[Federal Register: February 20, 2009 (Volume 74, Number 33)]
[Notices]
[Page 7943-7945]
[DOCID:fr20fe09-114]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-59392; File No. SR-NASDAQ-2009-006]

Self-Regulatory Organizations; The NASDAQ Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Establish a Post-Only Order

February 11, 2009.
    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 January 28, 2009, 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 and
II below, which Items have been prepared by Nasdaq. Nasdaq filed the
proposed rule change pursuant to Section 19(b)(3)(A) of the Act \3\ and
Rule 19b-4(f)(6) thereunder,\4\ which renders it effective upon filing
with the Commission. 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.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

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

    Nasdaq proposes to establish a Post-Only Order. The text of the
proposed rule change is below. Proposed new language is italicized.\5\
---------------------------------------------------------------------------

    \5\ Changes are marked to the rule text that appears in the
electronic manual of Nasdaq found at http://
nasdaq.cchwallstreet.com.
---------------------------------------------------------------------------

* * * * *
    4751. Definitions
    (a)-(e) No change.
    (f) No change.
    (1)-(9) No change.
    (10) ``Post-Only Orders'' are orders that if, at the time of entry,
would lock an order on the System, the order will be re-priced and
displayed by the System to one minimum price increment (i.e., $0.01 or
$0.0001) below the current low offer (for bids) or above the current
best bid (for offers).
    (g)-(i) No change.
* * * * *

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

    In its filing with the Commission, Nasdaq 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. Nasdaq 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
    In order to provide enhanced functionality, Nasdaq proposes to
adopt an additional order type known as the Post-Only Order. A Post-
Only Order is an order that does not remove liquidity

from the System upon entry if it would lock an order on Nasdaq's system
for trading cash equities (the ``System''). If, at the time of entry, a
Post-Only Order would lock an order on the System it will be re-priced
and displayed by the System to one minimum price increment (i.e., $0.01
or $0.0001) below the current low offer (for bids) or above the current
best bid (for offers). In the case of a Post-Only Order locking an
order, the Post-Only Order will be repriced only once upon entry into
the System. Post-Only Orders will not be routed away to other trading
centers.
    An example of how the price sliding mechanism will work if the
Post-Only Order locks an order on the System is as follows:
     The System is displaying a $10.15 offer.
     A firm enters a Post-Only Order to buy at $10.15.
     The incoming Post-Only Order will go on the book and
display at $10.14.
    If the Post-Only Order would lock or cross a protected quote of
another market center the post-only logic is not applicable and the
order will be processed in the same manner as a Price to Comply Post
Order.
     Another market center is displaying a $10.15 offer.
     A firm enters a Post-Only Order to buy at $10.15.
     The incoming Post-Only Order will be accepted and display
at $10.14.
    If the Post-Only Order would cross another order already on the
System and the price improvement for executing the order is greater
than the liquidity taker fee and higher than the rebate for being a
liquidity provider, then the post-only logic is not applicable and the
order will be processed and execute in the same manner as an order with
a time-in-force of Immediate or Cancel (IOC).
     The System is displaying a $10.15 offer.
     A firm enters a Post-Only Order to buy at $10.16.
     The incoming Post-Only Order will execute at $10.15.
    Nasdaq believes that the Post-Only Order type will increase the
ability of market participants to control their provision or taking of
market liquidity and thus better anticipate their trading costs. Nasdaq
notes that orders similar to the proposed Post-Only Order type are
already in use by other market centers.\6\ In addition, the process for
re-pricing Post-Only Orders is comparable to the existing re-pricing
mechanism approved for use for Price to Comply Post Orders.\7\
---------------------------------------------------------------------------

    \6\ See Rule 4751(f)(9) of NASDAQ OMX BX, Rule 11.9(c)(5) of the
BATS Exchange and Rule 7.31 of NYSE Arca. The proposed Post-Only
Order would operate in the same manner as the Post-Only Order
adopted by NASDAQ OMX BX and have functionalities similar to the
NYSE Arca Adding Liquidity Only Order and the BATS Post Only Order.
    \7\ See Rule 4751(f)(8).
---------------------------------------------------------------------------

2. Statutory Basis
    Nasdaq believes that the proposed rule change is consistent with
Section 6(b) of the Act,\8\ in general, and furthers the objectives of
Section 6(b)(5),\9\ in particular, in that it is 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 facilitating transactions in
securities, 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. Specifically, the Post-Only
Order is designed to encourage displayed liquidity and to offer Nasdaq
users greater discretion and flexibility to post liquidity on Nasdaq.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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

    Nasdaq 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, as amended. To the contrary,
Nasdaq believes that the Post-Only Order is designed to compete with
orders already approved and in use at other national securities
exchanges, thereby enhancing competition between the exchanges.

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

    Because the foregoing 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)
become operative for 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, the proposed rule
change has become effective pursuant to Section 19(b)(3)(A) of the Act
\10\ and subparagraph (f)(6) of Rule 19b-4 thereunder.\11\
---------------------------------------------------------------------------

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

    A proposed rule change filed under Rule 19b-4(f)(6) normally may
not become operative prior to 30 days after the date of filing.\12\
However, Rule 19b-4(f)(6)(iii) \13\ permits the Commission to designate
a shorter time if such action is consistent with the protection of
investors and the public interest. The Exchange has requested that the
Commission waive the 30-day operative delay and designate the proposed
rule change operative upon filing. The Commission believes that waiving
the 30-day operative delay is consistent with the protection of
investors and the public interest. The Commission notes that other
self-regulatory organizations have similar order types \14\ and that
this filing raises no new regulatory issues. Therefore, the Commission
designates the proposal operative upon filing.\15\
---------------------------------------------------------------------------

    \12\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file 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 complied with this requirement.
    \13\ Id.
    \14\ See BATS Exchange, Inc. Rule 11.9(c)(5) and NASDAQ OMX BX,
Inc. Rule 4751(f)(9).
    \15\ For purposes only of waiving the 30-day operative delay of
this proposal, the Commission has considered the proposed rule's
impact on efficiency, competition, and capital formation. 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 No. SR-NASDAQ-2009-006 on the subject line.

Paper Comments
     Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, Securities and Exchange Commission, Station Place, 100 F
Street, NE., Washington, DC 20549-1090.

All submissions should refer to File Number SR-NASDAQ-2009-006. This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/
rules/sro.shtml). Copies of the submission, all subsequent amendments,
all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for inspection
and copying in the Commission's Public Reference Room, on official
business days between the hours of 10 a.m. and 3 p.m. Copies of such
filing also will be available for inspection and copying at the
principal office of Nasdaq. 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-2009-006 and should be submitted on or before
March 13, 2009.

    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,
Deputy Secretary.
[FR Doc. E9-3574 Filed 2-19-09; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register: October 17, 2006 (Volume 71, Number 200)]
[Notices]
[Page 61035-61036]
[DOCID:fr17oc06-74]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP06-71-001]

Carolina Gas Transmission Corporation SCG Pipeline, Inc.; South
Carolina Pipeline Corporation; Notice of Compliance Filing

October 11, 2006.
    Take notice that on September 29, 2006, SCG Pipeline, Inc. and
South Carolina Pipeline Corporation, for themselves and on behalf of
Carolina Gas Transmission Corporation (Carolina Gas) (collectively,
``the SC Pipelines'') submitted for filing the Carolina Gas FERC Gas
Tariff Original Volume 1 in compliance with the Commission's Order
Issuing Certificates, Granting Abandonment Authority, And Approving
Offer Of Settlement, Carolina Gas Transmission Corporation, 116 FERC ]
61,049 (July 20, 2006). The SC Pipelines request that the Commission
approve the tariff effective November 1, 2006.
    Any person desiring to protest this filing must file in accordance
with Rule

211 of the Commission's Rules of Practice and Procedure (18 CFR
385.211). Protests to this filing will be considered by the Commission
in determining the appropriate action to be taken, but will not serve
to make protestants parties to the proceeding. Such protests must be
filed on or before the date as indicated below. Anyone filing a protest
must serve a copy of that document on all the parties to the
proceeding.
    The Commission encourages electronic submission of protests in lieu
of paper using the ``eFiling'' link at http://www.ferc.gov. Persons

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

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

TTY, call<PHONE_NUMBER>.
    Comment Date: 5 p.m. Eastern Time on October 18, 2006.

Magalie R. Salas,
Secretary.
 [FR Doc. E6-17201 Filed 10-16-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register: March 26, 2007 (Volume 72, Number 57)]
[Rules and Regulations]
[Page 14043-14044]
[DOCID:fr26mr07-4]

=======================================================================
-----------------------------------------------------------------------

ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 52 and 81

[EPA-R06-OAR-2006-0386; FRL-8291-6]

Approval and Promulgation of Implementation Plans; Texas; El Paso
County Carbon Monoxide Redesignation to Attainment, and Approval of
Maintenance Plan

AGENCY: Environmental Protection Agency (EPA).

ACTION: Withdrawal of direct final rule.

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

SUMMARY: On January 23, 2007 (72 FR 2776), EPA published a direct final
rule approving the redesignation of the El Paso, Texas, carbon monoxide
(CO) nonattainment area to attainment for the CO National Ambient Air
Quality Standard (NAAQS) and the CO maintenance plan with its
associated Motor Vehicle Emission Budgets (MVEBs). EPA also found the
MVEBs adequate. The direct final action was published without prior
proposal because EPA anticipated no adverse comment. EPA stated in the
direct final rule that if EPA received relevant adverse comment by
February 22, 2007, EPA would publish a timely withdrawal in the Federal
Register. EPA

subsequently received a timely relevant adverse comment on the direct
final rule. Therefore, EPA is withdrawing the direct final approval, as
well as the finding of adequacy for the MVEBs. EPA will address the
comment in a subsequent final action based on the parallel proposal
also published on January 23, 2007 (72 FR 2825).

DATES: The direct final rule published on January 23, 2007 (72 FR
2776), is withdrawn as of March 26, 2007.

FOR FURTHER INFORMATION CONTACT: Jeffrey Riley, Air Planning Section,
(6PD-L), Environmental Protection Agency, Region 6, 1445 Ross Avenue,
Suite 700, Dallas, Texas 75202-2733, telephone<PHONE_NUMBER>; fax
number<PHONE_NUMBER>; e-mail address<EMAIL_ADDRESS>
List of Subjects

40 CFR Part 52

    Environmental protection, Air pollution control, Carbon monoxide,
Intergovernmental relations.

40 CFR Part 82

    Environmental protection, Air pollution control, National parks,
Wilderness areas.

    Dated: March 16, 2007.
Lawrence E. Starfield,
Acting Regional Administrator, Region 6.

0
Accordingly, the amendments to 40 CFR 52.2270(e) and to 40 CFR 81.344
published in the Federal Register on January 23, 2007 (72 FR 2776),
which were to become effective on March 26, 2007, are withdrawn.
 [FR Doc. E7-5482 Filed 3-23-07; 8:45 am]

BILLING CODE 6560-50-P


                               Table of Contents

SECTION I  -  Meeting Overview	2
Tentative Agenda	2
SECTION II - FACOSH Activities	3
A.  Old Business	3
1.  FACOSH Meeting Materials for May 3, 2012 General Meeting.	3
2.  Emerging Issues Subcommittee - Permissible Exposure Limits (PELs).	3
3.  Training Subcommittee.	3
4.  Program & Other Updates from the Office of Federal Agency Programs (OFAP).	4
B.  New Business	6
FACOSH Nominations	6
Federal Safety and Health Managers' Meeting	6
Recordkeeping and Federal Agencies.	6
Revitalizing Field Federal Safety and Health Councils	6
SECTION III - Attachments	7
A.	Federal Advisory Council on Occupational Safety & Health May 3, 2012 Meeting Minutes, Certified
B.	Training Subcommittee Report  -  Recommendations for Consideration by the Secretary of Labor on Uniform Occupational Safety & Health Training Guidelines for the Federal Government
C.	Training Subcommittee Report, Appendix A:  Occupational Safety & Health Training Guidelines for Federal Employees
D.	Training Subcommittee Report, Appendix B:  Standard Operating Procedures for Safety & Health Training
E.	OPM MEMORANDUM, dated June 25, 2012, Report on Recommendations for OPM Consideration on the GS-0018, Safety & Occupational Health Management Job Series
F.	OSHA MEMORANDUM, dated August 13, 2012, Additional Information on the FACOSH Recommendations for the GS-0018, Safety & Occupational Health Management Job Serie
G.	OSHA Regional Administrator Contact Information
H.	FFSHC Award Recipients for Calendar Year 2011
I.	DRAFT:  Recommended Improvements for the Field Federal Safety & Health Council Program
SECTION I  -  Meeting Overview

Agenda (AMENDED)

     Federal Advisory Council on Occupational Safety & Health (FACOSH)

                               October 18, 2012

                                  N-4437, A-D

                                1 pm - 4:30 pm

CALL TO ORDER
      Administrative Items
      Member Introductions

INFORMATIONAL
      May 3, 2012 Meeting Minutes
      Secretary of Labor's Report to the President
      FACOSH Member Nominations
      Recordkeeping Rule Change
      OPM and FACOSH's Recommendations (GS-0018 Job Series)

OLD BUSINESS

      FBPTA Work Group Report/ Recommendations: GSA's Action Plan (GSA)

      Training Subcommittee Reports
      Federal Buildings Personnel Training Act Workgroup
      Model Career Management Plan Workgroup
      Uniform Safety & Health Training Guidelines Workgroup (Vote required)

NEW BUSINESS

      Revitalizing Field Federal Safety & Health Councils (EPA-led discussion)(Vote anticipated)
      E-COMP, and Protecting Our Workers, Ensuring Reemployment (OWCP)

PUBLIC COMMENT (Time Allowing)

NEXT MEETING (April 2013 Timeframe)

CLOSING REMARKS

SECTION II - FACOSH Activities

A.  Old Business

1.  FACOSH Meeting Materials for May 3, 2012 General Meeting.
Meeting materials for the May 3, 2012 FACOSH general meeting are available through the www.regulations.gov website by entering docket number "OSHA-2012-0006" into the key word search field.  In summary, during this meeting, FACOSH deliberated upon and voted to accept, a) the Emerging Issues Subcommittee  -  Permissible Exposure Limits revised recommendations 1, and 2 (Please note that at a previous meeting, the Council accepted the Subcommittee's recommendation 3.); and b) the Training Subcommittee's Federal Buildings Personnel Training Act Workgroup Report, and its corresponding recommendation.  In addition, FACOSH received updates from the Training Subcommittee workgroups concerning uniform training, and training specifically for safety professionals (GS-0018 job series employees).  The FACOSH Chair provided an update on the proposed Recordkeeping Rule changes, and the proposed updates to OSHA's guidance on workplace violence in health care settings (Please see Attachment A for the May 3, 2012 certified meeting minutes.).

2.  Emerging Issues Subcommittee - Permissible Exposure Limits (PELs).

Labor Co-Chair: William "Chico" McGill
International Brotherhood of Electrical Workers (IBEW)

Management Co-Chair:	 Vacant

Update since the May 3, 2012 FACOSH Meeting:
None at this time.

3.  Training Subcommittee.

Labor Co-Chair:	 William Kojola
American Federation of Labor - Congress of Industrial Organizations (AFL-CIO)

Management Co-Chair:	 Dennis Bushta
U.S. Environmental Protection Agency (EPA)

Update since the May 3, 2012 FACOSH Meeting:
1. Secretary Solis approved the Council's Federal Buildings Personnel Training Act Workgroup Report and recommendation.  2. The training workgroups have continued to work on their topics.  3. The Subcommittee plans to present its report, Recommendations for Consideration by the Secretary of Labor on Uniform Occupational Safety & Health Training Guidelines for the Federal Government, to FACOSH for review (Please see attachments B, C, and D).  The report contains a list of recommendations, for OSHA and the Office of Personnel Management (OPM), regarding the development of occupational safety and health (OSH) training guidelines for all staff levels in the Federal Government.  FACOSH will vote to approve the report and its recommendations.  4. The Subcommittee also plans to provide a status update of its progress in developing a model career management plan for the GS-0018 job series, and on the development of training for federal building personnel.

OPM has been provided with FACOSH's recommendations for improving the qualifications standard for the Safety and Occupational Health Management job series.  (Please see attachments E, and F).  The Agency has been asked to review the recommendations which require its action, and develop an action plan, and timeline for evaluating the GS-0018 job series recommendations.  OSHA is continuing to work with OPM regarding the Council's recommendations.

Required Vote:  Tentatively, FACOSH will deliberate upon and vote to accept/not accept the Uniform Training Guidelines workgroup's report and recommendations.  No other votes on the Training Subcommittee workgroups' activities are anticipated.

4.  Program & Other Updates from the Office of Federal Agency Programs (OFAP).

Federal Advisory Committee Act Comprehensive Annual Report of FACOSH Activities.
FACOSH is governed by the Federal Advisory Committee Act (FACA) of 1972, and OFAP routinely updates the FACA Database with the Council's activities.  The FACA database is used by federal agencies to continuously manage an average of 1,000 advisory committees government-wide.  The database is also used by the Congress to perform oversight of related Executive Branch programs, and by the public, the media, and others, to stay abreast of important developments resulting from advisory committee activities.  Among other requirements, FACA requires that the sponsoring federal agency submit a comprehensive annual report through the Department's Committee Management Officer (CMO).  Please note that OSHA has submitted the comprehensive annual report outlining FACOSH's fiscal year (FY) 2012 activities.  Once made publically available through the Department's CMO, it can be viewed at the FACA site, at http://fido.gov/.

Federal Agency Targeting Inspection Program (FEDTARG).
OSHA Regions are in the process of completing FEDTARG 2012 inspections.  The 2013 directive is in the concurrence process.  Once it has received the FY 2012 workers' compensation data from the Office of Workers' Compensation (OWCP), OFAP will identify those federal agencies for inspection under the FEDTARG 2013 program.  We anticipate receipt of the OWCP data in the November  -  December 2012 timeframe.  The OSHA Regions will be provided the 2013 directive and their primary inspection lists shortly thereafter.

Federal Agency Safety & Health Training Week (FEDWEEK) 2012.
FEDWEEK was held July 31 - August 2, 2012 at the OSHA Training Institute (OTI).  The training consisted of nine seminar topics, including: Office Ergonomics, Electrical, Indoor Air Quality, Bloodborne Pathogens, Hazard Communications - Aligning with GHS, Safety & Health Management Systems (SHMS), Hearing Conservation, Recordkeeping, and Workplace Violence.  110 students participated, and accounted for 490 seminar registrations.  The students, from 66 federal agencies and sub-agencies, applauded the training provided.

Field Federal Safety and Health Councils (FFSHCs).
Currently, there are 39 active FFSHCs operating across the country.  Federal agency personnel interested in participating in or establishing a FFSHC should contact the OSHA Regional Administrator in their respective region (Please see Attachment G).  The EPA will lead a discussion on revitalization strategies.
FFSHCs Award Winners.
This year, due to two tied scores in Category I, eleven Councils received FFSHC National Office awards for calendar year 2011.  The awards were distributed to the Regional Offices of the winning councils (Please see Attachment H).

The Secretary of Labor's Report to the President on Federal Department and Agency Occupational Safety and Health Program Activities

2011 Report.  The FY 2011 Secretary of Labor's Report to the President is in the concurrence process.

2012 Request for Information.  The request for information for the 2012 Report was sent to federal agencies on August 23, 2012.  Agencies are required to submit their reports to OFAP no later than January 1, 2013.  Similar to last year's agencies' reports, the FY 2012 Secretary of Labor's Report to the President will include information on injury and illness rates, fatalities and/or catastrophes, and employee training.  However, the 2012 agency report request sought more information on federal agency's safety and health management systems (SHMS).  To this end, each agency is asked to complete a short self-evaluation of its SHMS, and to provide an overall rating of its SHMS with a justification of the rating.  Agencies with Certified Safety and Health Committees are required to complete an additional appendix on this topic.  Details regarding fatalities and catastrophes have also been requested.
SECTION II - FACOSH Activities

B.  New Business

FACOSH Nominations
As is required by FACA, OSHA published a Federal Register notice seeking nominations for FACOSH membership to fill six anticipated vacancies, three management and three labor member positions.  The nominations package has been submitted to the Secretary of Labor for her consideration.

Federal Safety and Health Managers' Meeting
OFAP is in the midst of planning a no-cost to attend, half-day managers' meeting specifically for federal agency OSH managers and professionals.  It is expected that the proposed meeting would serve as an impetus to a future federal training conference.  The initial vision is to motivate OSH managers by inviting prominent OSH professionals to share their success stories, and offer an overall positive message.  OFAP anticipates scheduling a highly-technical general session, possibly presented by NASA, and breakout sessions to facilitate collaboration between federal agency OSH managers on safety and health issues affecting agencies.  Advance registration will provide attendees the opportunity to register for specific work group(s) of interest.  It is being planned that at the conclusion of the breakout sessions, a representative from each group would be asked to summarize their findings and recommendations.  Once finalized, OFAP will publicize the meeting's particulars to FACOSH members.

Recordkeeping and Federal Agencies.
Regarding the Recordkeeping Rule change  -  OSHA has submitted the proposed rule change to the Office of Management & Budget (OMB) for their review.  Currently, OFAP is working through the comments received from federal agencies and OMB.

Revitalizing Field Federal Safety and Health Councils
For over 60 years, field federal safety and health councils (FFSHC) have worked to promote and assist with cooperative exchanges of OSH information among local federal establishments.  In recent years, many of these FFSHCs have become less active.  Contributing to the decline in FFSHC participation is the perception that councils provide little value in support of federal agencies OSH responsibilities.

To make the FFSHC program more effective, several strategies may be worth considering, including: 1) FFSHC participation be promoted among all federal agencies; 2) FFSHCs receive sufficient resources to function; 3) the FFSHC National Award process be refocused to effectively measure how successful councils are in terms of meeting the needs of participating agencies; 4) Federal Executive Boards, and Federal Executive Associations encourage participation in FFSHC activities; and 5) the FFSHC Operations Manual be updated accordingly.  These and other strategies are outlined in the draft document - Recommended Improvements for the Field Federal Safety & Health Council Program (Please see Attachment I).  You may find the document useful as the EPA leads a discussion on revitalization strategies.
SECTION III - Attachments

   A. Federal Advisory Council on Occupational Safety & Health May 3, 2012 Meeting Minutes, Certified

   B. Training Subcommittee Report  -  Recommendations for Consideration by the Secretary of Labor on Uniform Occupational Safety & Health Training Guidelines for the Federal Government

   C. Training Subcommittee Report, Appendix A:  Occupational Safety & Health Training Guidelines for Federal Employees

   D. Training Subcommittee Report, Appendix B:  Standard Operating Procedures for Safety & Health Training

   E. OPM MEMORANDUM, dated June 25, 2012, Report on Recommendations for OPM Consideration on the GS-0018, Safety & Occupational Health Management Job Series

   F. OSHA MEMORANDUM, dated August 13, 2012, Additional Information on the FACOSH Recommendations for the GS-0018, Safety & Occupational Health Management Job Series

   G. OSHA Regional Administrator Contact Information

   H. FFSHC Award Recipients for Calendar Year 2011

   I. DRAFT:  Recommended Improvements for the Field Federal Safety & Health Council Program


[Federal Register Volume 86, Number 46 (Thursday, March 11, 2021)]
[Notices]
[Pages 13935-13939]
[FR Doc No: 2021-05025]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-91262; File No. SR-FINRA-2021-003]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change To Permit Firms To File a Form U4 Based on an
Electronically Signed Copy of the Form

March 5, 2021.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act,'' ``Exchange Act,'' or ``SEA'') \1\ and Rule 19b-4
thereunder,\2\ notice is hereby given that on February 23, 2021, the
Financial Industry Regulatory Authority, Inc. (``FINRA'') filed with
the Securities and Exchange Commission (``SEC'' or ``Commission'') the
proposed rule change as described in Items I and II below, which Items
have been prepared by FINRA. FINRA has designated the proposed rule
change as constituting a ``non-controversial'' rule change under
paragraph (f)(6) of Rule 19b-4 under the Act,\3\ which renders the
proposal effective upon receipt of this filing by the Commission. 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.
    \3\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

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

    FINRA is proposing to amend FINRA Rule 1010 (Electronic Filing
Requirements for Uniform Forms) to permit firms to file a Form U4
(Uniform Application for Securities Industry Registration or Transfer)
based on an electronically signed copy of the form. In addition, FINRA
proposes to make a conforming amendment to FINRA Rule 2263 (Arbitration
Disclosure to Associated Persons Signing or Acknowledging Form U4).
    Below is the text of the proposed rule change. Proposed new
language is italicized; proposed deletions are in brackets.

* * * * *

1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION

1010. Electronic Filing Requirements for Uniform Forms

    (a) through (b) No Change.
    (c) Form U4 Filing Requirements.
    (1) Except as provided in paragraphs (c)(2) and (c)(3) of this
Rule [below], every initial and transfer electronic Form U4 filing
and any amendments to the disclosure information on Form U4 shall be
based on a [manually] signed Form U4 provided to the member or
applicant for membership by the person on whose behalf the Form U4
is being filed. As part of the member's recordkeeping requirements,
it shall retain the person's [manually] signed Form U4 or amendments
to the disclosure information on Form U4 in accordance with SEA Rule
17a-4(e)(1) and make them available promptly upon regulatory
request. An applicant for membership also shall retain in accordance
with SEA Rule 17a-4(e)(1) every [manually] signed Form U4 it
receives during the application process and make them available
promptly upon regulatory request.
    (2) A member may file electronically amendments to the
disclosure information on Form U4 without obtaining the subject
associated person's [manual] signature on the form, provided that
the member shall use reasonable efforts to:
    (A) Provide the associated person with a copy of the amended
disclosure information prior to filing; and
    (B) obtain the associated person's written acknowledgment (which
may be electronic) prior to filing that the information has been
received and reviewed. As part of the member's recordkeeping
requirements, the member shall retain this acknowledgment in
accordance with SEA Rule 17a-4(e)(1) and make it available promptly
upon regulatory request.
    (3) In the event a member is not able to obtain an associated
person's [manual] signature or written acknowledgement of amended
disclosure information on Form U4 prior to filing of such
information pursuant

to paragraph (c)(1) or (2), the member is obligated to file the
disclosure information as to which it has knowledge in accordance
with Article V, Section 2 of the FINRA By-Laws. The member shall use
reasonable efforts to provide the associated person with a copy of
the amended disclosure information that was filed.
    (4) No Change.
    (d) through (e) No Change.

   Supplementary Material

    .01 through .02 No Change.
    .03 Filing of Amendments Involving Disclosure Information. In
the event a member is not able to obtain an associated person's
[manual] signature or written acknowledgement of amended disclosure
information on that person's Form U4 prior to filing of such
amendment reflecting the information pursuant to paragraph (c)(3) of
this Rule (examples of reasons why a member may not be able to
obtain the [manual] signature or written acknowledgement may
include, but are not limited to, the associated person refuses to
acknowledge such information, is on active military service or
otherwise is unavailable during the period provided for filing of
such amendments under Article V of the FINRA By-Laws), the member
shall enter ``Representative Refused to Sign/Acknowledge'' or
``Representative Not Available'' or a substantially similar entry in
the electronic Form U4 field for the associated person's signature.
    .04 No Change.
* * * * *

2200. COMMUNICATIONS AND DISCLOSURES

* * * * *

2260. Disclosures

* * * * *

2263. Arbitration Disclosure to Associated Persons Signing or
Acknowledging Form U4

    A member shall provide an associated person with the following
written statement whenever the associated person is asked, pursuant
to FINRA Rule 1010, to [manually] sign an initial or amended Form
U4, or otherwise provide written (which may be electronic)
acknowledgment of an amendment to the Form U4:
    The Form U4 contains a predispute arbitration clause. It is in
item 5 of Section 15A of the Form U4. You should read that clause
now. Before signing the Form U4, you should understand the
following:
    (1) through (8) No Change.

* * * * *

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
Background
    FINRA has been conducting an ongoing review of its rulebook to
identify and amend rules to permit the use of electronic signatures.
For instance, in 2019, FINRA amended Rule 4512 (Customer Account
Information) to provide firms the option of obtaining the electronic
signature of authorized associated persons who are exercising
investment discretion.\4\ Rule 1010 is the last remaining FINRA rule
that expressly requires a manual signature.
---------------------------------------------------------------------------

    \4\ See Regulatory Notice 19-13 (April 2019).
---------------------------------------------------------------------------

    Specifically, Rule 1010(c) (Form U4 Filing Requirements) currently
requires that every initial and transfer Form U4 filed with FINRA by a
member, or an applicant for membership, be based on a manually signed
copy of the Form U4 provided to the member, or applicant for
membership, by the individual on whose behalf the Form U4 is being
filed.\5\ The member, or applicant for membership, must obtain the
manually signed copy of the Form U4 prior to filing the CRD Form U4
with FINRA.
---------------------------------------------------------------------------

    \5\ See Rule 1010(c)(1). Members, and applicants for membership,
file initial, transfer and amended Form U4s electronically with
FINRA through the Central Registration Depository (``CRD[supreg]'')
system (the ``CRD Form U4'').
---------------------------------------------------------------------------

    For any amendments to the disclosure information on the CRD Form U4
filed with FINRA, Rule 1010(c) currently provides a member the option
of filing the CRD Form U4 based on: (1) A manually signed copy of the
amended Form U4 provided to the member prior to the filing by the
associated person on whose behalf the amended Form U4 is being filed;
or (2) a written acknowledgment (which may be electronic) from the
associated person prior to the filing that the amended disclosure
information was received and reviewed.\6\ If the member cannot obtain
either the manual signature or the written acknowledgment prior to the
filing, the firm must still proceed with filing the amended disclosure
information as to which it has knowledge and use reasonable efforts to
provide the associated person with a copy of the amended disclosure
information that was filed with FINRA.\7\
---------------------------------------------------------------------------

    \6\ See Rules 1010(c)(1) and (c)(2).
    \7\ See Rule 1010(c)(3). In such cases, the firm must enter
``Representative Refused to Sign/Acknowledge,'' ``Representative Not
Available,'' or a substantially similar entry in the CRD Form U4
signature field for the associated person's signature. See Rule
1010.03 (Filing of Amendments Involving Disclosure Information).
---------------------------------------------------------------------------

    Neither the manually signed copy of the Form U4 nor the written
acknowledgment is filed with FINRA, but rather is used for
authentication and evidentiary purposes.\8\ The manually signed copy
and, if applicable, the written acknowledgment must be retained by the
member, or applicant for membership, in accordance with SEC rules and
made available promptly upon regulatory request.\9\
---------------------------------------------------------------------------

    \8\ For the purposes of the CRD Form U4 filing, the member, or
applicant for membership, must type the individual's name in the CRD
Form U4 signature field to indicate that the individual has signed
the form or acknowledged the information in the form.
    \9\ See Rules 1010(c)(1) and (c)(2). For record retention
purposes, such records may be preserved on any of the acceptable
media specified in SEA Rule 17a-4, including electronic storage
media consistent with SEA Rule 17a-4(f). The records must be
retained for at least three years after the associated person's
employment and any other connection with the firm has terminated.
---------------------------------------------------------------------------

    In addition, Rule 2263 currently requires a firm to provide each
associated person with certain written disclosures regarding the nature
and process of arbitration proceedings whenever the firm asks an
associated person, pursuant to Rule 1010(c), to ``manually'' sign a
Form U4, or to otherwise provide written acknowledgment of an amendment
to the firm.
    As noted above, FINRA has been amending its rules on an ongoing
basis to permit the use of electronic signatures, and Rule 1010 is the
last remaining rule that specifically requires a manual signature. In
addition, the COVID-19 pandemic has amplified the need to permit the
use of electronic signatures. In 2020, in response to the outbreak of
the COVID-19 pandemic, FINRA began providing temporary relief to member
firms from FINRA rules and requirements via frequently asked questions
(``FAQs'') on its website.\10\ One of these FAQs temporarily permits
firms to file an initial or a transfer Form U4 with FINRA prior to
obtaining the manual signature of the applicant.\11\
---------------------------------------------------------------------------

    \10\ See Frequently Asked Questions Related to Regulatory Relief
Due to the Coronavirus Pandemic, available at https://www.finra.org/rules-guidance/key-topics/covid-19/faq.
    \11\ See Temporary Relief Relating to Rule 1010 (Electronic
Filing Requirements for Uniform Forms) (added March 18, 2020),
available at https://www.finra.org/rules-guidance/key-topics/covid-19/faq#indiv.
---------------------------------------------------------------------------

Proposed Rule Change
    To facilitate the use of electronic signatures and to provide
members, and applicants for membership, with an

opportunity to better manage the operational challenges presented by
the current pandemic, FINRA proposes to amend Rule 1010(c) to provide
the option of filing an initial or a transfer CRD Form U4 with FINRA
based on a manually or an electronically signed copy of the form
provided to the member, or applicant for membership, by the individual
on whose behalf the form is being filed.\12\ With respect to any
amendments to the disclosure information on the CRD Form U4 filed with
FINRA, the proposed rule change provides a member the option of filing
such amendments based on a manually or an electronically signed copy of
the amended Form U4 provided to the member by the associated person on
whose behalf the Form U4 is being filed.\13\
---------------------------------------------------------------------------

    \12\ See proposed Rule 1010(c)(1). FINRA is providing additional
guidance on its website regarding the obligations of firms under
Rule 1010(c) during the ongoing COVID-19 pandemic. See Frequently
Asked Questions Related to Regulatory Relief Due to the Coronavirus
Pandemic, available at https://www.finra.org/rules-guidance/key-topics/covid-19/faq.
    \13\ See proposed Rule 1010(c)(1). For any amendments to the
disclosure information on the CRD Form U4 filed with FINRA, the
member would not be required to obtain a manually or an
electronically signed copy of the form from the associated person,
provided that the member obtains the associated person's written
acknowledgment (which may be electronic) prior to the filing, as
currently specified in Rule 1010(c)(2). Moreover, as currently
specified in Rule 1010(c)(3), if the member cannot obtain either the
manual or electronic signature of the associated person or the
written acknowledgment of the associated person prior to the filing,
the member must still proceed with filing the amended disclosure
information as to which it has knowledge and use reasonable efforts
to provide the associated person with a copy of the amended
information that was filed with FINRA.
---------------------------------------------------------------------------

    Firms that choose to rely on a copy of the Form U4 electronically
signed by the associated person will be required to retain the copy in
accordance with SEC rules and make it available promptly upon
request.\14\ The proposed rule change would not require the use of a
particular type of technology to obtain a valid electronic signature
from the associated person. For purposes of the proposed rule change, a
valid electronic signature would be any electronic mark that clearly
identifies the signatory and is otherwise in compliance with the
Electronic Signatures in Global and National Commerce Act (``E-Sign
Act''), the guidance issued by the SEC relating to the E-Sign Act, and
the guidance provided by FINRA staff through interpretive letters.\15\
---------------------------------------------------------------------------

    \14\ See proposed Rules 1010(c)(1) and (c)(2). These
requirements are consistent with the current requirements for a
manually signed copy.
    \15\ See accord Securities Exchange Act Release No. 85282 (March
11, 2019), 84 FR 9573 (March 15, 2019) (Order Approving File No. SR-
FINRA-2018-040) (discussing valid electronic signatures under
existing guidance).
---------------------------------------------------------------------------

    In conjunction with the proposed change to Rule 1010(c), FINRA
proposes to make a conforming change to Rule 2263 to remove the
reference to ``manual'' signature.
    The proposed rule change is consistent with the SEC's recent
amendments to Regulation S-T and the Electronic Data Gathering,
Analysis, and Retrieval system (``EDGAR'') Filer Manual to permit the
use of electronic signatures in signature authentication documents
required under Regulation S-T in connection with electronic filings on
EDGAR that are required to be signed.\16\
---------------------------------------------------------------------------

    \16\ See Electronic Signatures in Regulation S-T Rule 302,
Securities Exchange Act Release No. 90441 (November 17, 2020), 85 FR
78224 (December 4, 2020).
---------------------------------------------------------------------------

    FINRA has filed the proposed rule change for immediate
effectiveness and has requested that the SEC waive the requirement that
the proposed rule change not become operative for 30 days after the
date of the filing so that FINRA can implement the proposed rule change
immediately.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\17\ 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. The proposed rule change provides firms with the
flexibility to rely on electronic signatures to satisfy the signature
requirements of Rule 1010. Considering the technological advancements
that provide for enhanced authentication and security of electronic
signatures, FINRA believes that it is appropriate to amend Rule 1010 to
provide such flexibility. The proposed rule change also addresses the
on-going public health risks stemming from the outbreak of COVID-19 and
the operational challenges facing firms. Significantly, FINRA
understands that some firms are still unable to obtain the manual
signature of applicants for registration resulting in a significant
operational backlog. By immediately permitting these firms to rely on
electronic signatures to satisfy the signature requirements of Rule
1010, the proposed rule change will reduce or eliminate this backlog.
---------------------------------------------------------------------------

    \17\ 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.
Economic Impact Assessment
1. Regulatory Objective
    Members, and applicants for membership, file initial, transfer and
amended Form U4s electronically with FINRA through the CRD system. Rule
1010(c) currently requires that certain Form U4s filed through the CRD
system be based on a manually signed copy of the form provided to a
member, or an applicant for membership, by the individual (applicant
for registration or associated person) on whose behalf the form is
being filed. This requires that the individual on whose behalf the form
is filed manually sign a printed hard copy of the completed form and
return it to the member or applicant for membership. Upon receiving the
manually signed copy of the form, the member, or applicant for
membership, may proceed with filing the electronic version of the form
through the CRD system. The manually signed copy of the Form U4 is not
filed with FINRA. For purposes of the CRD filing, the member, or
applicant for membership, types the individual's name in the signature
field of the electronic form in the CRD system to indicate that the
individual has signed the form. However, the member, or applicant for
membership, must retain the manually signed copy for record retention
purposes and make it available promptly upon regulatory request. The
manually signed copy may be retained in hard copy form or on compliant
electronic storage media. The signature requirement is for
authentication and evidentiary purposes.
    The COVID-19 outbreak has amplified the need for providing members,
and applicants for membership, the flexibility to obtain the electronic
signature of the individual on whose behalf the Form U4 is being filed.
As noted above, the SEC recently amended its rules to provide similar
relief.\18\ Further, with enhanced authentication and security of
electronic signatures created through technological development, FINRA
believes that it is appropriate to amend Rule 1010(c) to provide such
flexibility.
---------------------------------------------------------------------------

    \18\ See supra note 16.

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

2. Economic Baseline
    Under the current signature requirement, the completed Form U4 must
be printed in hard copy and manually signed by the individual on whose
behalf the form is being filed. The individual may manually sign it in
person at the member's, or applicant for membership's, location.
Alternatively, the individual may manually sign it and return it to the
member, or applicant for membership, by mailing it back or by scanning
and emailing it back.\19\ Upon receiving the manually signed copy of
the form, the member, or applicant for membership, can proceed with
filing the electronic version of the form through the CRD system. The
manually signed copy must be retained for at least three years after
the associated person's employment and any other connection with the
member has terminated, and it is subject to examination by regulators.
---------------------------------------------------------------------------

    \19\ There is currently no data on how the wet signature is
being returned to the member, specifically the extent to which it
was mailed, scanned and emailed, or signed in person.
---------------------------------------------------------------------------

    As of the end of 2019, there were approximately 625,000 registered
persons. In addition, approximately one million initial, transfer and
amended Form U4s were filed with FINRA in 2019. Each such filing
subject to a manual signature process requires labor time and costs
associated with printing, scanning or mailing.\20\ If the manually
signed copies are stored in a hard copy form, there are costs
associated with such storage.
---------------------------------------------------------------------------

    \20\ As previously noted, for Form U4 amendments to disclosure
information, the member is not required to obtain a signed copy of
the form from the associated person, provided that the member
obtains the associated person's written acknowledgement or the
member files the amendment consistent with the conditions described
in Rule 1010.03. In addition, for Form U4 amendments to
administrative information, the member is not required to obtain the
associated person's signature or written acknowledgment. See Rule
1010(c)(4).
---------------------------------------------------------------------------

3. Economic Impact
    The proposed rule change would permit individuals on whose behalf
the Form U4 is filed to provide an electronic signature, as an
additional option to a manual signature, to evidence that they have
signed the form. The proposed rule change is expected to generate cost
savings for such individuals as well as for members and applicants for
membership. Specifically, they may experience the saving of time and
costs related to printing and, in some cases, mailing the wet
signatures. Firms may also experience the saving of costs related to
the storage of records as the proposed rule change gives them the
ability to turn the entire Form U4 filing process electronic. The
extent of the cost saving is, however, not uniform across the filings
and cannot be estimated in aggregate for two reasons. First, as noted,
we do not know how the individuals are currently returning the wet
signature to the member, by mail, email of the scanned copy, or in-
person signature. The expected cost saving would be greater for
transactions shifting from in-person or mail signature to electronic
signature and less for changes from emailing of the scanned copy to
electronically signing it. Second, we do not know the nature of the
Form U4 amendments, some of which currently do not require a
signature.\21\
---------------------------------------------------------------------------

    \21\ See supra note 20.
---------------------------------------------------------------------------

    The proposed rule change implies limited costs and minimal
distributional impacts by giving individuals the option, not the
requirement, to sign electronically. Individuals and firms would choose
to adopt electronic signatures if they perceive the expected benefits
exceeding the expected costs. The costs of obtaining electronic
signature software would be greatest for first time users, either
through a third-party provider or in-house developed software. In
circumstances where firms already have the software for doing business,
the incremental cost of extending the usage to the Form U4 copy would
be minimal.
Alternatives Considered
    For initial and transfer Form U4s, FINRA considered whether to
provide members, and applicants for membership, the option of obtaining
the written acknowledgment of the individual on whose behalf the form
is being filed, rather than obtaining the individual's manual or
electronic signature on the Form U4 copy. FINRA determined not to
provide this option. FINRA believes that it is important to have clear
evidence of an individual's execution of an initial or a transfer Form
U4, including his or her agreement to the attestations set forth in the
form.

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

    Because the foregoing 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)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \22\ and Rule 19b-
4(f)(6) thereunder.\23\
---------------------------------------------------------------------------

    \22\ 15 U.S.C. 78s(b)(3)(A).
    \23\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) normally does
not become operative for 30 days after the date of filing. However,
pursuant to Rule 19b-4(f)(6)(iii), the Commission may designate a
shorter time if such action is consistent with the protection of
investors and the public interest. FINRA has asked the Commission to
waive the 30-day operative delay so that the proposed rule change may
become operative immediately upon filing.
    The Commission notes that the proposed rule change does not impose
any new obligations on FINRA members or applicants for membership.
Instead, the proposed rule change provides members and applicants for
membership with the flexibility to use either manual or electronic
signatures on their Form U4, which is consistent with the temporary
COVID-19 relief that FINRA has provided.\24\ As discussed above, the
proposed rule change also eliminates the need for members and
applicants for membership to obtain a manual signature pursuant to
FINRA's temporary COVID-19 relief, if they choose to rely on an
electronic signature pursuant to the amended rules. As FINRA stated
above, the proposed rule change would provide members and applicants
for membership with an opportunity to better manage the operational
challenges presented by the current pandemic by facilitating the use of
electronic signatures.\25\ FINRA stated that the COVID-19 pandemic
amplified the need to permit the use of electronic signatures, and
FINRA responded to this need by providing temporary relief via an FAQ
on its website permitting firms to file an initial or a transfer Form
U4 with FINRA prior to obtaining the manual signature of the
applicant.\26\ The Commission believes that waiving the 30-day
operative delay would aid members and applicants for membership by
providing them with the option to immediately rely on an electronic
signature pursuant to this rule, as well as promote operational
efficiency by allowing FINRA to immediately update its existing
guidance regarding the obligations of

members and applicants for membership under Rule 1010(c) in its
temporary COVID-19 relief to reflect the proposed rule change. For
these reasons, the Commission believes that waiver of the 30-day
operative delay is consistent with the protection of investors and the
public interest. Accordingly, the Commission hereby waives the 30-day
operative delay and designates the proposal operative upon filing.\27\
---------------------------------------------------------------------------

    \24\ See supra notes 10, 11.
    \25\ See supra note 12 and accompanying text.
    \26\ See supra notes 10, 11 and accompanying text.
    \27\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule change'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 summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-FINRA-2021-003 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-FINRA-2021-003. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of such filing also will be available for inspection
and copying at the principal office of FINRA. All comments received
will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-FINRA-2021-003 and should be submitted
on or before April 1, 2021.
---------------------------------------------------------------------------

    \28\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\28\
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-05025 Filed 3-10-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 82, Number 99 (Wednesday, May 24, 2017)]
[Notices]
[Pages 23802-23803]
[FR Doc No: 2017-10599]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #2

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

    Docket Numbers: ER11-1858-006.
    Applicants: NorthWestern Corporation.
    Description: Supplement to June 29, 2016 Triennial Market Power
Analysis for the Northwest Region of NorthWestern Corporation.
    Filed Date: 5/18/17.
    Accession Number: 20170518-5125.
    Comments Due: 5 p.m. ET 6/8/17.

    Docket Numbers: ER16-2569-004.
    Applicants: The Dayton Power and Light Company.
    Description: Compliance filing: DP&L Settlement Compliance Filing
(correction) to be effective 11/8/2016.
    Filed Date: 5/18/17.
    Accession Number: 20170518-5092.
    Comments Due: 5 p.m. ET 6/8/17.

    Docket Numbers: ER17-1099-002.
    Applicants: Arizona Public Service Company.
    Description: Compliance filing: Compliance Filing--Attachment H
Tariff with Approved Revised Protocols to be effective 6/1/2017.
    Filed Date: 5/12/17.
    Accession Number: 20170512-5193.
    Comments Due: 5 p.m. ET 6/2/17.

    Docket Numbers: ER17-1507-001.
    Applicants: Tucson Electric Power Company.
    Description: Tariff Amendment: Amendment to Rate Schedule No. 321
Filing to be effective 6/28/2017.
    Filed Date: 5/18/17.
    Accession Number: 20170518-5080.
    Comments Due: 5 p.m. ET 6/8/17.

    Docket Numbers: ER17-1568-001.
    Applicants: Southwest Power Pool, Inc.
    Description: Compliance filing: Amended Order No. 831 Compliance
Filing to be effective 4/1/2019.
    Filed Date: 5/18/17.
    Accession Number: 20170518-5132.
    Comments Due: 5 p.m. ET 6/8/17.

    Docket Numbers: ER17-1621-000.
    Applicants: New York Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: 205 revisions to OATT 37
Coordination Agreement NYISO-ISONE to be effective 8/1/2017.
    Filed Date: 5/18/17.
    Accession Number: 20170518-5045.
    Comments Due: 5 p.m. ET 6/8/17.

    Docket Numbers: ER17-1622-000.
    Applicants: J. Aron & Company LLC.
    Description: Sec.  205(d) Rate Filing: Notice of Sucession to be
effective 5/18/2017.
    Filed Date: 5/18/17.
    Accession Number: 20170518-5046.
    Comments Due: 5 p.m. ET 6/8/17.

    Docket Numbers: ER17-1623-000.
    Applicants: Southwestern Public Service Company.
    Description: Tariff Cancellation: RS 140_142_144 NOC Filing to be
effective 6/1/2017.
    Filed Date: 5/18/17.
    Accession Number: 20170518-5055.
    Comments Due: 5 p.m. ET 6/8/17.

    Docket Numbers: ER17-1624-000.
    Applicants: New York Independent System Operator, Inc.
    Description: Notice of cancellation of of a Small Generator
Interconnection Service Agreement No. 1483 of New York Independent
System Operator, Inc.
    Filed Date: 5/18/17.
    Accession Number: 20170518-5062.
    Comments Due: 5 p.m. ET 6/8/17.

    Docket Numbers: ER17-1625-000.
    Applicants: ISO New England Inc., New England Power Pool
Participants Committee.
    Description: Sec.  205(d) Rate Filing: Pricing Provisions for Sales
of Emergency Energy to Neighboring Control Areas to be effective 8/1/
2017.
    Filed Date: 5/18/17.
    Accession Number: 20170518-5063.
    Comments Due: 5 p.m. ET 6/8/17.

    Docket Numbers: ER17-1626-000.
    Applicants: Castleton Commodities Merchant Trading L.P., Roseton
Generating LLC.
    Description: Request for Waiver of Castleton Commodities Merchant
Trading L.P. and Roseton Generating LLC.
    Filed Date: 5/18/17.
    Accession Number: 20170518-5091.
    Comments Due: 5 p.m. ET 6/8/17.

    Docket Numbers: ER17-1627-000.
    Applicants: California Independent System Operator Corporation.
    Description: Sec.  205(d) Rate Filing: 2017-05-18 Amendment 1
Approved Project Sponsor Agreement Sycamore Penasquitos to be effective
7/18/2017.
    Filed Date: 5/18/17.
    Accession Number: 20170518-5093.
    Comments Due: 5 p.m. ET 6/8/17.

    Docket Numbers: ER17-1628-000.
    Applicants: California Independent System Operator Corporation.
    Description: Sec.  205(d) Rate Filing: 2017-05-18 Amendment 1
Approved Project Sponsor Agreement Gates-Gregg to be effective 7/18/
2017.
    Filed Date: 5/18/17.
    Accession Number: 20170518-5103.

    Comments Due: 5 p.m. ET 6/8/17.

    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: May 18, 2017.
Kimberly D. Bose,
Secretary.
[FR Doc. 2017-10599 Filed 5-23-17; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 83, Number 31 (Wednesday, February 14, 2018)]
[Notices]
[Pages 6694-6697]
[FR Doc No: 2018-03064]

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

DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2018-0006]

Qualification of Drivers; Exemption Applications; Vision

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

ACTION: Notice of applications for exemption; request for comments.

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

SUMMARY: FMCSA announces receipt of applications from 11 individuals
for an exemption from the vision requirement in the Federal Motor
Carrier Safety Regulations (FMCSRs) to operate a commercial motor
vehicle (CMV) in interstate commerce. If granted, the exemptions will
enable these individuals to operate CMVs in interstate commerce without
meeting the vision requirement in one eye.

DATES: Comments must be received on or before March 16, 2018.

ADDRESSES: You may submit comments bearing the Federal Docket
Management System (FDMS) Docket No. FMCSA-2018-0006 using any of the
following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the online instructions for submitting
comments.
     Mail: Docket Management Facility; U.S. Department of
Transportation, 1200 New Jersey Avenue SE, West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery: West Building Ground Floor, Room W12-140,
1200 New Jersey Avenue SE, Washington, DC, between 9 a.m. and 5 p.m.,
e.t., Monday through Friday, except Federal Holidays.
     Fax: 1-202-493-2251.
    Instructions: Each submission must include the Agency name and the
docket number(s) for this notice. Note that all comments received will
be posted without change to http://www.regulations.gov, including any
personal information provided. Please see the Privacy Act heading below
for further information.
    Docket: For access to the docket to read background documents or
comments, go to http://www.regulations.gov at any time 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., e.t., Monday through Friday,
except Federal holidays. The FDMS is available 24 hours each day, 365
days each year. If you want acknowledgment that we received your
comments, please include a self-addressed, stamped envelope or postcard
or print the acknowledgement page that appears after submitting
comments online.
    Privacy Act: In accordance with 5 U.S.C. 553(c), DOT solicits
comments from the public to better inform its rulemaking process. DOT
posts these comments, without edit, including any personal information
the commenter provides, to http://www.regulations.gov, as described in
the system of records notice (DOT/ALL-14 FDMS), which can be reviewed
at http://www.dot.gov/privacy.

FOR FURTHER INFORMATION CONTACT: Ms. Christine A. Hydock, Chief,
Medical Programs Division,<PHONE_NUMBER>, [email protected], FMCSA,

Department of Transportation, 1200 New Jersey Avenue SE, Room W64-224,
Washington, DC 20590-0001. Office hours are 8:30 a.m. to 5 p.m., e.t.,
Monday through Friday, except Federal holidays. If you have questions
regarding viewing or submitting material to the docket, contact Docket
Services, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    Under 49 U.S.C. 31136(e) and 31315, FMCSA may grant an exemption
from the FMCSRs for a five-year period if it finds ``such exemption
would likely achieve a level of safety that is equivalent to or greater
than the level that would be achieved absent such exemption.'' The
statute also allows the Agency to renew exemptions at the end of the
five-year period. FMCSA grants exemptions from the FMCSRs for a two-
year period to align with the maximum duration of a driver's medical
certification.
    The 11 individuals listed in this notice have requested an
exemption from the vision requirement in 49 CFR 391.41(b)(10).
Accordingly, the Agency will evaluate the qualifications of each
applicant to determine whether granting an exemption will achieve the
required level of safety mandated by statute.
    The physical qualification standard for drivers regarding vision
found in 49 CFR 391.41(b)(10) states that a person is physically
qualified to drive a CMV if that person has distant visual acuity of at
least 20/40 (Snellen) in each eye without corrective lenses or visual
acuity separately corrected to 20/40 (Snellen) or better with
corrective lenses, distant binocular acuity of at least 20/40 (Snellen)
in both eyes with or without corrective lenses, field of vision of at
least 70[deg] in the horizontal Meridian in each eye, and the ability
to recognize the colors of traffic signals and devices showing standard
red, green, and amber.
    In July 1992, the Agency first published the criteria for the
Vision Waiver Program, which listed the conditions and reporting
standards that CMV drivers approved for participation would need to
meet (Qualification of Drivers; Vision Waivers, 57 FR 31458, July 16,
1992). The current Vision Exemption Program was established in 1998,
following the enactment of amendments to the statutes governing
exemptions made by Sec.  4007 of the Transportation Equity Act for the
21st Century (TEA-21), Public Law 105-178, 112 Stat. 107, 401 (June 9,
1998). Vision exemptions are considered under the procedures
established in 49 CFR part 381 subpart C, on a case-by-case basis upon
application by CMV drivers who do not meet the vision standards of 49
CFR 391.41(b)(10).
    To qualify for an exemption from the vision requirement, FMCSA
requires a person to present verifiable evidence that he/she has driven
a commercial vehicle safely with the vision deficiency for the past
three years. Recent driving performance is especially important in
evaluating future safety, according to several research studies
designed to correlate past and future driving performance. Results of
these studies support the principle that the best predictor of future
performance by a driver is his/her past record of crashes and traffic
violations. Copies of the studies may be found at Docket Number FMCSA-
1998-3637.
    FMCSA believes it can properly apply the principle to monocular
drivers, because data from the Federal Highway Administration's (FHWA)
former waiver study program clearly demonstrated the driving
performance of experienced monocular drivers in the program is better
than that of all CMV drivers collectively (See 61 FR 13338, 13345,
March 26, 1996). The fact that experienced monocular drivers
demonstrated safe driving records in the waiver program supports a
conclusion that other monocular drivers, meeting the same qualifying
conditions as those required by the waiver program, are also likely to
have adapted to their vision deficiency and will continue to operate
safely.
    The first major research correlating past and future performance
was done in England by Greenwood and Yule in 1920. Subsequent studies,
building on that model, concluded that crash rates for the same
individual exposed to certain risks for two different time periods vary
only slightly (See Bates and Neyman, University of California
Publications in Statistics, April 1952). Other studies demonstrated
theories of predicting crash proneness from crash history coupled with
other factors. These factors--such as age, sex, geographic location,
mileage driven and conviction history--are used every day by insurance
companies and motor vehicle bureaus to predict the probability of an
individual experiencing future crashes (See Weber, Donald C.,
``Accident Rate Potential: An Application of Multiple Regression
Analysis of a Poisson Process,'' Journal of American Statistical
Association, June 1971). A 1964 California Driver Record Study prepared
by the California Department of Motor Vehicles concluded that the best
overall crash predictor for both concurrent and nonconcurrent events is
the number of single convictions. This study used three consecutive
years of data, comparing the experiences of drivers in the first two
years with their experiences in the final year.

II. Qualifications of Applicants

Russell A. Anklam

    Mr. Anklam, 52, has had amblyopia in his left eye since childhood.
The visual acuity in his right eye is 20/25, and in his left eye, 20/
200. Following an examination in 2017, his optometrist stated, ``Based
on Mr. Anklam's good peripheral vision in each eye and his exceptional
driving record, I feel he is more than qualified to operate a
commercial vehicle.'' Mr. Anklam reported that he has driven straight
trucks for 30 years, accumulating 3.6 million miles, tractor-trailer
combinations for 15 years, accumulating 1.2 million miles, and buses
for five years, accumulating 250,000 miles. He holds a Class ABCDM CDL
from Wisconsin. His driving record for the last three years shows no
crashes and no convictions for moving violations in a CMV.

Rodney P. Barfield

    Mr. Barfield, 50, has a prosthetic right eye due to a traumatic
incident in childhood. The visual acuity in his right eye is no light
perception, and in his left eye, 20/20. Following an examination in
2017, his ophthalmologist stated, ``It is my opinion that Rodney
Barfield has sufficient vision to operate a commercial motor vehicle
safely, there should be no restrictions imposed.'' Mr. Barfield
reported that he has driven straight trucks for seven years,
accumulating 315,000 miles, and tractor-trailer combinations for 19
years, accumulating 2,660,000 miles. He holds a Class A CDL from
Georgia. His driving record for the last three years shows no crashes
and no convictions for moving violations in a CMV.

Kenneth W. Blake, Jr.

    Mr. Blake, 60, has had central serous chorioretinopathy in his left
eye since August 2014. The visual acuity in his right eye is 20/20, and
in his left eye, 20/100. Following an examination in 2017, his
optometrist stated, ``In my medical opinion, he has sufficient vision
to operate a commercial vehicle.'' Mr. Blake reported that he has
driven straight trucks for 18 years, accumulating 180,000 miles. He
holds a Class B CDL from Kansas. His driving record for the last three
years shows no crashes and no convictions for moving violations in a
CMV.

Efrain R. Cisneros

    Mr. Cisneros, 54, has aphakia in his left eye due to a traumatic
incident in childhood. The visual acuity in his right eye is 20/20, and
in his left eye, 20/400. Following an examination in 2017, his
optometrist stated, ``Excellent vision in the right eye, able to
perform driving tasks of a commercial vehicle.'' Mr. Cisneros reported
that he has driven straight trucks for 11 years, accumulating 528,000
miles, and tractor-trailer combinations for four years, accumulating
300,000 miles. He holds a Class A CDL from California. His driving
record for the last three years shows no crashes and no convictions for
moving violations in a CMV.

Justin D. Craft

    Mr. Craft, 57, has corneal scarring in his left eye due to a
traumatic incident in childhood. The visual acuity in his right eye is
20/20, and in his left eye, light perception. Following an examination
in 2017, his optometrist stated, ``Mr. Craft has sufficient vision to
perform driving tasks required to operate a commercial vehicle.'' Mr.
Craft reported that he has driven straight trucks for 16 years,
accumulating 400,000 miles. He holds an operator's license from
Arkansas. His driving record for the last three years shows no crashes
and no convictions for moving violations in a CMV.

James E. Haener

    Mr. Haener, 66, has a corneal scar in his right eye due to a
traumatic incident in childhood. The visual acuity in his right eye is
hand motion, and in his left eye, 20/20. Following an examination in
2017, his optometrist stated, ``In my medical opinion, James Haener has
sufficient vision to perform the driving tasks required to operate a
commercial vehicle.'' Mr. Haener reported that he has driven straight
trucks for 45 years, accumulating 225,000 miles, and tractor-trailer
combinations for 45 years, accumulating 225,000 miles. He holds a Class
A CDL from Idaho. His driving record for the last three years shows no
crashes and no convictions for moving violations in a CMV.

Curvin L. Martin

    Mr. Martin, 40, has had amblyopia in his right eye since childhood.
The visual acuity in his right eye is 20/70, and in his left eye, 20/
20. Following an examination in 2017, his optometrist stated, ``In my
opinion, Mr. Martin has sufficient vision to perform the driving tasks
required to operate a commercial vehicle.'' Mr. Martin reported that he
has driven tractor-trailer combinations for 19 years, accumulating 1.9
million miles. He holds a Class A CDL from Pennsylvania. His driving
record for the last three years shows no crashes and one conviction for
a moving violation in a CMV; he disregarded a traffic lane.

Robert L. Redding

    Mr. Redding, 54, has aphakia in his left eye due to a traumatic
incident in childhood. The visual acuity in his right eye is 20/20, and
in his left eye, 20/800. Following an examination in 2017, his
optometrist stated, ``Please let this letter serve as notice that Mr.
Redding does have sufficient vision to perform the driving tasks
required to operate a commercial motor vehicle.'' Mr. Redding reported
that he has driven straight trucks for 21 years, accumulating 315,000
miles. He holds a Class B CDL from North Carolina. His driving record
for the last three years shows no crashes and no convictions for moving
violations in a CMV.

Gerald L. Wheeler

    Mr. Wheeler, 54, has had amblyopia in his left eye since childhood.
The visual acuity in his right eye is 20/20, and in his left eye, 20/
200. Following an examination in 2017, his optometrist stated, ``Mr.
Wheeler has, in my opinion, sufficient vision to perform the driving
tasks required to operate a commercial vehicle.'' Mr. Wheeler reported
that he has driven straight trucks for 15 years, accumulating 300,000
miles. He holds an operator's license from Florida. His driving record
for the last three years shows no crashes and no convictions for moving
violations in a CMV.

George J. Worthington, Jr.

    Mr. Worthington, 58, has had amblyopia in his left eye since
childhood. The visual acuity in his right eye is 20/20, and in his left
eye, 20/200. Following an examination in 2017, his ophthalmologist
stated, ``His ability to operate a commercial motor vehicle should not
be limited due to his long-standing amblyopia of the left eye.'' Mr.
Worthington reported that he has driven straight trucks for 30 years,
accumulating 300,000 miles. He holds an operator's license from New
York. His driving record for the last three years shows no crashes and
no convictions for moving violations in a CMV.

Jonas L. Yoder

    Mr. Yoder, 57, has had a branch retinal vein occlusion in his left
eye since 1995. The visual acuity in his right eye is 20/20, and in his
left eye, 20/200. Following an examination in 2017, his optometrist
stated, ``Despite the vision deficiency of the left eye, it is my
professional medical opinion that Jonas has sufficient vision to
perform the driving tasks required to operate a commercial vehicle.''
Mr. Yoder reported that he has driven straight trucks for five years,
accumulating 400,000 miles. He holds a Class B CDL from Nebraska. His
driving record for the last three years shows no crashes and no
convictions for moving violations in a CMV.

III. Request for Comments

    In accordance with 49 U.S.C. 31136(e) and 31315, FMCSA requests
public comment from all interested persons on the exemption petitions
described in this notice. We will consider all comments and material
received before the close of business on the closing date indicated in
the dates section of the notice.

IV. Submitting Comments

    You may submit your comments and material online or by fax, mail,
or hand delivery, but please use only one of these means. FMCSA
recommends that you include your name and a mailing address, an email
address, or a phone number in the body of your document so that FMCSA
can contact you if there are questions regarding your submission.
    To submit your comment online, go to http://www.regulations.gov and
in the search box insert the docket number FMCSA-2018-0006 and click
the search button. When the new screen appears, click on the blue
``Comment Now!'' button on the right hand side of the page. On the new
page, enter information required including the specific section of this
document to which each comment applies, and provide a reason for each
suggestion or recommendation. If you submit your comments by mail or
hand delivery, submit them in an unbound format, no larger than 8\1/2\
by 11 inches, suitable for copying and electronic filing. If you submit
comments by mail and would like to know that they reached the facility,
please enclose a stamped, self-addressed postcard or envelope.
    We will consider all comments and materials received during the
comment period. FMCSA may issue a final determination at any time after
the close of the comment period.

V. Viewing Comments and Documents

    To view comments, as well as any documents mentioned in this
preamble, go to http://www.regulations.gov and in the search box insert
the docket number FMCSA-2018-0006 and click ``Search.''

Next, click ``Open Docket Folder'' and you will find all documents and
comments related to this notice.

    Issued on: February 7, 2018.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2018-03064 Filed 2-13-18; 8:45 am]
 BILLING CODE 4910-EX-P


[Federal Register Volume 79, Number 180 (Wednesday, September 17, 2014)]
[Notices]
[Page 55794]
[FR Doc No: 2014-22157]

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

ENVIRONMENTAL PROTECTION AGENCY

[FRL-9916-77-OW]

Information Session; Stakeholder Input on Implementation of the
Water Infrastructure Finance and Innovation Act of 2014

AGENCY: Environmental Protection Agency.

ACTION: Notice.

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

SUMMARY: The Environmental Protection Agency (EPA) is announcing plans
to hold an information and stakeholder input session on September 22,
2014 in New York City, New York to discuss implementation of the
``Water Infrastructure Finance and Innovation Act of 2014'' (WIFIA). A
second session will be held on September 23, 2014 in New York City if
registration for the first day exceeds room capacity. Additional
information and stakeholder input sessions will be held in locations
around the country through December, 2014. Locations and dates for the
additional sessions will be announced when they become available.
    WIFIA is an innovative financing mechanism for water-related
infrastructure of national or regional significance. It was signed into
law on June 11, 2014 as Public Law 113-121. EPA will be providing an
overview of the statute, assistance options and terms, and ideas for
implementing the program. EPA would like participants to discuss
project ideas and potential selection criteria; opportunities,
challenges, and questions about implementation; and future stakeholder
engagement. The intended audience is municipal, state, and regional
utility decision makers; private finance sector representatives; and
other interested organizations and parties.

DATES: The session will be held on September 22, 2014, with a possible
additional session on September 23, 2014, if necessary.

ADDRESSES: The session will be held at: EPA Region 2, Room 27A, 27th
Floor, 290 Broadway, New York City, NY 10007.

FOR FURTHER INFORMATION CONTACT: For further information about this
notice, including registration information, contact Jordan Dorfman, EPA
Headquarters, Office of Water, Office of Wastewater Management at tel.:
202-564-0614 or email<EMAIL_ADDRESS>Members of the public are invited
to participate in the session as capacity allows.

    Authority: Water Infrastructure Finance and Innovation Act,
Public Law 113-121.

    Dated: September 10, 2014.
Andrew D. Sawyers,
Director, Office of Wastewater Management.
[FR Doc. 2014-22157 Filed 9-16-14; 8:45 am]
BILLING CODE 6560-50-P