[Federal Register Volume 87, Number 240 (Thursday, December 15, 2022)]
[Proposed Rules]
[Pages 76593-76594]
[FR Doc No: 2022-27080]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Docket No. FAA-2022-1453; Airspace Docket No. 21-AWP-57]
RIN 2120-AA66

Proposed Establishment of Class E Airspace; Mefford Field
Airport, CA

AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: This action proposes to establish Class E airspace extending
upward from 700 feet above the surface at Mefford Field Airport, CA.
These actions will support instrument flight rules (IFR) arrival and
departure operations at the airport.

DATES: Comments must be received on or before January 30, 2023.

ADDRESSES: Send comments on this proposal to the U.S. DOT, Docket
Operations, 1200 New Jersey Avenue SE, West Building Ground Floor, Room
W12-140, Washington, DC 20590; telephone:<PHONE_NUMBER>, or (202) 366-
9826. You must identify ``FAA Docket No. FAA-2022-1453; Airspace Docket
No. 21-AWP-57,'' at the beginning of your comments. You may also submit
comments through the internet at https://www.regulations.gov.
    FAA Order JO 7400.11G, Airspace Designations and Reporting Points,
and subsequent amendments can be viewed online at www.faa.gov/air_traffic/publications. For further information, you can contact the
Airspace Policy Group, Federal Aviation Administration, 800
Independence Avenue SW, Washington, DC 20591; telephone: (202) 267-
8783.

FOR FURTHER INFORMATION CONTACT: Raphell P. Taylor, Federal Aviation
Administration, Western Service Center, Operations Support Group, 2200
S 216th Street, Des Moines, WA 98198; telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Authority for This Rulemaking

    The FAA's authority to issue rules regarding aviation safety is
found in Title 49 of the United States Code (U.S.C.). Subtitle I,
Section 106 describes the authority of the FAA Administrator. Subtitle
VII, Aviation Programs, describes in more detail the scope of the
agency's authority. This rulemaking is promulgated under the authority
described in Subtitle VII, Part A, Subpart I, Section 40103. Under that
section, the FAA is charged with prescribing regulations to assign the
use of airspace necessary to ensure the safety of aircraft and the
efficient use of airspace. This regulation is within the scope of that
authority, as it would establish Class E airspace at Mefford Field
Airport, CA, to support IFR operations at the airport.

Comments Invited

    Interested parties are invited to participate in this proposed
rulemaking by submitting such written data, views, or arguments, as
they may desire. Comments that provide the factual basis supporting the
views and suggestions presented are particularly helpful in developing
reasoned regulatory decisions on the proposal. Comments are
specifically invited on the overall regulatory, aeronautical, economic,
environmental, and energy-related aspects of the proposal.
Communications should identify both docket numbers and be submitted in
triplicate to the address listed above. Persons wishing the FAA to
acknowledge receipt of their comments on this notice must submit with
those comments a self-addressed, stamped postcard on which the
following statement is made: ``Comments to Docket No. FAA-2022-1453;
Airspace Docket No. 21-AWP-57.'' The postcard will be date/time stamped
and returned to the commenter.
    All communications received before the specified closing date for
comments will be considered before taking action

on the proposed rule. The proposal contained in this notice may be
changed in light of the comments received. A report summarizing each
substantive public contact with FAA personnel concerned with this
rulemaking will be filed in the docket.

Availability of NPRMs

    An electronic copy of this document may be downloaded through the
internet at www.regulations.gov. Recently published rulemaking
documents can also be accessed through the FAA's web page at
www.faa.gov/air_traffic/publications/airspace_amendments.
    You may review the public docket containing the proposal, any
comments received, and any final disposition in person in the Dockets
Office (see the ADDRESSES section for the address and phone number)
between 9:00 a.m. and 5:00 p.m., Monday through Friday, except federal
holidays. An informal docket may also be examined during normal
business hours at the Northwest Mountain Regional Office of the Federal
Aviation Administration, Air Traffic Organization, Western Service
Center, Operations Support Group, 2200 S 216th Street, Des Moines, WA
98198.

Availability and Summary of Documents for Incorporation by Reference

    This document proposes to amend FAA Order JO 7400.11G, dated August
19, 2022, and effective September 15, 2022. FAA Order JO 7400.11G is
publicly available as listed in the ADDRESSES section of this document.
FAA Order JO 7400.11G lists Class A, B, C, D, and E airspace areas, air
traffic service routes, and reporting points.

The Proposal

    The FAA is proposing an amendment to 14 CFR part 71 by establishing
Class E airspace extending upward from 700 feet above the surface at
Mefford Field Airport to contain departing aircraft until reaching
1,200 feet above the surface and arriving aircraft below 1,500 feet
above the surface.
    The Class E5 airspace designation is published in paragraph 6005 of
FAA Order JO 7400.11G, dated August 19, 2022, and effective September
15, 2022, which is incorporated by reference in 14 CFR 71.1. The Class
E airspace designation listed in this document will be published
subsequently in FAA Order JO 7400.11, which is published annually and
becomes effective on September 15.

Regulatory Notices and Analyses

    The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current, is
non-controversial, and unlikely to result in adverse or negative
comments. It therefore: (1) is not a ``significant regulatory action''
under Executive Order (E.O.) 12866; (2) is not a ``significant rule''
under DOT regulatory policies and procedures (44 FR 11034; February 26,
1979); and (3) does not warrant preparation of a regulatory evaluation
as the anticipated impact is so minimal. Since this is a routine matter
that will only affect air traffic procedures and air navigation, it is
certified that this rule, when promulgated, would not have a
significant economic impact on a substantial number of small entities
under the criteria of the Regulatory Flexibility Act.

Environmental Review

    This proposal will be subject to an environmental analysis in
accordance with FAA Order 1050.1F, Environmental Impacts: Policies and
Procedures, prior to any FAA final regulatory action.

List of Subjects in 14 CFR Part 71

    Airspace, incorporation by reference, navigation (air).

The Proposed Amendment

    Accordingly, pursuant to the authority delegated to me, FAA
proposes to amend 14 CFR part 71 as follows:

PART 71--DESIGNATION OF CLASS A, B, C, D, AND E AIRSPACE AREAS; AIR
TRAFFIC SERVICE ROUTES; AND REPORTING POINTS

0
1. The authority citation for 14 CFR part 71 continues to read as
follows:

    Authority:  49 U.S.C. 106(f), 106(g), 40103, 40113, 40120; E.O.
10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.

Sec.  71.1  [Amended]

0
2. The incorporation by reference in 14 CFR 71.1 of FAA Order JO
7400.11G, Airspace Designations and Reporting Points, dated August 19,
2022, and effective September 15, 2022, is amended as follows:

Paragraph 6005 Class E Airspace Areas Extending Upward From 700
Feet or More Above the Surface of the Earth.

* * * * *

AWP CA E5 Tulare, CA [New]

Mefford Field Airport, CA
    (Lat. 36[deg]9'24'' N, long. 119[deg]19'36'' W)

    That airspace extending upward from 700 feet above the surface
within 1.8 miles each side of the 142[deg] bearing from the airport
extending to 6.4 miles southeast of the airport, and within 1.8
miles each side of the 322[deg] bearing from the airport extending
to 6.4 miles northwest of the airport.

    Issued in Des Moines, Washington, on December 7, 2022.
B.G. Chew,
Group Manager, Operations Support Group, Western Service Center.
[FR Doc. 2022-27080 Filed 12-14-22; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 77, Number 81 (Thursday, April 26, 2012)]
[Notices]
[Pages 25003-25007]
[FR Doc No: 2012-10027]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-66840; File No. SR-Phlx-2012-23]

Self-Regulatory Organizations; NASDAQ OMX Phlx LLC; Order
Approving Proposed Rule Change To Amend Registration, Qualification,
and Continuing Education Requirements for Associated Persons

April 20, 2012.

I. Introduction

    On February 16, 2012, NASDAQ OMX Phlx LLC (``Phlx'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission''), pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act'') \1\, and Rule 19b-4 \2\
thereunder, a proposed rule change to amend and extend registration,
qualification, and continuing education requirements for associated
persons of members. The proposed rule change was published for comment
in the Federal Register on March 7, 2012.\3\ The Commission received no
comment letters on the proposal. This order approves the proposed rule
change.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 66497 (March 1,
2012) 77 FR 13668.
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II. Description of the Proposal

Representative Registration

    Exchange Rule 604 applies to all member organizations and generally
requires the Series 7 examination for Registered Representatives,\4\
Principals,\5\ off-floor traders \6\ and persons compensated directly
or indirectly for the solicitation or handling of business in
securities who are not otherwise required to register with the Exchange
by Rule 604(a).\7\ Rule 604(f) provides that members and persons
associated with member organizations who are registered with the
Exchange for the purpose of trading NMS Stocks \8\ through the
facilities of the Exchange, which is the PSX platform, are subject to
the provisions of Rule 604(g) and (h) governing principal and
representative registration, respectively. Rule 604(h) is applicable
today only to PSX users pursuant to Rule 604(f). The Exchange proposes
to move the requirements in Rule 604, and expand on those requirements,
in proposed Rules 611, 612 and 613.
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    \4\ See Rule 604(a).
    \5\ See Rule 604(g).
    \6\ See Rule 604(e).
    \7\ See Rule 604(d).
    \8\ See Rule 1(t).
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    Rule 604(h) governs the registration of representatives with the
Exchange. Specifically, Rule 604(h)(1) requires that all persons
engaged or to be engaged in the investment banking or securities
business \9\ of a member organization who are to function as
representatives be registered through WebCRD \10\ in the category of
registration appropriate to the function they will perform.\11\ Before
their registration can become effective, they must pass the Series 7
examination. The Exchange proposes to delete Rule 604 and adopt broader
registration requirements in proposed Rule 613. Provisions contained in
Rule 604(h) would be moved to Rule 613, Representative Registration, in
substantially the same form, except with respect to trading floor
personnel subject to Rule 620.
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    \9\ The term ``investment banking or securities business'' means
the business, carried on by a broker or dealer, of underwriting or
distributing issues of securities, or of purchasing securities and
offering the same for sale as a dealer, or of purchasing and selling
securities upon the order and for the account of others. See Rule
1(m). Of course, the federal securities laws may require broker-
dealers to become members of the FINRA in order to perform some of
these functions. See e.g., 15 U.S.C. 78o(b)(8).
    \10\ WebCRD is FINRA's automated Central Registration
Depository.
    \11\ Supplementary Material .04 of Rule 604.
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    Proposed Rule 613(a) would require all persons engaged or to be
engaged in the investment banking or securities business of a member
organization who are to function as representatives to be registered
through WebCRD as specified in Rule 613(e).\12\ Trading floor personnel
whose activities \13\ are limited to the trading floor would continue
to be required to register pursuant to Rule 620 and qualify by passing
the Exchange's Trading Floor Qualification Examination.\14\ In
addition, amended Rule 620 would require all trading floor personnel,
including clerks, interns, and any other associated persons of a member
organization who are not required to register pursuant to Rule 620(a)
to register on Form U4 through WebCRD. Thus, the same registration
information would be available

electronically in WebCRD for trading floor members and associated
persons as is available for persons registered as General Securities
Representatives.
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    \12\ The requirement does not cover members whose activities are
limited to the Exchange's options trading floor and who are
registered pursuant to Rule 620(a), as well as associated persons
whose activities are limited to the Exchange's options trading floor
and are registered pursuant to Rule 620(b).
    \13\ These functions include handling and executing electronic
and phoned-in orders on the trading floor, as well as providing
markets, both verbally and electronically.
    \14\ Trading floor personnel, and members on the trading floor,
would, however, be subject to new principal registration
requirements, described below.
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    Currently, Supplementary Material .04 to Rule 604, Categories of
Representative Registration--General Securities Representative,
contains the basic requirement that each member and each person
associated with a member organization who is included within the
definition of a representative in Rule 1(cc) register with the Exchange
as a General Securities Representative and pass the Series 7
examination before his registration may become effective. This
provision is not changing and is similar to that of several other self-
regulatory organizations (``SROs'').\15\ The Exchange proposes to move
the provisions of Rule 604(h) into Rule 613 and Supplementary Material
.04 of Rule 604 into Rule 613(e) so that the ``registered
representative'' categories and requirements would be located in one
rule.
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    \15\ See e.g., BX Rules 1031 and 1032, NASDAQ Rules 1031 and
1032, and NASD Rules 1031 and 1032.
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    The Exchange also proposes Rule 613(f) which would adopt a limited
category of representative registration, Proprietary Trader, and a
qualifying examination for that category, the Series 56.\16\ Members
and associated persons engaged solely in proprietary trading, market
making or effecting transactions on behalf of a broker-dealer account
and who do not do business with the public may register as Proprietary
Traders and pass the Series 56 examination, in lieu of registering as
General Securities Representatives and passing the Series 7
examination. The Proprietary Trader category would include both Floor
Brokers on the Exchange's trading floor and persons performing
brokerage functions off the trading floor (``upstairs'').\17\
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    \16\ The Exchange filed the Series 56 content outline with the
Commission. See Securities Exchange Act Release No. 66645 (March 22,
2012), 77 FR 19042 (March 29, 2012). The Series 56 would also serve
as a prerequisite for the Proprietary Trader principal registration
category. The Series 24 would be the appropriate examination for the
new principal registration category, as described below.
    \17\ This provision is the same as the provision in Chicago
Board Options Exchange Incorporated (``CBOE'') rules, which requires
that an individual Trading Permit Holder or associated person who
effects transactions on behalf of a broker-dealer account register
and pass the Series 56 examination. See CBOE Rule 3.6A,
Interpretation and Policy .06.
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    The Exchange proposes to replace Rule 604 with Rule 613. Rule 613
would cover every person subject to registration as a representative,
and unlike Rule 604, it is not limited to associated persons of member
organizations for which the Exchange is the designated examining
authority (``DEA''). Furthermore, the proposed rules would extend the
requirements currently set forth in Rule 604(h), which apply only to
member organizations registered to use PSX,\18\ to all member
organizations. In addition, the language of Rule 613 more closely
aligns with the rules of FINRA and NASDAQ, which should facilitate
compliance by broker-dealers.
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    \18\ See Rule 604(f).
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Principal Registration

    Persons associated with a member organization who are actively
engaged in the management of the member organization's investment
banking or securities business, including supervision, solicitation,
conduct of business or training persons associated with a member
organization for any of these functions are principals. Such persons
include: Sole proprietors, officers, partners, managers of offices of
supervisory jurisdiction,\19\ and directors of corporations. Currently,
principals of PSX member firms must register via Form U4 in Web CRD,
and qualify by passing an appropriate examination, pursuant to Rule
604(g). The Exchange proposes to extend these principal requirements to
cover all member organizations, including those that trade options. The
more extensive principal requirements would be embodied in Rules 611
and 612, which would be substantially similar to Rule 604(g) and
Supplementary Material .01-.03.
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    \19\ The Exchange defined the term ``office of supervisory
jurisdiction'' to mean any office of a member organization at which
any one or more of the following functions take place: Order
execution and/or market making; structuring of public offerings or
private placements; maintaining custody of customers' funds and/or
securities; final acceptance (approval) of new accounts on behalf of
the member organization; review and endorsement of customer orders;
final approval of advertising or sales literature for use by persons
associated with the member organization, pursuant to Rule 605,
except for an office that solely conducts final approval of research
reports; or responsibility for supervising the activities of persons
associated with the member organization at one or more other branch
offices of the member organization. This definition is drawn from
NASD Rule 3010. The Exchange is adopting the reference to this term
in order to cover these managers in the new principal registration
requirement. The Exchange is not, at this time, adopting a
comprehensive program with regard to such offices, such as that
found in NASD Rule 3010. See proposed Rule 611(b).
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    The Exchange also proposes to recognize two new categories of
limited principal registration. First, the Exchange proposes to adopt
Rule 612(d), which recognizes Registered Options Principals. Each
member or person associated with a member organization who is included
within the definition of principal, including any person designated as
a Chief Compliance Officer on Schedule A of Form BD of a member
organization, may register as a Registered Options Principal and pass
the Series 4 examination, instead of registering as a General
Securities Principal and passing the Series 24 examination, if the
person's activities are limited solely to options. Specifically, a
Registered Options Principal can only supervise the options activities
of a member organization and must be registered pursuant to Exchange
Rules as a General Securities Representative.
    Second, the Exchange proposes to recognize the Proprietary Trader
Principal category as a limited principal category in Rule 612(e). It
would apply to persons whose supervisory responsibilities in the
investment banking and securities business are limited to the
activities of a member organization that involve proprietary trading,
market making and effecting transactions on behalf of broker-dealers.
It would require that the associated person register pursuant to
Exchange Rules as a Proprietary Trader, qualify by passing the Series
24 examination, and not function in a principal capacity with
responsibility over any area of business activity other than
proprietary trading, market making and effecting transactions on behalf
of broker-dealer accounts.\20\ This category is in lieu of registration
as a General Securities Principal, for which the prerequisite
qualification examination is the Series 7. The qualification
examination for the proposed new registration category of Proprietary
Trader Principal is the Series 24, which is the same qualification
required for registration as a General Securities Principal. However,
the prerequisite examination for the Proprietary Trader Principal
category is the Series 56. Phlx expects the Proprietary Trader
Principal category to be available to Phlx member organizations in
WebCRD shortly.
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    \20\ The Exchange worked with other exchanges and FINRA to
develop this registration category. The Proprietary Trader Principal
registration category is limited to those who supervise persons
engaged only in activities covered by the proposed Proprietary
Trader registration category.
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    Both a Registered Options Principal and a Proprietary Trader
Principal would count towards a firm's two-principal requirement in
Rule 611(e). If the member organization is involved in activity other
than that permitted by these categories, however, an additional
principal or principals would be required.
    Two additional limited principal registration categories would also
be available to all member organizations. Rule 604.02, titled Limited
Principal--

Financial and Operations, requires each member organization of the
Exchange that is subject to Rule 604(g) and that is operating pursuant
to the provisions of Rule 15c3-1(a)(1)(ii), (a)(2)(i) or (a)(8) under
the Act to designate as Limited Principal--Financial and Operations
(``FINOP'') those persons associated with it, at least one of whom
shall be its chief financial officer, who perform certain financial and
operational duties, as specified in the rule. Each FINOP must register
with the Exchange and pass the Series 27 examination. The Exchange
proposes to move this provision to Rule 612(b) and extend it to cover
trading floor members, in order to ensure that persons handling the
financial affairs of a firm are properly registered and qualified,
given the importance and complexity of the rules governing financial
responsibility for broker-dealers.\21\ Although the FINOP is a type of
principal registration, because its scope is limited to financial
matters, the FINOP does not count toward the two-principal requirement
of Rule 611(e).
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    \21\ See e.g., Phlx Rule 703.
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    The Limited Principal--General Securities Sales Supervisor,
currently in Rule 604.03, would be moved to Rule 612(c) and would also
be available to all member organizations who have associated persons
meeting its specific, limited requirements. Like the FINOP, the General
Securities Sales Supervisor does not count toward satisfying the two-
principal requirement of Rule 611.

Other Rule Modifications

    In connection with strengthening its registration rules, the
Exchange is proposing to reorganize and renumber its registration rules
to better align with those of NASDAQ and FINRA.
    In addition to the amendments discussed above, the Exchange
proposes to renumber without change: Rule 604(i), Persons Exempt from
Registration, to Rule 614 (and Rule 604(i)(2) to Rule 614(b)); and Rule
604(j), Waiver of Requirements, to Rule 615; \22\ and Rule 604(g)(5),
the general requirement to have a minimum of two principals with
respect to each aspect of a member's investment banking and securities
business (except a proprietary trading firm with 25 or fewer
representatives, which is only required to have one) to Rule
611(e)(i).\23\
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    \22\ Rule 604(j) provides that the Exchange may, in exceptional
cases and where good cause is shown, waive the applicable
Qualification Examination and accept other standards as evidence of
an applicant's qualifications for registration. The Commission
expects this waiver authority to be used sparingly, and that where
used, the Exchange would keep records of waivers granted and reasons
for so doing.
    \23\ Although there must be a minimum of two Principals, all
persons who engage in specified supervisory functions must be
registered as Principals.
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    The Exchange proposes to consolidate electronic filing requirements
in proposed Rule 616, Electronic Filing Requirements for Uniform Forms.
Rule 616(a), WebCRD Filing, would require that forms filed pursuant to
the Rule 600 Series be filed electronically through WebCRD. Similarly,
Rule 616(b), Form U4 and U5 Filing Requirements, would require that
initial filings and amendments of Forms U4 and U5 be submitted
electronically.\24\ In addition, every application for registration
filed with the Exchange shall be kept current at all times by
supplementary amendments via electronic filing or such other process as
the Exchange may prescribe. The amendments shall be filed not later
than 30 days after the applicant learns of the facts or circumstances
giving rise to the need for the amendment.\25\
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    \24\ As part of the member organization's recordkeeping
requirements, it must retain such records for a period of not less
than three years, the first two years in an easily accessible place,
and make such records available promptly upon request in accordance
with Rule 17a-4 under the Act (17 CFR 240.17a-4).
    \25\ This rule is similar to NASDAQ Rule 1031(d)(3).
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    The Exchange also proposes to amend OFPA F-34 and EFPA A-7, both
titled Failure to Timely Submit Amendments to Form U4, Form U5 and Form
BD. These are the corollary minor rule plan provisions for Rule 623,
which are being amended only to delete the reference to Rule 604 and
add rule numbers 611-613 and 616.
    The Exchange proposes to amend Rule 620, Trading Floor
Registration, to specifically state the registration categories
governed by the rule, to require all trading floor associated persons
of member organizations to register via Form U4, to delete unnecessary
language and to strengthen the time requirement. Specifically, the
Exchange proposes to add to Rule 620(a), which requires Floor Brokers,
Specialists and Registered Options Traders on an Exchange trading floor
to register under ``Member Exchange'' (``ME'') via Form U4. The
Exchange notes that this provision covers members operating on the
trading floor and that such members are required to successfully
complete the Exchange's Trading Floor Qualification Examination. The
Exchange also proposes to delete the reference in Rule 620(a) regarding
updating Form U4 within a certain time period and include this
requirement in Rule 616.
    Rule 620(b) covers all trading floor personnel, such as clerks,
interns, and other associated persons of member organizations who are
not required to register under Rule 620(a) and requires them to
register with the Exchange on a form supplied by the Exchange. The
Exchange proposes to require these individuals to be registered on Form
U4 in WebCRD. Accordingly, these associated persons will be subject to
the comprehensive disclosure obligations of Form U4, which the Exchange
believes is an important enhancement. The specific registration
category will be ``Floor Employee (``FE'')'' under ``Phlx,'' which will
be stated in the rule. The Exchange does not intend to require a
qualification examination for non-member trading floor personnel at
this time.\26\
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    \26\ The Exchange does not believe that the Series 7, Series 56
or its Trading Floor Qualification Examination is appropriate for
the limited functions of a trading floor clerk because these persons
are not members trading on the floor, and they are supervised by
members. These persons do not execute transactions on the Exchange,
but rather enter orders and report trades, for example, and perform
related clerical functions. See Rule 1090.
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    The Exchange also proposes to amend Rule 620(b) to provide that
following the termination of, or the initiation of a change in the
status of any such personnel of a member organization who has been
issued an Exchange access card and a trading floor badge, the
appropriate Exchange form must be completed, approved and dated by a
member organization principal, officer, or member of the member
organization with authority to do so, and submitted to the appropriate
Exchange department no later than 9:30 a.m. the next business day by
the member organization employer. The Exchange proposes to strengthen
this requirement by adding that such submission should occur as soon as
possible but no later than 9:30 a.m. the next business day.
    The Exchange proposes to codify an existing fingerprinting
requirement into new paragraph (b) of Rule 623, Fingerprinting. This
paragraph specifies that a member organization must promptly submit
fingerprints on behalf of any person filing Form U4 pursuant to Rule
616, and the Exchange may make registration effective pending receipt
of fingerprint information.
    Finally, as a result of the expanded and amended registration
requirements, additional persons will become subject to Continuing
Education requirements in Rule 640.

III. Discussion and Commission Findings

    The Commission believes that this proposed rule change is an
important step towards harmonizing the registration, qualification and
continuing education requirements across the SROs. In order to meet its
obligations under Section 6(b)(1) of the Act \27\ to enforce compliance
by member firms \28\ and their associated persons with the Act, the
rules thereunder, and the Exchange's own rules, an exchange must have
baseline registration and examination requirements for all persons
conducting business on an exchange, as well as for those supervising
the activity. In addition, an exchange should have continuing education
requirements for registered persons to help ensure that members and
persons associated with their members are up to date on the industry,
including but not limited to amendments to the Exchange's rules and the
securities laws, rules, and regulations that govern their activities.
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    \27\ Section 6 requires exchanges to have the ability to enforce
compliance by their members and associated persons with the federal
securities laws and with their own rules. 15 U.S.C. 78f(b)(1).
    \28\ Broker and dealers are required to supervise the activities
of their associated persons. See Section 15(b)(4)(E) of the Act, 15
U.S.C. 78o(b)(4)(E).
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    The Commission finds that the proposed rule change is consistent
with the requirements of the Act and the rules and regulations
thereunder applicable to a national securities exchange.\29\
Specifically, the Commission finds that the proposal is consistent with
Section 6(b)(5) of the Act,\30\ which requires, among other things,
that the rules of a national securities exchange be designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to remove impediments to, and perfect
the mechanism of, a free and open market and a national market system
and, in general, to protect investors and the public interest. The
Commission believes that the proposed rule change is also consistent
with Section 6(c)(3)(B) of the Act,\31\ which authorizes exchanges to
prescribe standards of training, experience and competence for persons
associated with exchange members, and gives exchanges the authority to
bar a natural person from becoming a member or a person associated with
a member, if the person does not meet the standards of training,
experience and competence prescribed in the rules of the exchange.
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    \29\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
    \30\ 15 U.S.C. 78f(b)(5).
    \31\ 15 U.S.C. 78f(c)(3)(B).
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    Phlx's proposed rule change requires all associated persons of
member organizations engaged in a securities business on Phlx, as well
as those who supervise, train or otherwise oversee those who do, to
register with the Exchange via the Form U4, qualify by passing an
appropriate examination, and comply with continuing education
requirements. Phlx's requirements should help ensure that all
associated persons who transact business on Phlx, including those
engaged in proprietary trading, are subject to appropriate
registration, qualification, and continuing education requirements.
These requirements bolster the integrity of the Exchange by helping to
ensure that all associated persons engaged in a securities business
are, and will continue to be, properly trained and qualified to perform
their functions, will be supervised, and can be identified by
regulators.
    Phlx is adding new limited principal registration categories which
are recognized by other exchanges.\32\ The Registered Option Principal
will be restricted to supervising those persons exclusively involved in
options activities, and the required examination, the Series 4, is
focused on practices in and rules governing the options industry. The
Proprietary Trader Principal category is corollary to the new
Proprietary Trader Representative category discussed above and is
recognized by many of the other exchanges.\33\ Proprietary Trader
Principals may supervise persons engaged in proprietary trading, market
making and effecting transactions on behalf of broker-dealer accounts
and must pass the Series 24 (General Securities Principal) examination.
---------------------------------------------------------------------------

    \32\ See, e.g., CBOE Rule 9.2 and ISE Rule 601.
    \33\ See, e.g., CBOE Rule 3.6A and NASDAQ Rule 1032(c).
---------------------------------------------------------------------------

    In sum, under the proposed rule change, all Principals must
register through WebCRD and pass appropriate prerequisite examinations,
as well as principal examinations that reflect the enhanced
responsibility entrusted to principals. In addition, Principals would
be subject to the Exchange's continuing education requirements.
    Phlx's proposed exceptions from the above-discussed general
requirements are appropriate. Any member seeking an exception from the
two principal requirement must provide evidence that conclusively
indicates to the Exchange that only one principal is necessary. The
Commission expects this authority to be used sparingly, because such
persons oversee the operations of member firms and provide the first
line of defense in ensuring that member firms are complying with the
rules of the exchange as well as the federal securities laws. In
addition, Phlx may waive the qualification examination requirement in
exceptional cases where the applicant has demonstrated that good cause
exists to grant the waiver. The Commission also expects this authority
to be used sparingly. The Commission notes that these exceptions are
substantively the same as exceptions provided in similar rules at other
SROs,\34\ and it expects Phlx to keep records detailing the reasons for
exceptions granted and waivers given.\35\
---------------------------------------------------------------------------

    \34\ See, e.g., FINRA Rule 1070(d) and NASDAQ Rule 1070(d).
    \35\ See Rule 17a-1(a) under the Act, 17 CFR 240.17a-1(a).
---------------------------------------------------------------------------

    Phlx's proposed rule change will help ensure that all associated
persons of members transacting business on the Exchange, as well as
those who supervise, train or otherwise oversee those who do, will be
registered with, and qualified by, the Exchange and will be subject to
continuing education requirements. The Commission believes the proposal
should enhance the Exchange's ability to ensure an effective
supervisory structure for those conducting business on its facilities.
The requirements apply broadly and should enhance the ability of
Exchange members to comply with the Exchange's rules as well as with
the federal securities laws.
    Additionally, the Commission believes that the proposed rule change
is consistent with the principles of Section 11A(a)(1)(22) of the Act
in that it seeks to assure fair competition among brokers and dealers
and among exchange markets. The Commission believes that the proposed
rule change will promote uniformity of regulation across markets, thus
reducing opportunities for regulatory arbitrage. Phlx's proposed rule
change helps ensure that all persons conducting a securities business
through Phlx are appropriately registered, qualified, and supervised,
as is required under the Act.

IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\36\ that the proposed rule change (SR-Phlx-2012-023), be, and
hereby is, approved.
---------------------------------------------------------------------------

    \36\ 15 U.S.C. 78s(b)(2).
    \37\ 17 CFR 200.30-3(a)(12).

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

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\37\
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2012-10027 Filed 4-25-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 76, Number 9 (Thursday, January 13, 2011)]
[Notices]
[Pages 2368-2369]
[FR Doc No: 2011-526]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER11-2331-000]

Balance Power Systems, LLC; Supplemental Notice That Initial
Market-Based Rate Filing Includes Request for Blanket Section 204
Authorization

December 13, 2010.
    This is a supplemental notice in the above-referenced proceeding of
Balance Power Systems, LLC's application for market-based rate
authority, with an accompanying rate tariff, noting that such
application includes a request for blanket authorization, under 18 CFR
part 34, of future issuances of securities and assumptions of
liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street, NE.,
Washington, DC 20426, in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214). Anyone filing a motion to intervene or protest must serve a
copy of that document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is January 3, 2011.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
14 copies of the intervention or protest to the

Federal Energy Regulatory Commission, 888 First Street, NE.,
Washington, DC 20426.
    The filings in the above-referenced proceeding are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for 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>.

Kimberly D. Bose,
Secretary.
[FR Doc. 2011-526 Filed 1-12-11; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 77, Number 204 (Monday, October 22, 2012)]
[Notices]
[Page 64500]
[FR Doc No: 2012-25889]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

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

Filings Instituting Proceedings

    Docket Numbers: RP13-157-000.
    Applicants: Trailblazer Pipeline Company LLC.
    Description: Trailblazer Pipeline Company LLC submit Penalty
Revenue Crediting Report.
    Filed Date: 10/15/12.
    Accession Number: 20121015-5056.
    Comments Due: 5 p.m. ET 10/29/12.

    Docket Numbers: RP13-158-000.
    Applicants: Iroquois Gas Transmission System, L.P.
    Description: 10/15/12 HUB Negotiated Rates Blanket Filing to be
effective 11/15/2012.
    Filed Date: 10/15/12.
    Accession Number: 20121015-5147.
    Comments Due: 5 p.m. ET 10/29/12.

    Docket Numbers: RP13-159-000.
    Applicants: Questar Southern Trails Pipeline Company.
    Description: FT Forms of Agreement to be effective 11/16/2012.
    Filed Date: 10/16/12.
    Accession Number: 20121016-5024.
    Comments Due: 5 p.m. ET 10/29/12.
    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.
    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, and service 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 (202) 502-
8659.

    Dated: October 16, 2012.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2012-25889 Filed 10-19-12; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: December 29, 2009 (Volume 74, Number 248)]
[Notices]
[Page 68878-68880]
[DOCID:fr29de09-131]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-61205; File No. SR-NASDAQ-2009-105]

Self-Regulatory Organizations; The NASDAQ Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend IM-1002-1 To Reflect Changes to a Corresponding FINRA Rule

December 18, 2009.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on December 3, 2009, the NASDAQ Stock Market LLC (the ``Exchange'' or
``NASDAQ'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by the Exchange. The
Exchange has designated the proposed rule change as constituting a non-
controversial rule change under Rule 19b-4(f)(6) under the Act,\3\
which renders the proposal effective upon filing with the Commission.
The Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
---------------------------------------------------------------------------

    \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 the [sic]
Substance of the Proposed Rule Change

    The Exchange is filing this proposed rule change to amend NASDAQ
IM-1002-1 to reflect recent changes to a corresponding rule of the
Financial Industry Regulatory Authority (``FINRA''). The Exchange will
implement the proposed rule change thirty days after the date of the
filing.

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

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

    In its filing with the Commission, the Exchange included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. The Exchange has prepared summaries, set forth in
Sections A, B, and C below, of the most significant aspects of such
statements.

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

1. Purpose
    Many of NASDAQ's rules are based on rules of FINRA (formerly the
National Association of Securities Dealers (``NASD'')). During 2008,
FINRA embarked on an extended process of moving rules formerly
designated as ``NASD Rules'' into a consolidated FINRA rulebook. In
most cases, FINRA has renumbered these rules, and in some cases has
substantively amended them. Accordingly, NASDAQ also has initiated a
process of modifying its rulebook to ensure that NASDAQ rules
corresponding to FINRA/NASD rules continue to mirror them as closely as
practicable. In some cases, it is not possible for the rule numbers of
NASDAQ rules to mirror corresponding FINRA rules, because existing or
planned NASDAQ rules make use of those numbers. However, wherever
possible, NASDAQ plans to update its rules to reflect changes to
corresponding FINRA rules.
    This filing addresses NASDAQ IM-1002-1, which prohibits members and
associated persons from filing with NASDAQ misleading information
relating to membership or registration, and which formerly corresponded
to NASD IM-1000-1. In SR-FINRA-2009-009,\4\ FINRA redesignated that
rule as FINRA Rule 1122 and made amendments to clarify and simplify the
rule. NASD IM-1000-1 provided that the filing of membership or
registration information as a Registered Representative with FINRA
which is incomplete or inaccurate so as to be misleading, or which
could in any way tend to mislead, or the failure to correct such filing
after notice thereof, may be deemed conduct inconsistent with just and
equitable principles of trade and may be subject to disciplinary
action.
---------------------------------------------------------------------------

    \4\ Securities Exchange Act Release No. 59789 (April 20, 2009),
74 FR 18767 (April 24, 2009) (SR-FINRA-2009-009).
---------------------------------------------------------------------------

    FINRA's rule change clarified the rule's applicability to members
and persons associated with members by specifying that ``no member or
person associated with a member'' shall file incomplete or misleading
membership or registration information. FINRA also eliminated the
reference to the filing of registration information ``as a Registered
Representative'' to clarify that the rule applies to the filing of
registration information regarding any category of registration. In
addition, FINRA deleted the reference that the prohibited conduct may
be deemed inconsistent with just and equitable principles of trade and
subject to disciplinary action as unnecessary and to better reflect the
adoption of the NASD IM as a stand-alone FINRA rule. Likewise, NASDAQ
is proposing to make changes to the text of IM-1002-1 that virtually
mirror the changes made by FINRA to NASD IM-1000-1 so that the rules
remain consistent for regulatory purposes.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with the provisions of Section 6 of the Act,\5\ in general, and with
Sections [sic] 6(b)(5) of the Act,\6\ in particular, in that the
proposal 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 mechanism of a free and open market and a national market
system, and, in general, to protect investors and the public interest.
The proposed changes will conform NASDAQ IM-1002-1 to recent changes
made to a corresponding FINRA rule, to promote application of
consistent regulatory standards.
---------------------------------------------------------------------------

    \5\ 15 U.S.C. 78f.
    \6\ 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
result in any burden on competition that is not necessary or
appropriate in furtherance of the purposes of the Act, as amended.

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 \7\ and Rule 19b-
4(f)(6) thereunder.\8\
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78s(b)(3)(A).
    \8\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    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-2009-105 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 No. SR-NASDAQ-2009-105. 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,\9\ all subsequent amendments, all written statements with
respect to the proposed rule change that are filed with the Commission,
and all written communications relating to the proposed rule change
between the Commission and any person, other than those that may be
withheld from the public in accordance with the provisions of 5 U.S.C.
552, will be available for inspection and copying in the Commission's
Public Reference Room, 100 F Street, NE., Washington, DC 20549, on
official business days between the hours of 10 a.m. and 3 p.m. Copies
of such filing also will be available for inspection and copying at the
principal office of 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 No. SR-NASDAQ-2009-105 and should be submitted on or before
January 19, 2010.
---------------------------------------------------------------------------

    \9\ The text of the proposed rule change is available on the
Commission's Web site at http://www.sec.gov.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
---------------------------------------------------------------------------

    \10\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-30782 Filed 12-28-09; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register Volume 87, Number 20 (Monday, January 31, 2022)]
[Notices]
[Pages 4884-4885]
[FR Doc No: 2022-01894]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

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

    Docket Numbers: EC19-68-001.
    Applicants: Clearway Energy Group LLC, Clearway Energy, Inc.
    Description: Request for Reauthorization and Extension of Blanket
Authorizations Under Section 203 of the Federal Power Act of Clearway
Energy Group LLC, et al.
    Filed Date: 1/24/22.
    Accession Number: 20220124-5204.
    Comment Date: 5 p.m. ET 2/14/22.

    Docket Numbers: EC22-12-000.
    Applicants: Calhoun Power Company, LLC, Alabama Power Company.
    Description: Supplement [Exhibit B--Model Protective Order] for
Non-Public Versions Filed in the January 21, 2022 Deficiency Letter
Response of Calhoun Power, LLC.
    Filed Date: 1/21/22.
    Accession Number: 20220121-5222.
    Comment Date: 5 p.m. ET 2/11/22.

    Take notice that the Commission received the following Complaints
and Compliance filings in EL Dockets:

    Docket Numbers: EL19-58-010.
    Applicants: PJM Interconnection, L.L.C.
    Description: Compliance filing: Compliance EL19-58 & ER19-1486
Request 7-Day Comment Period & Exp. Consideration to be effective N/A.
    Filed Date: 1/21/22.
    Accession Number: 20220121-5188.
    Comment Date: 5 p.m. ET 1/31/22.

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

    Docket Numbers: ER20-1385-002; ER19-828-004; ER20-539-004; ER20-
1338-003; ER20-1853-001; ER20-2505-002; ER20-2506-001.
    Applicants: Dakota Range III, LLC, Triple H Wind Project, LLC,
Whitehorn Solar LLC, King Plains Wind Project, LLC, East Fork Wind
Project, LLC, Solomon Forks Wind Project, LLC, Bluestone Farm Solar,
LLC.
    Description: Notice of Non-Material Change in Status of Bluestone
Farm Solar, LLC, et al.
    Filed Date: 1/24/22.
    Accession Number: 20220124-5202.
    Comment Date: 5 p.m. ET 2/14/22.

    Docket Numbers: ER20-1968-001; ER20-2100-003.
    Applicants: The Dayton Power and Light Company, PJM
Interconnection, L.L.C., Alkali Solar LLC.

    Description: Compliance Filing of The Dayton Power and Light
Company with respect to the Clinton 345 kV/69 kV Transformer Project.
    Filed Date: 1/24/22.
    Accession Number: 20220124-5201.
    Comment Date: 5 p.m. ET 2/14/22.

    Docket Numbers: ER22-876-000.
    Applicants: Minco Wind II, LLC.
    Description: Tariff Amendment: Minco Wind II, LLC Notice of
Cancellation of Market-Based Rate Tariff to be effective 1/26/2022.
    Filed Date: 1/25/22.
    Accession Number: 20220125-5062.
    Comment Date: 5 p.m. ET 2/15/22.

    Docket Numbers: ER22-877-000.
    Applicants: Minco Wind III, LLC.
    Description: Tariff Amendment: Minco Wind III, LLC Notice of
Cancellation of Market-Based Rate Tariff to be effective 1/26/2022.
    Filed Date: 1/25/22.
    Accession Number: 20220125-5064.
    Comment Date: 5 p.m. ET 2/15/22.

    Docket Numbers: ER22-878-000.
    Applicants: California Independent System Operator Corporation.
    Description: Sec.  205(d) Rate Filing: 2022-01-25 Contracts
Management Enhancements to be effective 3/27/2022.
    Filed Date: 1/25/22.
    Accession Number: 20220125-5065.
    Comment Date: 5 p.m. ET 2/15/22.

    Docket Numbers: ER22-879-000.
    Applicants: Lone Valley Solar Park I LLC.
    Description: Sec.  205(d) Rate Filing: Notice of Change in Category
Seller Status in the SW Region to be effective 1/26/2022.
    Filed Date: 1/25/22.
    Accession Number: 20220125-5075.
    Comment Date: 5 p.m. ET 2/15/22.

    Docket Numbers: ER22-880-000.
    Applicants: Lone Valley Solar Park II LLC.
    Description: Sec.  205(d) Rate Filing: Notice of Change in Category
Seller Status in the SW Region to be effective 1/26/2022.
    Filed Date: 1/25/22.
    Accession Number: 20220125-5083.
    Comment Date: 5 p.m. ET 2/15/22.

    Docket Numbers: ER22-881-000.
    Applicants: Rising Tree Wind Farm LLC.
    Description: Sec.  205(d) Rate Filing: Notice of Change in Category
Seller Status in the SW Region to be effective 1/26/2022.
    Filed Date: 1/25/22.
    Accession Number: 20220125-5091.
    Comment Date: 5 p.m. ET 2/15/22.

    Docket Numbers: ER22-882-000.
    Applicants: Rising Tree Wind Farm II LLC.
    Description: Sec.  205(d) Rate Filing: Notice of Change in Category
Seller Status in the SW Region to be effective 1/26/2022.
    Filed Date: 1/25/22.
    Accession Number: 20220125-5095.
    Comment Date: 5 p.m. ET 2/15/22.

    Docket Numbers: ER22-883-000.
    Applicants: Rising Tree Wind Farm III LLC.
    Description: Sec.  205(d) Rate Filing: Notice of Change in Category
Seller Status in the SW Region to be effective 1/26/2022.
    Filed Date: 1/25/22.
    Accession Number: 20220125-5097.
    Comment Date: 5 p.m. ET 2/15/22.

    Docket Numbers: ER22-884-000.
    Applicants: Tampa Electric Company.
    Description: Sec.  205(d) Rate Filing: Section 205 Revised
Depreciation Rates to be effective 1/1/2022.
    Filed Date: 1/25/22.
    Accession Number: 20220125-5104.
    Comment Date: 5 p.m. ET 2/15/22.

    Docket Numbers: ER22-885-000.
    Applicants: Evergreen Gen Lead, LLC.
    Description: Sec.  205(d) Rate Filing: Amended and Restated
Facilities Use Agreement to be effective 1/26/2022.
    Filed Date: 1/25/22.
    Accession Number: 20220125-5122.
    Comment Date: 5 p.m. ET 2/15/22.

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

    Dated: January 25, 2022.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2022-01894 Filed 1-28-22; 8:45 am]
BILLING CODE 6717-01-P