe hypoglycemia, significant complications, or inability to
manage diabetes; also, any involvement in an accident or any other
adverse event in a CMV or personal vehicle, whether or not it is
related to an episode of hypoglycemia; (3) that each individual provide
a copy of the ophthalmologist's or optometrist's report to the medical
examiner at the time of the annual medical examination; and (4) that
each individual provide a copy of the annual medical certification to
the employer for retention in the driver's qualification file, or keep
a copy in his/her driver's qualification file if he/she is self-
employed. The driver must also have a copy of the certification when
driving, for presentation to a duly authorized Federal, State, or local
enforcement official.

Conclusion

    Based upon its evaluation of the 16 exemption applications, FMCSA
exempts Joseph J. Black (PA), Donald D. Boomgaarn (NE), Hilary C.
Clarke (NC), Roger S. Davis (PA), Edgar I. Duque (NY), Kevin D. Gentes
(IL), Roger J. Huffsmith (WA), Joel M. Jock (VA), James S. Marunczak
(PA), William A. Nearhood (PA), Charles E. Peck (AL), Joseph Sawicki,
III (NY), Michael Steinman (PA), Christopher T. Thieneman (KY), Matthew
A. Waller (WA), and Lucas P. Walth (ND) from the ITDM requirement in 49
CFR 391.41(b)(3), subject to the conditions listed under ``Conditions
and Requirements'' above.
    In accordance with 49 U.S.C. 31136(e) and 31315 each exemption will
be valid for two years unless revoked earlier by FMCSA. The exemption
will be revoked if the following occurs: (1) The person fails to comply
with the terms and conditions of the 1/exemption; (2) the exemption has
resulted in a lower level of safety than was maintained before it was
granted; or (3) continuation of the exemption would not be consistent
with the goals and objectives of 49 U.S.C. 31136(e) and 31315. If the
exemption is still effective at the end of the 2-year period, the
person may apply to FMCSA for a renewal under procedures in effect at
that time.

    Issued on: June 12, 2013.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2013-14718 Filed 6-19-13; 8:45 am]
BILLING CODE 4910-EX-P


[Federal Register Volume 78, Number 39 (Wednesday, February 27, 2013)]
[Notices]
[Pages 13389-13393]
[FR Doc No: 2013-04544]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-68964; File No. SR-C2-2013-008]

Self-Regulatory Organizations; C2 Options Exchange, Incorporated;
Notice of Filing of a Proposed Rule Change, as Modified by Amendment
No. 1 Thereto, Relating to Market-Maker Continuous Quoting Obligations

February 21, 2013.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on February 8, 2013, C2 Options Exchange, Incorporated (the
``Exchange'' or ``C2'') filed with the Securities and Exchange
Commission (the ``Commission'') the proposed rule change as described
in Items I, II, and III below, which Items have been prepared by the
Exchange. On February 20, 2013, the Exchange submitted Amendment No. 1
to the proposed rule change. The Commission is publishing this notice
to solicit comments on the proposed rule change from interested
persons.
---------------------------------------------------------------------------

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

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend its Rules relating to Market-Maker
continuous quoting obligations. The text of the proposed rule change is
available on the Exchange's Web site (http://www.c2exchange.com/Legal/
), at the Exchange's Office of the Secretary, and at the Commission.

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
    The purpose of the proposed rule change is to add language to
Exchange Rules 8.5 and 8.17 to exclude intra-day add-on series
(``Intra-day Adds'') on the day during which such series are added for
trading from Market-Makers' \3\ quoting obligations. Additionally, the
proposed rule change clarifies in Rule 8.19 that Designated Primary
Market-Makers (``DPMs), respectively (Market-Makers and DPMs are
collectively referred to in this filing as ``Market-Makers'' unless the
context provides otherwise) may still receive participation
entitlements pursuant to those Rules in all Intra-day Adds on the day
during which such series are added for trading in which they are
quoting provided that Market-Maker meets all other entitlement
requirements as set forth in the applicable rule.
---------------------------------------------------------------------------

    \3\ See Exchange Rule 8.1 which defined Market-Makers as
participants that ``have certain rights and bear certain
responsibilities beyond those of other Participants.''
---------------------------------------------------------------------------

    Intra-Adds are series that are be added to the Exchange system
after the opening of the Exchange. These series

may be added throughout the trading day which differs from other newly
added series which are only added prior to the beginning of trading. In
the event a series is added after the open of trading on the Exchange,
the Exchange, in real time, disseminates a message to the Exchange
application program interfaces, which any Exchange Trading Permit
Holder (``TPH'') can receive, that a new series has been listed. In
addition, there is a corresponding product state change message
disseminated when the new series moves from pre-opening rotation to an
open state. Any Market-Maker with an appointment in the class in which
the series was added is permitted to quote in the new series.
    Currently, Exchange Rules 8.5 and 8.17 impose certain obligations
on Market-Makers and DPMs, respectively, including obligations to
provide continuous quotes as follows \4\:
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    \4\ For purposes of Rules 8.5(a)(1), and 8.17(a)(1),
``continuous'' means 90% of the time. If a technical failure of
limitation of the System prevents a Market-Maker from maintaining
timely and accurate quotes in a series, the duration of such failure
will not be included in the 90% determination.
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     Rule 8.5 requires that Market-Makers provide a continuous
two-sided market in 60% of the non-adjusted option series of the
Market-Maker's appointed class that have a time to expiration of less
than nine months;
     Rule 8.17(a)(1) requires DPMs to provide continuous quotes
in at least the lesser of 99% or 100% minus one call-put pair \5\ of
the non-adjusted option series of each class allocated to it.
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    \5\ See Rule 8.17(a)(1) which defines a ``call-up pair'' as
``one call and one put that cover the same underlying instrument and
have the same expiration date and exercise price.''
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    Exchange Rule 8.19 provides that DPMs generally will receive the
participation entitlements in their assigned classes when quoting at
the best price if they satisfy their obligations and other conditions
set forth in the rules. Specifically, Rule 8.19 provides that the DPM
participation entitlement will be 50% when there is one Market-Maker
also quoting at the best price on the Exchange and 40% when there are
two Market-Makers also quoting at the best price on the Exchange.\6\
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    \6\ The participation entitlements of DPMs are based on the
number of contracts remaining after all public customer orders in
the book at the best price on the Exchange have been satisfied.
Additionally, a DPM may not be allocated a total quantity greater
than the quantity for which the DPM is quoting at the best price.
See Rules 8.19(b)(1)(B) and (C).
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    In order to comply with their continuous quoting obligations,
Exchange Market-Makers have automated systems in place that use complex
calculations based on a variety of market factors to compute quotes in
their appointed classes and transmit these quotes to the Exchange's
System (the ``System'').\7\ Their system computations also factor in
their market risk models. Several Market-Makers have communicated to
the Exchange that their trading systems do not automatically produce
continuous quotes in Intra-day Adds on the trading day during which
those series are added. They further indicated that the only way they
could quote in these series on the trading day during which they were
added would be to completely shut down and restart their systems. As a
result, it is the Exchange's understanding that several Market-Makers
do not currently quote Intra-day Adds during the trading day on which
such series are added (although the Market-Makers generally do quote
these series upon the opening of the next trading day, assuming those
series are still listed on the Exchange). The required work on Market-
Makers' systems to quote Intra-day Adds, as further communicated to the
Exchange, would be significant and costly.
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    \7\ See Rule 1.1 which defines ``System'' as the ``automated
trading system used by the Exchange for the trading of options
contracts.''
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    Intra-day Adds make it extremely difficult for Market-Makers to
comply with their obligation to quote in a substantial percentage of
series in their appointed classes during a trading day on which Intra-
day Adds are added in those classes. For example, if there are 1,000
series listed in a DPM's appointed class and the DPM is quoting in 990
of these series, the DPM is in compliance with the current minimum
requirement to quote in 99% of series in its appointed class (assuming
the DPM quotes in this number of series 90% of the trading day).
However, if an Intra-day Add is added in the DPM's appointed class
during the trading day, and the DPM's system does not automatically
quote in this series, then the DPM would not comply, as it would be
quoting in 990 of 1,001 series. This noncompliance would be compounded
if more than one Intra-day Add is listed in a class during the same
trading day. Further, if these Market-Makers turned their systems off
to quote in Intra-day Adds on the trading day during which those series
are added, then the Market-Makers could satisfy the standard to quote
in a minimum percentage of series in their appointed classes but would
then risk violating their obligation to quote for minimum percentage of
the trading day as, theoretically, these Market-Makers might need to
repeatedly turn their systems off to accommodate the Intra-day Adds.
    The Exchange believes that it would be impracticable, particularly
given that a number of Market-Makers use their systems to quote on
multiple markets and not solely on the Exchange, for Market-Makers to
turn off their entire systems to accommodate quoting in Intra-day Adds
on the day during which those series are added on the Exchange. In
addition, the Exchange believes this would interfere with the
continuity of its market and reduce liquidity, which would ultimately
harm investors and contradicts the purpose of the Market-Maker
continuous quoting obligation.
    This proposed rule change excludes Intra-day Adds from these
continuous quoting obligations to address this conflict. Specifically,
the Exchange is proposing to add text to Rules 8.5 and 8.17 to exclude
Intra-day Adds on the day during which such series are added for
trading from Market-Makers' quoting obligations. Based on
communications from Market-Makers, the Exchange is concerned that
Market-Makers may withdraw from the DPM program and that other market
participants may be discouraged from requesting Market-Maker
appointments or applying to the DPM program if they are required to
quote Intra-day Adds on the trading day during which those series are
added. The Exchange believes that withdrawals from, and reduced
applications for, Market-Maker appointments would negatively impact
liquidity and volume on the Exchange in those classes. The Exchange
believes that providing Market-Makers with relief from their quoting
obligations with respect to Intra-day Adds on the trading day during
which they are added for trading will prevent these withdrawals and
encourage market participants to apply for or continue their Market-
Maker class appointments.
    The Exchange does not believe this relief will result in any
material decrease in liquidity. As mentioned above, it is the
Exchange's understanding that several Market-Makers currently do not
quote Intra-day Adds on the trading day during which they are added, so
the Exchange believes this proposed relief would result in a minimal
reduction, if any, in liquidity in these series. These Market-Makers'
systems would add these series the next trading day, so if there is any
slight reduction in liquidity in these few series, it would only last
for a short period of time (until the following trading day).
Additionally, this potential small reduction in liquidity would be far
outweighed by the reduction in liquidity that the Exchange believes

would result from the withdrawals from and reductions in applications
for Market-Maker appointments if the Exchange did not provide this
relief.
    The current quoting obligation in Intra-day Adds is a minor part of
a Market-Maker's overall obligations. Specifically, Intra-day Adds
represent only approximately 0.10% of the number of series listed on
the Exchange, so Market-Makers will still be obligated to provide
continuous two-sided markets in a substantial number of series in their
appointed classes.\8\ Intra-day Adds are rarely added on the Exchange,
so Market-Makers will still be obligated to provide continuous two-
sided markets in a substantial number of series in their appointed
classes. Further, Market-Makers would still be obligated to quote the
Intra-day Adds the following day, and, thus, their quoting relief is
very short-lived and could, potentially, only last a few hours or until
the opening of trading the following day. The Exchange believes that
the burden of continuous quoting in this extremely small number of
series is counter to the Exchange's efforts to continuously increase
liquidity in its listed option classes.
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    \8\ From January 1, 2013 through February 19, 2013, there have
been 37 Intra-day Adds listed on the Exchange, and, in that time
period, there have been a total of 35,502 series added on the
Exchange. Thus, the Intra-day Adds represent 0.10%.
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    The Exchange believes the proposed rule change will continue to
ensure that Market-Makers create a fair and orderly market in the
option classes to which they are assigned, as it does not absolve
Market-Makers from providing continuous quotes in a significant
percentage of series of each class for a substantial portion of the
trading day. Market-Makers must engage in activities that constitute a
course of dealings reasonably calculated to contribute to the
maintenance of a fair and orderly market, including (1) competing with
other Market-Makers to improve markets in all series of options classes
comprising their appointments, (2) making markets that, absent changed
market conditions, will be honored in accordance with firm quote rules,
and (3) updating market quotations in response to changed market
condition in their appointed options classes and to assure that any
market quote it causes to be disseminated is accurate.\9\
---------------------------------------------------------------------------

    \9\ See Rule 8.5(a).
---------------------------------------------------------------------------

    The relief proposed in this filing is mitigated by a Market-Maker's
other obligations. For example, the proposed rule change would not
excuse a Market-Maker from its obligation to submit a single quote or
maintain continuous quotes in one or more series of a class to which
the Maker-Maker is appointed when called upon by an Exchange official
if, in the judgment of such official, it is necessary to do so in the
interest of maintaining a fair and orderly market.\10\
---------------------------------------------------------------------------

    \10\ See Rule 8.5(d).
---------------------------------------------------------------------------

    The proposed rule change also clarifies in the Exchange Rules that
while Market-Makers are not required to provide continuous quotes in
Intra-day Adds on the day during which such series are added for
trading, a Market-Maker may still receive a participation entitlement
in such series if it elects to quote in that series and otherwise
satisfies the other entitlement requirements set forth in accordance
with the Rules. Specifically, the Exchange is proposing to add language
to Rule 8.19 clearly stating that DPMs may still receive participation
entitlements pursuant to those Rules in all Intra-day Adds on the day
during which such series are added for trading in which they are
quoting provided that Market-Maker meets all other entitlement
requirements as set forth in Rule 8.19(b).
    Market-Makers already receive participation entitlements in series
they are not required to quote. For example, a DPM is currently
required to provide continuous quotes in at least 99% of the non-
adjusted option series or 100% of the non-adjusted series minus one
call-put pair of each option class allocated to it for 90% of the
trading day.\11\ If the DPM elects to quote in 100% of the non-adjusted
series in an option class allocated to it, it will receive a
participation entitlement in all of those series when quoting at the
best price, including the 1% of the series in which it is not required
to quote in. Thus, under the proposed rule change, the market would
continue to function as it does now. The Exchange believes this benefit
is appropriate, as it incentivizes Market-Makers to quote in as many
series as possible in their appointed classes, even those series in
which the Rules do not require them to continuously quote.
---------------------------------------------------------------------------

    \11\ See Rule 8.17(a).
---------------------------------------------------------------------------

    The Exchange does not believe that the proposed rule change would
adversely affect the quality of the Exchange's markets or lead to a
material decrease in liquidity. Rather, the Exchange believes that its
current market structure, with its high rate of participation by
Market-Makers, permits the proposed rule change without fear of losing
liquidity. The Exchange also believes that market-making activity and
liquidity could materially decrease without the proposed rule change to
exclude Intra-day Adds from Market-Maker continuous quoting obligations
on the trading day during which they are added for trading. The
Exchange believes that this proposed relief will encourage Market-
Makers to continue appointments and other TPHs to request Market-Maker
appointments, and, as a result, expand liquidity in options classes
listed on the Exchange to the benefit of the Exchange and its TPHs and
public customers. The Exchange believes that its Market-Makers would be
disadvantaged without this proposed relief, and other TPHs and public
customers would also be disadvantaged if Market-Makers withdrew from
appointments in options classes, resulting in reduced liquidity and
volume in these classes. Additionally, the Exchange believes that the
proposed rule change to clarify that Market-Makers may receive
participation entitlements in Intraday Adds on the day during which
such series are added for trading if it satisfies the other entitlement
requirements as set forth in Exchange Rules, even if the Rules do not
require the Market-Makers to continuously quote in those series, will
incent Market-Makers to quote in series in which they are not required
to quote, which may increase liquidity in their appointed classes.
2. Statutory Basis
    The Exchange believes the proposed rule change is consistent with
the Securities Exchange Act of 1934 (the ``Act'') and the rules and
regulations thereunder applicable to the Exchange and, in particular,
the requirements of Section 6(b) of the Act.\12\ Specifically, the
Exchange believes the proposed rule change is consistent with the
Section 6(b)(5) \13\ requirements that the rules of an exchange be
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in regulating, clearing,
settling, processing information with respect to, and facilitation
transactions in securities, to remove impediments to and perfect the
mechanism of a free and open market and a national market system, and,
in general, to protect investors and the public interest. Additionally,
the Exchange believes the proposed rule change is consistent with the
Section 6(b)(5) \14\ requirement that the rules of an exchange not be
designed

to permit unfair discrimination between customers, issuers, brokers, or
dealers.
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78f(b).
    \13\ 15 U.S.C. 78f(b)(5).
    \14\ Id.
---------------------------------------------------------------------------

    In particular, the Exchange believes the proposed rule change to
exclude Intra-day Adds during the day which such series are added for
trading from Market-Makers' quoting obligations promotes just and
equitable principles of trade because it promotes liquidity and
continuity in the marketplace and would prevent interruptions in
quoting or reduced liquidity that may otherwise result. The Exchange
also believes that the proposed rule change supports the quality of the
Exchange's markets because it does not significantly change the current
quoting obligations of Market-Makers. Market-Makers must still provide
continuous quotes for a significant part of the trading day in a
substantial number of series of each appointed class. Even if a Market-
Maker does not quote Intra-day Adds on the trading day during which
they are added, this would be offset by the Market-Maker's continued
other obligations. The proposed relief is further offset by a Market-
Maker's obligation to quote in these series beginning the next trading
day. Accordingly, the proposed rule change supports the quality of the
Exchange's trading markets by helping to ensure that Market-Makers will
continue to be obligated to quote in Intra-day Adds if, and when, the
need arises and on an ongoing basis following the trading day during
which the series are added. The Exchange believes this proposed change
is reasonable and is offset by Market-Makers' continued
responsibilities to provide significant liquidity to the market to the
benefit of market participants.
    The Exchange believes this proposed rule change, on balance, is a
minor change and should not impact the quality of the Exchange's
trading markets. Among other things, Intra-day Adds represent an
insignificant percentage of series listed on the Exchange each day. The
Exchange further believes that the potential small reduction in
liquidity in Intra-day Adds that may result from the proposed relief
would be far outweighed by the significant reduction in liquidity in
appointed classes that the Exchange believes could occur from
withdrawals from and reductions in applications for Market-Maker
appointments without the proposed relief. The proposed rule change also
removes impediments to and allows for a free and open market, while
protecting investors, by promoting additional transparency regarding
Market-Makers' obligations and benefits in the Exchange Rules. In
addition, the Exchange believes that the proposed rule change is
designed to not permit unfair discrimination among Market-Makers, as
the proposed rule change provides the proposed relief for all Market-
Makers.
    The proposed rule change to clarify that Market-Makers may receive
participation entitlements in Intra-day Adds in their appointed classes
in which they are quoting, even though they are not required to quote,
if the other requirements set forth in the Rules are satisfied, further
supports the quality of the Exchange's trading markets because it
encourages Market-Makers to quote in as many series as possible, which
ultimately benefits all investors. This benefit is offset by the
Market-Makers' continued quoting obligations and the fact that their
quotes in these ``non-required'' series must still satisfy all of the
Market-Makers' other obligations under the Rules. The Exchange also
believes that this proposed change is consistent with its current
practice, pursuant to which Market-Makers receive participation
entitlements in additional series in which they elect to quote above
the minimum percentage of series in which they are required to
continuously quote under the Rules.
    For the foregoing reasons, the Exchange believes that the proposed
rule change is appropriate and consistent with the Act.

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

    C2 does not believe that the proposed rule change will impose any
burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act. The Exchange does not believe
the proposed rule change to exclude Intra-day Adds during the day which
such series are added for trading from Market-Makers' quoting
obligations will cause any unnecessary burden on intramarket
competition because it provides the same relief to a group of similarly
situated market participants--Market-Makers. The Exchange does not
believe the proposed change will cause any unnecessary burden on
intermarket competition because Intra-day Adds are a very small portion
of series on the Exchange. Exchange further believes that the potential
small reduction in liquidity in Intra-day Adds that may result from the
proposed relief would be far outweighed by the significant reduction in
liquidity in appointed classes that the Exchange believes could occur
from withdrawals from and reductions in applications for Market-Maker
appointments without the proposed relief. In addition, the Exchange
believes that the proposed rule change will in fact relieve any burden
on, or otherwise promote, competition. The Exchange believes that
excluding Intra-day Adds on the day during which they are added for
trading from Market-Maker obligations will promote trading activity on
the Exchange to the benefit of the Exchange, its TPHs, and market
participants.
    The Exchange does not believe the proposed rule change to clarify
that Market-Makers may receive participation entitlements in Intra-day
Adds in their appointed classes in which they are quoting, even though
they are not required to quote, if the other requirements set forth in
the Rules are satisfied, will cause any unnecessary burden on
intramarket competition because it too provides the same relief to a
group of similarly situated market participants--Market-Makers. The
Exchange does not believe the proposed change will cause any
unnecessary burden on intermarket competition because Market-Makers are
currently entitled to receive participation entitlements on series they
are not obligated to quote in under the Rules. In addition, the
Exchange believes that the proposed rule change will in fact relieve
any burden on, or otherwise promote, competition. The Exchange believes
allowing Market-Makers to receive a participation entitlements in
Intra-day Adds will promote trading activity on the Exchange because it
will incentivize Market-Makers to quote in such series though not
obligated to do so to the benefit of the Exchange, its TPHs, and market
participants.

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

    The Exchange neither solicited nor received comments on the
proposed rule change.

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

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-C2-2013-008 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-C2-2013-008. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549 on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-C2-2013-008, and should be
submitted on or before March 20, 2013.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\15\
---------------------------------------------------------------------------

    \15\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-04544 Filed 2-26-13; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 88, Number 95 (Wednesday, May 17, 2023)]
[Notices]
[Pages 31504-31505]
[FR Doc No: 2023-10513]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 2905-000]

Village of Enosburg Falls, Vermont; Notice of Authorization for
Continued Project Operation

    The license for the Enosburg Falls Hydroelectric Project No. 2905
was issued for a period ending April 30, 2023.
    Section 15(a)(1) of the FPA, 16 U.S.C. 808(a)(1), requires the
Commission, at the expiration of a license term, to issue from year-to-
year an annual license to the then licensee(s) under the terms and
conditions of the prior license until a new license is issued, or the
project is otherwise disposed of as provided in section 15 or any other
applicable section of the FPA. If the project's prior license waived
the applicability of section 15 of the FPA, then, based on section 9(b)
of the Administrative Procedure Act, 5 U.S.C. 558(c), and as set forth
at 18 CFR 16.21(a), if the

licensee of such project has filed an application for a subsequent
license, the licensee may continue to operate the project in accordance
with the terms and conditions of the license after the minor or minor
part license expires, until the Commission acts on its application. If
the licensee of such a project has not filed an application for a
subsequent license, then it may be required, pursuant to 18 CFR
16.21(b), to continue project operations until the Commission issues
someone else a license for the project or otherwise orders disposition
of the project.
    If the project is subject to section 15 of the FPA, notice is
hereby given that an annual license for Project No. 2905 is issued to
the Village of Enosburg Falls, Vermont, for a period effective May 1,
2023, through April 30, 2024, or until the issuance of a new license
for the project or other disposition under the FPA, whichever comes
first. If issuance of a new license (or other disposition) does not
take place on or before April 30, 2024, notice is hereby given that,
pursuant to 18 CFR 16.18(c), an annual license under section 15(a)(1)
of the FPA is renewed automatically without further order or notice by
the Commission, unless the Commission orders otherwise.
    If the project is not subject to section 15 of the FPA, notice is
hereby given that the Village of Enosburg Falls, Vermont is authorized
to continue operation of the Enosburg Falls Hydroelectric Project under
the terms and conditions of the prior license until the issuance of a
new license for the project or other disposition under the FPA,
whichever comes first.

    Dated: May 11, 2023.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2023-10513 Filed 5-16-23; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: November 21, 2008 (Volume 73, Number 226)]
[Notices]
[Page 70687-70689]
[DOCID:fr21no08-102]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-58959; File No. SR-NYSEArca-2008-120]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change Regarding NYSE Arca
Options Rule Governing the Anti-Money Laundering Compliance Program

 November 14, 2008.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given
that, on October 28, 2008, NYSE Arca, Inc. (``NYSE Arca'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been substantially prepared by the Exchange.
The Exchange has designated the proposed rule change as constituting a
``non-controversial'' rule change under Rule 19b-4(f)(6) under the
Act.\4\ The Commission is publishing this notice to solicit comments on
the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
    \4\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend the NYSE Arca Options Rule governing
the Anti-Money Laundering Compliance Program (``AMLCP''). The proposed
rule change would clarify the frequency with which an Options Trading
Permit (``OTP'') Holder must conduct independent testing of its AMLCP
and would establish the qualifications of the person designated to
perform AMLCP testing as well as provide guidelines for establishing
the independence of the person performing the test. The text of the
proposed rule change is available on the Exchange's Web site at http://
www.nyse.com, at the Exchange's principal office, and at the
Commission's Pubic 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 those statements may be examined at the places specified in
Item IV below. The Exchange has prepared summaries, set forth in
sections A, B, and C below, of the most significant parts of such
statements.

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

1. Purpose
    Financial institutions, including broker-dealers, must develop and
implement AML Programs pursuant to the Bank Secrecy Act,\5\ as amended
by Section 352 of the Uniting and Strengthening America By Providing
Appropriate Tools Required To Intercept and Obstruct Terrorism Act of
2001 (``PATRIOT Act'').\6\ Consistent with Department of Treasury
regulation 31 CFR 103.120 under the BSA, Exchange Rule 11.19 requires
that each member organization develop and implement a written Anti-
money laundering (``AML'') program that specifies the minimum
requirement for these programs.
---------------------------------------------------------------------------

    \5\ 31 U.S.C. 5311 et seq.
    \6\ Public Law 107-56, 115 Stat. 272 (2001).
---------------------------------------------------------------------------

    The AML program must include the development of internal policies,
procedures and controls; the designation of a person to implement and
monitor the day-to-day operations and internal controls of the program
(commonly referred to as an ``AML Officer''); ongoing training for
appropriate persons; and an independent testing function for overall
compliance.
    The Exchange proposes to change NYSE Arca Options Rule 11.19(c) to
clarify the language governing the frequency with which an OTP Holder
must conduct independent testing of its AMLCP. Additionally, the
Exchange proposes to add new commentary to Rule 11.19 that establishes
qualifications of the person designated to perform AMLCP testing and
guidelines for establishing the independence of the person performing
the test. In addition, this proposed rule change will clarify the
applicability of the rule to all OTP Holders and OTP Firms.
Timeframes for Independent Testing
    The proposed rule change would require that independent testing of
AML programs be conducted, at a minimum, on an annual (calendar-year)
basis by OTP Holders, unless the OTP Holder does not execute
transactions for customers or otherwise hold customer

accounts or act as an introducing broker with respect to customer
accounts (e.g., engages solely in proprietary trading, or conducts
business only with other broker-dealers), in which case such
independent testing is required every two years (on a calendar-year
basis). The Exchange believes that these timeframes are reasonable in
that they require more frequent testing of AML programs designed to
monitor a business with customers from the general public, which may be
more susceptible to money laundering schemes than a strictly
proprietary business involving transactions with other broker-dealers.
Furthermore, the one-year time frame for testing is consistent with
standard industry practice in that it is similar to generally accepted
guidelines for conducting tests in the context of, for instance,
general audits and branch office visits. The proposed rule change
establishes only a minimum requirement, and makes clear that members
should undertake more frequent testing when circumstances warrant
(e.g., should the business mix of the member or member organization
materially change; in the event of a merger or acquisition; in light of
systemic weaknesses uncovered via testing of the AML Program; or in
response to other ``red flags'').
Qualification and Independence Standards for Testing
    Additionally, the Exchange proposes to add Commentary .01 to NYSE
Arca Options Rule 11.19 that establishes qualifications of the person
designated to perform AMLCP testing as well as guidelines for
establishing the independence of the person performing the test. The
proposed rule change would require the person conducting the
independent test to have a working knowledge of the applicable BSA
requirements and related regulations. Such person need not be an
employee of the member or member organization since the responsibility
being delegated is essentially an auditing function and, as such, it
would not be unusual or ineffective for it to be performed by an
independent outside party.
    The proposed rule change does not preclude an employee of the
member or member organization from conducting the required independent
testing of the AML Program; however the proposed ``independence''
standard would prohibit testing from being conducted by a person who
performs the functions being tested, or by the designated AML Officer
or by a person that reports to either.
AML Officer
    The proposed rule change would also clarify that the person
responsible for implementing and monitoring the day-to-day operations
and controls of the program must be an associated person of the member.
This would not prohibit a member that is part of a diversified
financial institution from designating an AML Officer that is employed
by the member's parent company, sister company, or other affiliate.
However, if such a person is designated as a member's AML Officer, the
Exchange will consider that person to be an associated person of the
member with respect to those activities performed on behalf of the
member.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) \7\ of the Securities Exchange Act of 1934 (the
``Exchange Act''), in general, and furthers the objectives of Section
6(b)(5) \8\ in particular in that it is designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, to remove impediments to, and perfect the
mechanisms of, a free and open market and a national market system,
and, in general, to protect investors and the public interest. The
Exchange believes that the proposed rule change is designed to
accomplish these ends by requiring members to conduct periodic tests of
their AML compliance programs and preserve the independence of their
testing personnel.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78f(b).
    \8\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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 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

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

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) \9\ of the Act and Rule 19b-4(f)(6) \10\ thereunder.
The Exchange believes that the proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest, (ii) impose any significant burden on competition, and (iii)
will not become operative prior to 30 days from the date on which it
was filed, or such shorter time as the Commission may designate, if
consistent with the protection of investors and the public
interest.\11\
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \10\ 17 CFR 240.19b-4(f)(6).
    \11\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    Rule 19b-4(f)(6)(iii) \12\ requires the Exchange to give the
Commission written notice of the Exchange's intent to file a proposed
rule change along with a brief description and text of the proposed
rule change, at least five business days prior to the date of filing of
the proposed rule change, or such shorter time as designated by the
Commission. The Exchange has satisfied this requirement. The Exchange
also requests that the Commission waive the 30-day operative delay
contained in Exchange Act Rule 19b-4(f)(6).\13\ The Exchange believes
that waiver of the 30-day operative delay will allow the Exchange to
immediately begin requiring members to conduct periodic tests of their
AMLCP and preserve the independence of their testing personnel. The
Commission believes that waiving the 30-day operative delay is
consistent with the protection of investors and the public interest.
The Commission believes that the proposed rule is designed to
accomplish these ends by requiring OTP Holders to conduct periodic
testing of their AMLCPs, preserve the independence of their testing
personnel, and by making the Exchange's program requirements consistent
with those at other exchanges and self-regulatory organizations.\14\
The Commission therefore grants the Exchange's request and designates
the proposal to be operative upon filing.\15\
---------------------------------------------------------------------------

    \12\ 17 CFR 240.19b-4(f)(6)(iii).
    \13\ Id.
    \14\ See e.g., NASD Rule 3011, NYSE Rule 445.
    \15\ For purposes of waiving the 30-day operative delay, the
Commission has considered the proposed rule's impact on efficiency,
competition and capital formation. See 15 U.S.C. 78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate 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.

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-NYSEArca-2008-120 on the subject line.

Paper Comments

     Send paper comments in triplicate to Secretary, Securities
and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090.
    All submissions should refer to File Number SR-NYSEArca-2008-120.
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 Section, 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 will also be available for
inspection and copying at NYSE Arca's principal office and on its
Internet Web site at http://www.nyse.com. 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-NYSEArca-2008-120 and should be
submitted on or before December 12, 2008.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\16\
---------------------------------------------------------------------------

    \16\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Florence E. Harmon,
Acting Secretary.
 [FR Doc. E8-27756 Filed 11-20-08; 8:45 am]

BILLING CODE 8011-01-P