[Federal Register Volume 82, Number 46 (Friday, March 10, 2017)]
[Notices]
[Pages 13339-13345]
[FR Doc No: 2017-04772]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPPT-2016-0697; FRL-9958-32]

Certain New Chemicals; Receipt and Status Information for
December 2016

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: EPA is required under the Toxic Substances Control Act (TSCA)
to publish in the Federal Register a notice of receipt of a
premanufacture notice (PMN); an application for a test marketing
exemption (TME), both pending and/or expired; and a periodic status
report on any new chemicals under EPA review and the receipt of notices
of commencement (NOC) to manufacture those chemicals. This document
covers the period from December 1, 2016 to December 30, 2016.

DATES: Comments identified by the specific case number provided in this
document, must be received on or before April 10, 2017.

ADDRESSES: Submit your comments, identified by docket identification
(ID) number EPA-HQ-OPPT-2016-0697, and the specific PMN number or TME
number for the chemical related to your comment, by one of the
following methods:
     Federal eRulemaking Portal: http://www.regulations.gov.
Follow the online instructions for submitting comments. Do not submit
electronically any information you consider to be Confidential Business
Information (CBI) or other information whose disclosure is restricted
by statute.
     Mail: Document Control Office (7407M), Office of Pollution
Prevention and Toxics (OPPT), Environmental Protection Agency, 1200
Pennsylvania Ave. NW., Washington, DC 20460-0001.
     Hand Delivery: To make special arrangements for hand
delivery or delivery of boxed information, please follow the
instructions at http://www.epa.gov/dockets/contacts.html.
    Additional instructions on commenting or visiting the docket, along
with more information about dockets generally, is available at http://www.epa.gov/dockets.

FOR FURTHER INFORMATION CONTACT: For technical information contact: Jim
Rahai, IMD 7407M, Office of Pollution Prevention and Toxics,
Environmental Protection Agency, 1200 Pennsylvania Ave. NW.,
Washington, DC 20460-0001; telephone number:<PHONE_NUMBER>; email
address<EMAIL_ADDRESS>    For general information contact: The TSCA-Hotline, ABVI-Goodwill,
422 South Clinton Ave., Rochester, NY 14620; telephone number: (202)
554-1404; email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this action apply to me?

    This action is directed to the public in general. As such, the
Agency has not attempted to describe the specific entities that this
action may apply to. Although others may be affected, this action
applies directly to the submitters of the actions addressed in this
document.

B. What should I consider as I prepare my comments for EPA?

    1. Submitting CBI. Do not submit this information to EPA through
regulations.gov or email. Clearly mark the part or all of the
information that you claim to be CBI. For CBI information in a disk or
CD-ROM that you mail to EPA, mark the outside of the disk or CD-ROM as
CBI and then identify electronically within the disk or CD-ROM the
specific information that is claimed as CBI. In addition to one
complete version of the comment that includes information claimed as
CBI, a copy of the comment that does not contain the information
claimed as CBI must be submitted for inclusion in the public docket.
Information so marked will not be disclosed except in accordance with
procedures set forth in 40 CFR part 2.
    2. Tips for preparing your comments. When preparing and submitting
your comments, see the commenting tips at http://www.epa.gov/dockets/comments.html.

II. What action is the Agency taking?

    This document provides receipt and status reports, which cover the
period from December 1, 2016 to December 30, 2016, and consists of the
PMNs and TMEs both pending and/or expired, and the NOCs to manufacture
a new chemical that the Agency has received under TSCA section 5 during
this time period.

III. What is the Agency's authority for taking this action?

    Under TSCA, 15 U.S.C. 2601 et seq., EPA classifies a chemical
substance as either an ``existing'' chemical or a ``new'' chemical. Any
chemical substance that is not on EPA's TSCA Inventory is classified as
a ``new chemical,'' while those that are on the TSCA Inventory are
classified as an ``existing chemical.'' For more information about the
TSCA Inventory, please go to: http://www.epa.gov/opptintr/newchems/pubs/inventory.htm.
    Anyone who plans to manufacture or import a new chemical substance
for a non-exempt commercial purpose is required by TSCA section 5 to
provide EPA with a PMN, before initiating the activity. Section 5(h)(1)
of TSCA authorizes EPA to allow persons, upon application, to
manufacture (includes import) or process a new chemical substance, or a
chemical substance subject to a significant new use rule (SNUR) issued
under TSCA section 5(a), for ``test marketing'' purposes, which is
referred to as a test marketing exemption, or TME. For more information
about the requirements applicable to a new chemical go to: http://www.epa.gov/oppt/newchems.
    Under TSCA sections 5(d)(2) and 5(d)(3), EPA is required to publish
in the Federal Register a notice of receipt of a PMN or an application
for a TME and to publish in the Federal Register periodic reports on
the status of new chemicals under review and the receipt of NOCs to
manufacture those chemicals.

IV. Receipt and Status Reports

    As used in each of the tables in this unit, (S) indicates that the
information in the table is the specific information provided by the
submitter, and (G) indicates that the information in the table is
generic information because the specific information provided by the
submitter was claimed as CBI.
    For the 65 PMNs received by EPA during this period, Table 1
provides the following information (to the extent that such information
is not claimed as CBI): The EPA case number assigned to the PMN; The
date the PMN was received by EPA; the projected end date for EPA's
review of the PMN; the submitting manufacturer/importer; the

potential uses identified by the manufacturer/importer in the PMN; and
the chemical identity.

                                            Table 1--PMNs Received From December 2, 2016 to December 30, 2016
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                        Projected
              Case No.                Received date    notice end     Manufacturer importer           Use                         Chemical
                                                          date
--------------------------------------------------------------------------------------------------------------------------------------------------------
P-16-0193..........................       12/5/2016        3/5/2017  CBI...................  (S) Intermediate.....  (G) Branched alkenes.
P-16-0358..........................      12/19/2016       3/19/2017  CBI...................  (S) Intermediate for   (G) Alkyl phenol.
                                                                                further polymer
                                                                                reaction.
P-16-0372..........................      12/21/2016       3/21/2017  CBI...................  (G) Wetting and        (G) Polyester phosphate alkyl alkyl
                                                                                dispersing additive.   esters.
P-16-0380..........................       12/1/2016        3/1/2017  CBI...................  (G) Component of an    (G) Formic acid, compounds (compds.)
                                                                                electrocoat resin.     with hydrolyzed bisphenol A-
                                                                                epichlorohydrin-polyethylene glycol
                                                                                ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products acetates (salts).
P-16-0380..........................       12/1/2016        3/1/2017  CBI...................  (G) Component in       (G) Formic acid, compds. with
                                                                                electrocoat resin.     hydrolyzed bisphenol A-
                                                                                epichlorohydrin-polyethylene glycol
                                                                                ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products acetates (salts).
P-16-0380..........................       12/1/2016        3/1/2017  CBI...................  (S) Anti-Crater        (G) Formic acid, compds. with
                                                                                additive for           hydrolyzed bisphenol A-
                                                                                automotive             epichlorohydrin-polyethylene glycol
                                                                                electrocoat resin.     ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products acetates (salts).
P-16-0381..........................       12/1/2016        3/1/2017  CBI...................  (S) Anti-Crater        (G) Propanoic acid, 2-hydroxy-,
                                                                                additive for           compds. with hydrolyzed bisphenol A-
                                                                                automotive             epichlorohydrin-polyethylene glycol
                                                                                electrocoat resin.     ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products formates (salts).
P-16-0381..........................       12/1/2016        3/1/2017  CBI...................  (G) Component of       (G) Propanoic acid, 2-hydroxy-,
                                                                                electrocoat resin.     compds. with hydrolyzed bisphenol A-
                                                                                epichlorohydrin-polyethylene glycol
                                                                                ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products formates (salts).
P-16-0381..........................       12/1/2016        3/1/2017  CBI...................  (G) Component of an    (G) Propanoic acid, 2-hydroxy-,
                                                                                electrocoat resin.     compds. with hydrolyzed bisphenol A-
                                                                                epichlorohydrin-polyethylene glycol
                                                                                ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products formates (salts).
P-16-0382..........................       12/1/2016        3/1/2017  CBI...................  (G) Component of an    (G) Formic acid, compds. with
                                                                                electrocoat resin.     hydrolyzed bisphenol A-
                                                                                epichlorohydrin-polyethylene glycol
                                                                                ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products sulfamates(salts).

P-16-0382..........................       12/1/2016        3/1/2017  CBI...................  (S) Anti-Crater        (G) Formic acid, compds. with
                                                                                additive for           hydrolyzed bisphenol A-
                                                                                automotive             epichlorohydrin-polyethylene glycol
                                                                                electrocoat resin.     ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products sulfamates(salts).
P-16-0383..........................       12/1/2016        3/1/2017  CBI...................  (G) Component in       (G) Formic acid, compds. with
                                                                                electrocoat resin.     hydrolyzed bisphenol A-
                                                                                epichlorohydrin-polyethylene glycol
                                                                                ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products acetates (salts).
P-16-0383..........................       12/1/2016        3/1/2017  CBI...................  (G) Component of an    (G) Formic acid, compds. with
                                                                                electrocoat resin.     hydrolyzed bisphenol A-
                                                                                epichlorohydrin-polyethylene glycol
                                                                                ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products acetates (salts).
P-16-0383..........................       12/1/2016        3/1/2017  CBI...................  (S) Anti-Crater        (G) Formic acid, compds. with
                                                                                additive for           hydrolyzed bisphenol A-
                                                                                automotive             epichlorohydrin-polyethylene glycol
                                                                                electrocoat resin.     ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products acetates (salts).
P-16-0384..........................       12/1/2016        3/1/2017  CBI...................  (G) Component of       (G) Propanoic acid, 2-hydroxy-,
                                                                                electrocoat resin.     compds. with hydrolyzed bisphenol A-
                                                                                epichlorohydrin-polyethylene glycol
                                                                                ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products formates (salts).
P-16-0384..........................       12/1/2016        3/1/2017  CBI...................  (S) Anti-Crater        (G) Propanoic acid, 2-hydroxy-,
                                                                                additive for           compds. with hydrolyzed bisphenol A-
                                                                                automotive             epichlorohydrin-polyethylene glycol
                                                                                electrocoat resin.     ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products formates (salts).
P-16-0385..........................       12/1/2016        3/1/2017  CBI...................  (G) Component........  (G) Formic acid, compds. with
                                                                                of electrocoat resin.   hydrolyzed bisphenol A-
                                                                                epichlorohydrin-polyethylene glycol
                                                                                ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products sulfamates(salts).
P-16-0385..........................       12/1/2016        3/1/2017  CBI...................  (S) Anti-Crater        (G) Formic acid, compds. with
                                                                                additive for           hydrolyzed bisphenol A-
                                                                                automotive             epichlorohydrin-polyethylene glycol
                                                                                electrocoat resin.     ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products sulfamates(salts).

P-16-0385..........................       12/1/2016        3/1/2017  CBI...................  (G) Component in       (G) Formic acid, compds. with
                                                                                electrocoat resin.     hydrolyzed bisphenol A-
                                                                                epichlorohydrin-polyethylene glycol
                                                                                ether with bisphenol A (2:1)
                                                                                polymer-N1-(1,3-dimethylbutylidene)-
                                                                                N2-[2-[(1, 3-
                                                                                dimethylbutylidene)amino]ethyl]-1,2-
                                                                                ethanediamine-dialdehyde-2-
                                                                                (methylamino)ethanol reaction
                                                                                products sulfamates(salts).
P-16-0388..........................      12/22/2016       3/22/2017  CBI...................  (G) Hardener for       (G) Aliphatic polyamines, polymers
                                                                                epoxy coating.         with bisphenol A and
                                                                                epichlorohydrin.
P-16-0399..........................      12/22/2016       3/22/2017  Tryeco LLC............  (S) Agricultural soil  (S) Starch, polymer with 2-propenoic
                                                                                amendment for turf     acid, potassium salt. oxidized.
                                                                                applications and
                                                                                direct soil
                                                                                injection with
                                                                                fertilizers.
P-16-0399..........................      12/22/2016       3/22/2017  Tryeco LLC............  (S) Compound to be     (S) Starch, polymer with 2-propenoic
                                                                                used in preparation    acid, potassium salt. oxidized.
                                                                                of advanced seed
                                                                                coatings.
P-16-0399..........................      12/22/2016       3/22/2017  Tryeco LLC............  (S) Agricultural soil  (S) Starch, polymer with 2-propenoic
                                                                                amendment for filed    acid, potassium salt. oxidized.
                                                                                crops as ``agrisorb
                                                                                plus'' granular soil
                                                                                amendment.
P-16-0446..........................       12/5/2016        3/5/2017  Allnex USA Inc........  (S) Resin in           (G) Fatty acids, reaction products
                                                                                architectural primer   with alkylamine, polymers with
                                                                                coatings.              substituted carbomonocycle,
                                                                                substituted alkylamines,
                                                                                heteromonocycle and substituted
                                                                                alkanoate, lactates (salts).
P-16-0486..........................      12/15/2016       3/15/2017  CBI...................  (G) Isolated           (G) Polychloropropane.
                                                                                intermediate in the
                                                                                production of a
                                                                                refrigerant
                                                                                precursor.
P-16-0505..........................       12/5/2016        3/5/2017  CBI...................  (S) Polymeric resin    (S) Poly[oxy(methyl- 1, 2-
                                                                                for ultraviolet (uv)   ethanediyl) ] , alpha- (1- oxo- 2-
                                                                                curable acrylates.     propen- 1- yl)--omega- [(1- oxo- 2-
                                                                                propen- 1- yl) oxy] -.
P-16-0505..........................       12/5/2016        3/5/2017  CBI...................  (S) Polymeric resin    (S) Poly[oxy(methyl- 1, 2-
                                                                                for uv curable         ethanediyl) ] , a- (1- oxo- 2-
                                                                                acrylates.             propen- 1- yl)--- [(1- oxo- 2-
                                                                                propen- 1- yl) oxy] -.
P-16-0513..........................      12/28/2016       3/28/2017  CBI...................  (S) Intermediate for   (G) Alkylphenol.
                                                                                further reaction.
P-16-0530..........................       12/6/2016        3/6/2017  CBI...................  (S) Concrete and       (S) 2-propenoic acid, 2-methyl, 2-
                                                                                stone coating.         (dimethylamino) ethyl ester,
                                                                                polymer with ethyl 2-prpenoate, 2-
                                                                                hydroxyethyl m2-propenoate and
                                                                                methyl 2-methyl 2-propenoate,
                                                                                acetate salt.
P-16-0543..........................      12/19/2016       3/19/2017  CBI...................  (G) Battery            (G) Halogenophosphoric acid metal
                                                                                ingredient.            salt.
P-16-0547..........................      12/21/2016       3/21/2017  CBI...................  (G) Catalyst.........  (G) Neodymium aluminium alkyl
                                                                                polymer complex.
P-16-0589..........................      12/19/2016       3/19/2017  CBI...................  (G) Synthetic          (G) Pentaerythritol ester of mixed
                                                                                aircraft engine        linear and branched carboxylic
                                                                                lubricant for          acids.
                                                                                Contained use
                                                                                industrial lubricant.
P-16-0591..........................       12/9/2016        3/9/2017  Chromatic               (G) Component of       (G) Alkyl bis-phenol.
                                                                      Technologies, Inc.      printing ink.
P-16-0591..........................       12/9/2016        3/9/2017  Chromatic               (G) Component of       (G) Alkyl bis-phenol.
                                                                      Technologies, Inc.      colorants.

P-17-0013..........................      12/21/2016       3/21/2017  CBI...................  (G) Open dispersive    (G) Formaldehyde, polymer with
                                                                                use component in       arylylpolyamine, 2-
                                                                                liquid paint coating.  (chloromethyl)oxirane and phenol.
P-17-0107..........................      12/13/2016       3/13/2017  CBI...................  (S) Coreactant used    (G) Hydroxyl terminated polyurethane
                                                                                in an adhesive.        of methylene diphenyldiisocyanate
                                                                                based on polyester and polyether-
                                                                                polyol.
P-17-0121..........................       12/6/2016        3/6/2017  CBI...................  (S) Polyurethane used  (G) Methylene diphenyl diisocyanate
                                                                                in an adhesive.        terminated polyurethane resin.
P-17-0127..........................       12/6/2016        3/6/2017  Spectrum Tracer         (S) Chemical tracer    (G) Halogenated benzoic acid ethyl
                                                                      Services.               pumped into an oil     ester.
                                                                                or gas well to
                                                                                monitor well
                                                                                performance.
P-17-0139..........................       12/6/2016        3/6/2017  Spectrum Tracer         (S) Chemical tracer    (G) Halogenated benzoic acid ethyl
                                                                      Services.               pumped into an oil     ester.
                                                                                or gas well to
                                                                                monitor well
                                                                                performance.
P-17-0146..........................       12/2/2016        3/2/2017  CBI...................  (G) Coatings polymer.  (G) Aromaticpolycarboxylic acid,
                                                                                polymer with
                                                                                [(aminoalkyl)amino]alkanol,(chloroa
                                                                                lkyl)oxirane homopolymer etherwith
                                                                                polyalkyleneoxide,alkanedioic acid,
                                                                                alkyldiol, heterocyclicketone,
                                                                                alicyclic polyisocyanate,
                                                                                polyalkyleneoxide monoalkylether
                                                                                and polyalkoxyalkylajmine, reaction
                                                                                products with N-alkylalyklamine,
                                                                                alkylcarboxylate (salts).
P-17-0146..........................       12/2/2016        3/2/2017  CBI...................  (G) Ink binder         (G) Aromaticpolycarboxylic acid,
                                                                                polymer.               polymer with
                                                                                [(aminoalkyl)amino]alkanol,(chloroa
                                                                                lkyl)oxirane homopolymer etherwith
                                                                                polyalkyleneoxide,alkanedioic acid,
                                                                                alkyldiol, heterocyclicketone,
                                                                                alicyclic polyisocyanate,
                                                                                polyalkyleneoxide monoalkylether
                                                                                and polyalkoxyalkylajmine, reaction
                                                                                products with N-alkylalyklamine,
                                                                                alkylcarboxylate (salts).
P-17-0157..........................      12/20/2016       3/20/2017  CBI...................  (G) Binder used in     (G) Silane amine carbonate.
                                                                                coating manufacture.
P-17-0163..........................       12/8/2016        3/8/2017  CBI...................  (G) Chemical           (G) Substituted benzofuropyridine.
                                                                                precursor.
P-17-0164..........................       12/7/2016        3/7/2017  CBI...................  (G) Intermediate       (G) Substituted benzofuropyridine.
                                                                                chemical.
P-17-0165..........................       12/5/2016        3/5/2017  CBI...................  (G) Electronic device  (G) Fluorocyanophenyl alkylbenzoate.
                                                                                use.
P-17-0166..........................      12/12/2016       3/12/2017  CBI...................  (G) Additive in        (G) Rosin polymer, glycol ester.
                                                                                adhesive dispersions.
P-17-0167..........................      12/12/2016       3/12/2017  CBI...................  (G) Additive in        (G) Rosin polymer, glycol ester.
                                                                                adhesive dispersions.
P-17-0170..........................       12/8/2016        3/8/2017  Allnex Usa Inc........  (S) Uv curable         (G) Alkanediol, 2,2-bis (substituted
                                                                                coating resin for 3d   alkyl)-, polymer with substituted
                                                                                printing               alkane, heteromonocycles,
                                                                                applications.          alkenoate.
P-17-0171..........................      12/19/2016       3/19/2017  Classic Dyestuffs.....  (S) Solvent dye for    (S) 1,3-benzenedisulfonic acid, 4-[2-
                                                                                use as ink in hot      (5-cyano-1-ethyl-1,6-dihydro-2-
                                                                                foil stamping.         hydroxy-4-methyl-6-oxo-3-
                                                                                pyridinyl)diazenyl]-, sodium salt
                                                                                (1:2).
P-17-0172..........................       12/8/2016        3/8/2017  CBI...................  (G) Lubricating oil    (G) Sulfurized alkylphenol, calcium
                                                                                additive.              salts.
P-17-0173..........................      12/14/2016       3/14/2017  CBI...................  (G) Chemical/polymer   (G) Polydimethysiloxane eugenol
                                                                                modification.          group-terminated.
P-17-0174..........................      12/12/2016       3/12/2017  CBI...................  (G) Plastics additive  (G) Alkyltriethoxysilylpolysiloxane.

P-17-0176..........................      12/12/2016       3/12/2017  CBI...................  (G) Battery            (G) Carbonic acid, alkyl
                                                                                ingredient.            carbomonocyclic ester.
P-17-0177..........................      12/13/2016       3/13/2017  Shin-Etsu Microsi.....  (G) Microlithography   (G) Monoheteropentacycloalkane-4-
                                                                                for electronic         carboxylic acid, substituted-
                                                                                device Manufacturing.  cycloalkyl ester.
P-17-0178..........................      12/13/2016       3/13/2017  Shin-Etsu Microsi.....  (G) Microlithography   (G) Sulfonium, triphenyl-, salt with
                                                                                for electronic         substituted-alkyl 4-substituted-
                                                                                device manufacturing.  benzoate.
P-17-0179..........................      12/21/2016       3/21/2017  CBI...................  (S) Modified           (G) Modified carboxypolyamine salt.
                                                                                carboxypolyamine
                                                                                salt used as a
                                                                                dispersing additive
                                                                                for pigments in
                                                                                industrial paints
                                                                                and coatings.
P-17-0180..........................      12/20/2016       3/20/2017  CBI...................  (S) Modified acids     (G) Modified acids polymer with
                                                                                polymer with polyols   polyols and anhydride.
                                                                                and anhydride used
                                                                                as a dispersing
                                                                                additive for
                                                                                pigments in
                                                                                industrial paints
                                                                                and coatings.
P-17-0181..........................      12/16/2016       3/16/2017  CBI...................  (G) Polymeric          (G) 2-propanol, aklylamino, polymer
                                                                                dispersant.            with 2,4-diisocyanato-1-
                                                                                methylbenzene and 2,2'-
                                                                                iminobis[ethanol], 2-oxepanone
                                                                                homopolymer lauryl ester- and
                                                                                polypropylene glycol 2-
                                                                                aminomethylethyl branched
                                                                                nonylphenyl ether-blocked.
P-17-0184..........................      12/20/2016       3/20/2017  Colonial Chemical, Inc  (S) Transportation     (S) 1-propanaminium, 2-hydroxy-N, N-
                                                                                washes.                dimethyl-N-[3-[(1-oxooctyl-
                                                                                amino]propyl]-3-sulfo-, inner salt.
P-17-0184..........................      12/20/2016       3/20/2017  Colonial Chemical, Inc  (S) Industrial all-    (S) 1-propanaminium, 2-hydroxy-N, N-
                                                                                purpose cleaners.      dimethyl-N-[3-[(1-oxooctyl-
                                                                                amino]propyl]-3-sulfo-, inner salt.
P-17-0184..........................      12/20/2016       3/20/2017  Colonial Chemical, Inc  (S) Personal care      (S) 1-propanaminium, 2-hydroxy-N, N-
                                                                                products, shampoos,    dimethyl-N-[3-[(1-oxooctyl-
                                                                                facial washes.         amino]propyl]-3-sulfo-, inner salt.
P-17-0184..........................      12/20/2016       3/20/2017  Colonial Chemical, Inc  (S) Firefighting       (S) 1-propanaminium, 2-hydroxy-N, N-
                                                                                foams.                 dimethyl-N-[3-[(1-oxooctyl-
                                                                                amino]propyl]-3-sulfo-, inner salt.
P-17-0185..........................      12/20/2016       3/20/2017  CBI...................  (G) Additive, open,    (G) Fatty acids, C18-unsaturated
                                                                                non-dispersive use.    (unsatd.), dimers, hydrogenated,
                                                                                polymers with C18-unsatd. fatty
                                                                                acid trimers, alkylenediamine and
                                                                                hydroxyalkanoic acid.
P-17-0186..........................      12/20/2016       3/20/2017  CBI...................  (G) Additive, open,    (G) 2,5-furandione, telomer with
                                                                                non-dispersive use.    1,1'-(1,1-dimethyl-3-methylene-1,3-
                                                                                propanediyl)bis[benzene] and
                                                                                ethenylbenzene, carbonmonocycle
                                                                                alkyl ester, esters with
                                                                                polyalkylene glycol mono alkyl
                                                                                ethers, ammonium salts, 2,2'-(1,2-
                                                                                diazenediyl)bis[2-
                                                                                methylbutanenitrile]-initiated.
P-17-0190..........................      12/26/2016       3/26/2017  CBI...................  (G) A polymer in       (G) Butanoic acid, 3-oxo-, 2-[(2-
                                                                                paints and             methyl-1-oxo-2-propen-1-
                                                                                architectural          yl)oxy]ethyl ester, polymer with
                                                                                coatings.              cycloalkyl 2-methyl-2-propenoate,
                                                                                ethenylbenzene, 2-ethylhexyl 2-
                                                                                propenoate, methyl 2-methyl-2-
                                                                                propenoate and 2-methylpropyl 2-
                                                                                methyl-2- propenoate.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    For the 10 NOCs received by EPA during this period, Table 2
provides the following information (to the extent that such information
is not claimed as CBI): The EPA case number assigned to the NOC; the
date the NOC was received by EPA; the projected date of commencement
provided by the submitter in the NOC; and the chemical identity.

                        Table 2--NOCs Received From December 1, 2016 to December 30, 2016
----------------------------------------------------------------------------------------------------------------
                                                              Commencement
                  Case No.                    Received date       date                     Chemical
----------------------------------------------------------------------------------------------------------------
J-15-0033..................................      12/22/2016      12/21/2016  (G) Modified trichoderma reesei
                                                                              strain.
J-16-0033..................................      12/19/2016       12/4/2016  (G) Saccharomyces cerevisiae,
                                                                              modified to express glucoamylase
                                                                              activity.
P-07-0177..................................      12/15/2016       9/11/2007  (S) Isocyanic acid,
                                                                              polymethylenepolyphenylene ester,
                                                                              polymer with methoxylated
                                                                              dehydrochlorinated brominated 2-
                                                                              butyne-1,4-diolepichlorohydrin
                                                                              polymer.
P-07-0395..................................       12/5/2016       7/29/2007  (G) Dialkyl formamide.
P-14-0713..................................       12/7/2016      11/20/2016  (S) Plastics, wastes, pyrolyzed, C5-
                                                                              12 oil.
P-14-0714..................................       12/7/2016      11/20/2016  (S) Plastics, wastes, pyrolyzed, C9-
                                                                              20 pyrolysis oil.
P-14-0715..................................       12/7/2016      11/20/2016  (S) Waste plastics, pyrolyzed, C20-
                                                                              55 fraction.
P-16-0074..................................      12/20/2016       12/1/2016  (G) Isocyanate terminated
                                                                              polyurethane.
P-16-0248..................................       12/5/2016      11/18/2016  (G) Poly(oxy-1,2-ethanediyl),
                                                                              [eacute],[eacute]'-
                                                                              [(1,methylethylidene)di-4,1-
                                                                              phenylene]bis[[iuml]-hydroxy-,
                                                                              polymer with aliphatic
                                                                              diisocyanate, propylene glycol
                                                                              monomethacrylate-blocked.
P-16-0492..................................      12/21/2016      12/10/2016  (G) Polyester-amide polymer of
                                                                              `isophthalic acid' with diamino-
                                                                              alkane, cyclohexane-dialcohol,
                                                                              alkanetriol, di-isocyanate and
                                                                              acrylic acid-ethylene copolymer.
----------------------------------------------------------------------------------------------------------------

    Authority:  15 U.S.C. 2601 et seq.

    Dated: January 30, 2017.
Pamela Myrick,
Director, Information Management Division, Office of Pollution
Prevention and Toxics.
[FR Doc. 2017-04772 Filed 3-9-17; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register Volume 88, Number 54 (Tuesday, March 21, 2023)]
[Proposed Rules]
[Pages 16922-16924]
[FR Doc No: 2023-05669]

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

DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket Number USCG-2023-0127]
RIN 1625-AA00

Safety Zone; Fireworks Display; James River, Newport News, VA

AGENCY: Coast Guard, DHS.

ACTION: Notice of proposed rulemaking.

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

SUMMARY: The Coast Guard is establishing a safety zone for navigable
waters within a 400-yard radius of a fireworks barge in the James
River, Newport News, VA. The safety zone is needed to protect
personnel, vessels, and the marine environment from potential hazards
created by the launching of fireworks. Entry of vessels or persons into
this zone is prohibited unless specifically authorized by the Captain
of the Port (COTP) Sector Virginia. We invite your comments on this
proposed rulemaking.

DATES: Comments and related material must be received by the Coast
Guard on or before April 20, 2023.

ADDRESSES: You may submit comments identified by docket number USCG-
2023-0127 using the Federal Decision-Making Portal at https://www.regulations.gov. See the ``Public Participation and Request for
Comments'' portion of the SUPPLEMENTARY INFORMATION section for further
instructions on submitting comments.

FOR FURTHER INFORMATION CONTACT: If you have questions about this
proposed

rulemaking, call or email LCDR Ashley Holm, Chief, Waterways Management
Division, Sector Virginia, U.S. Coast Guard; telephone<PHONE_NUMBER>
email [email protected].

SUPPLEMENTARY INFORMATION:

I. Table of Abbreviations

CFR Code of Federal Regulations
DHS Department of Homeland Security
FR Federal Register
NPRM Notice of proposed rulemaking
Sec.  Section
U.S.C. United States Code

II. Background, Purpose, and Legal Basis

    On January 12, 2023, the City of Newport News notified the Coast
Guard that it will be conducting fireworks display annually on July 4th
from 9 p.m. to 9:30 p.m. each year, to commemorate Independence Day.
The fireworks are to be launched from a barge at position
36[deg]58'28.72'' N, 076[deg]26'20.97'' W in the James River in Newport
News, VA. Hazards from firework displays include accidental discharge
of fireworks, dangerous projectiles, and falling hot embers or other
debris. The COTP Sector Virginia has determined that potential hazards
associated with the fireworks to be used in this display would be a
safety concern for anyone within a 400-yard radius of the barge.
    The purpose of this rulemaking is to ensure the safety of vessels
and the navigable waters within a 400-yard radius of the fireworks
barge before, during, and after the scheduled event. The Coast Guard is
proposing this rulemaking under authority in 46 U.S.C. 70034.

III. Discussion of Proposed Rule

    The COTP is proposing to establish a safety zone annually on July
4th from 9 to 9:30 p.m. each year. The safety zone would cover all
navigable waters within 400 yards of the fireworks barge located at
position 36[deg]58'28.72'' N, 076[deg]26'20.97'' W in the James River
in Newport News, VA. The duration of the zone is intended to ensure the
safety of vessels and these navigable waters before, during, and after
the fireworks display. No vessel or person would be permitted to enter
the safety zone without obtaining permission from the COTP or a
designated representative. The regulatory text we are proposing appears
at the end of this document.

IV. Regulatory Analyses

    We developed this proposed rule after considering numerous statutes
and Executive orders related to rulemaking. Below we summarize our
analyses based on a number of these statutes and Executive orders, and
we discuss First Amendment rights of protestors.

A. Regulatory Planning and Review

    Executive Orders 12866 and 13563 direct agencies to assess the
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits. This NPRM has not been designated a ``significant
regulatory action,'' under Executive Order 12866. Accordingly, the NPRM
has not been reviewed by the Office of Management and Budget (OMB).
    This regulatory action determination is based on the size,
location, duration, and time-of-day of the safety zone. Vessel traffic
would be able to safely transit around this safety zone which would
impact a small designated area of the James River for less than 1 hour
during the evening when vessel traffic is normally low. Moreover, the
Coast Guard would issue a Broadcast Notice to Mariners via VHF-FM
marine channel 16 about the zone, and the rule would allow vessels to
seek permission to enter the zone.

B. Impact on Small Entities

    The Regulatory Flexibility Act of 1980, 5 U.S.C. 601-612, as
amended, requires Federal agencies to consider the potential impact of
regulations on small entities during rulemaking. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000. The Coast Guard certifies under 5 U.S.C. 605(b) that this
proposed rule would not have a significant economic impact on a
substantial number of small entities.
    While some owners or operators of vessels intending to transit the
safety zone may be small entities, for the reasons stated in section
IV.A above, this proposed rule would not have a significant economic
impact on any vessel owner or operator.
    If you think that your business, organization, or governmental
jurisdiction qualifies as a small entity and that this proposed rule
would have a significant economic impact on it, please submit a comment
(see ADDRESSES) explaining why you think it qualifies and how and to
what degree this rule would economically affect it.
    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this proposed rule. If the proposed rule
would affect your small business, organization, or governmental
jurisdiction and you have questions concerning its provisions or
options for compliance, please call or email the person listed in the
FOR FURTHER INFORMATION CONTACT section. The Coast Guard will not
retaliate against small entities that question or complain about this
proposed rule or any policy or action of the Coast Guard.

C. Collection of Information

    This proposed rule would not call for a new collection of
information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520).

D. Federalism and Indian Tribal Governments

    A rule has implications for federalism under Executive Order 13132
(Federalism), if it has a substantial direct effect on the States, on
the relationship between the National Government and the States, or on
the distribution of power and responsibilities among the various levels
of government. We have analyzed this proposed rule under that Order and
have determined that it is consistent with the fundamental federalism
principles and preemption requirements described in Executive Order
13132.
    Also, this proposed rule does not have tribal implications under
Executive Order 13175 (Consultation and Coordination with Indian Tribal
Governments) because it would not have a substantial direct effect on
one or more Indian tribes, on the relationship between the Federal
Government and Indian tribes, or on the distribution of power and
responsibilities between the Federal Government and Indian tribes. If
you believe this proposed rule has implications for federalism or
Indian tribes, please call or email the person listed in the FOR
FURTHER INFORMATION CONTACT section.

E. Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this proposed rule would not
result in such an expenditure, we do discuss the potential effects of
this proposed rule elsewhere in this preamble.

F. Environment

    We have analyzed this proposed rule under Department of Homeland

Security Directive 023-01, Rev. 1, associated implementing
instructions, and Environmental Planning COMDTINST 5090.1 (series),
which guide the Coast Guard in complying with the National
Environmental Policy Act of 1969 (42 U.S.C. 4321-4370f), and have made
a preliminary determination that this action is one of a category of
actions that do not individually or cumulatively have a significant
effect on the human environment. This proposed rule involves a safety
zone lasting only 30 minutes that will prohibit entry within 400 yards
of the fireworks barge. Normally such actions are categorically
excluded from further review under paragraph L60(a) of Appendix A,
Table 1 of DHS Instruction Manual 023-01-001-01, Rev. 1. A preliminary
Record of Environmental Consideration supporting this determination is
available in the docket. For instructions on locating the docket, see
the ADDRESSES section of this preamble. We seek any comments or
information that may lead to the discovery of a significant
environmental impact from this proposed rule.

G. Protest Activities

    The Coast Guard respects the First Amendment rights of protesters.
Protesters are asked to call or email the person listed in the FOR
FURTHER INFORMATION CONTACT section to coordinate protest activities so
that your message can be received without jeopardizing the safety or
security of people, places, or vessels.

V. Public Participation and Request for Comments

    We view public participation as essential to effective rulemaking
and will consider all comments and material received during the comment
period. Your comment can help shape the outcome of this rulemaking. If
you submit a comment, please include the docket number for this
rulemaking, indicate the specific section of this document to which
each comment applies, and provide a reason for each suggestion or
recommendation.
    Submitting comments. We encourage you to submit comments through
the Federal Decision-Making Portal at https://www.regulations.gov. To
do so, go to https://www.regulations.gov, type USCG-2023-0127 in the
search box and click ``Search.'' Next, look for this document in the
Search Results column, and click on it. Then click on the Comment
option. If you cannot submit your material by using https://www.regulations.gov, call or email the person in the FOR FURTHER
INFORMATION CONTACT section of this proposed rule for alternate
instructions.
    Viewing material in docket. To view documents mentioned in this
proposed rule as being available in the docket, find the docket as
described in the previous paragraph, and then select ``Supporting &
Related Material'' in the Document Type column. Public comments will
also be placed in our online docket and can be viewed by following
instructions on the https://www.regulations.gov Frequently Asked
Questions web page. Also, if you click on the Dockets tab and then the
proposed rule, you should see a ``Subscribe'' option for email alerts.
The option will notify you when comments are posted, or a final rule is
published.
    We review all comments received, but we will only post comments
that address the topic of the proposed rule. We may choose not to post
off-topic, inappropriate, or duplicate comments that we receive.
    Personal information. We accept anonymous comments. Comments we
post to https://www.regulations.gov will include any personal
information you have provided. For more about privacy and submissions
to the docket in response to this document, see DHS's eRulemaking
System of Records notice (85 FR 14226, March 11, 2020).

List of Subjects in 33 CFR Part 165

PART 165--REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS

0
1. The authority citation for part 165 continues to read as follows:

    Authority:  46 U.S.C. 70034, 70051, 70124; 33 CFR 1.05-1, 6.04-
1, 6.04-6, and 160.5; Department of Homeland Security Delegation No.
00170.1, Revision No. 01.3.

0
2. Amend Sec.  165.506 by adding in Table 3 to Paragraph (h)(3) the
entry for ``14'' to read as follows:

Sec.  165.506  Safety Zones; Fireworks Displays in the Fifth Coast
Guard District.

* * * * *
    (h) * * *
(3) Coast Guard Sector Virginia--COTP Zone

                       Table 3 to Paragraph (h)(3)
------------------------------------------------------------------------

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

                              * * * * * * *
14............  July 4th........  James River,      All waters of the
                                   Newport News,     James River, within
                                   VA; Safety Zone.  a 400-yard radius
                                                     around position
                                                     36[deg]58'28.72''
                                                     N,
                                                     076[deg]26'20.97''
                                                     W.
------------------------------------------------------------------------

* * * * *

    Dated: March 13, 2023.
Jennifer A. Stockwell,
Captain, U.S. Coast Guard, Captain of the Port Sector Virginia.
[FR Doc. 2023-05669 Filed 3-20-23; 8:45 am]
BILLING CODE 9110-04-P


about the Portfolio Manager's(s') compensation, other accounts managed
by the Portfolio Manager(s), and the Portfolio Manager's(s') ownership
of securities in the Fund. If a Portfolio Manager is a member of a
committee, team, or other group of persons associated with the Fund or
an investment adviser of the Fund that is jointly and primarily
responsible for the day-to-day management of the Fund's portfolio,
provide a brief description of the person's role on the committee,
team, or other group (e.g., lead member), including a description of
any limitations on the person's role and the relationship between the
person's role and the roles of other persons who have responsibility
for the day-to-day management of the Fund's portfolio.
* * * * *
    14. Form N-4 (referenced in Sec. Sec.  239.17b and 274.11c) is
amended by revising the reference ``Item 22(b)(ii) of Form N-1A'' to
read ``Item 28(b)(ii) of Form N-1A'' and by revising the reference
``Item 22(b)(ii) equation'' to read ``Item 28(b)(ii) equation'' in
Instruction 3 to Item 21(b)(ii).

    Note: The text of Form N-4 does not, and these amendments will
not, appear in the Code of Federal Regulations.

    By the Commission.

    Dated: November 21, 2007.
Nancy M. Morris,
Secretary.

Appendix

    Note: This Appendix will not appear in the Code of Federal
Regulations.

BILLING CODE 8011-01-P

[GRAPHIC] [TIFF OMITTED] TP30NO07.000

[GRAPHIC] [TIFF OMITTED] TP30NO07.001

[GRAPHIC] [TIFF OMITTED] TP30NO07.002

[FR Doc. 07-5852 Filed 11-29-07; 8:45 am]

BILLING CODE 8011-01-C


[Federal Register Volume 85, Number 234 (Friday, December 4, 2020)]
[Notices]
[Pages 78323-78324]
[FR Doc No: 2020-26692]

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

ENVIRONMENTAL PROTECTION AGENCY

[ER-FRL-9054-2]

Environmental Impact Statements; Notice of Availability

    Responsible Agency: Office of Federal Activities, General
Information<PHONE_NUMBER> or https://www.epa.gov/nepa.

Weekly receipt of Environmental Impact Statements (EIS)
Filed November 20, 2020 10 a.m. EST Through November 30, 2020 10 a.m.
EST

    Pursuant to 40 CFR 1506.9.
    Notice: Section 309(a) of the Clean Air Act requires that EPA make
public its comments on EISs issued by other Federal agencies. EPA's
comment letters on EISs are available at: https://cdxnodengn.epa.gov/cdx-enepa-public/action/eis/search.

EIS No. 20200243, Final, BR, ND, Eastern North Dakota Alternate Water
Supply Project, Review Period Ends: 01/04/2021, Contact: Damien
Reinhart<PHONE_NUMBER>.
EIS No. 20200244, Final, USAF, FL, F-35A Wing Beddown at Tyndall AFB
and MQ-9 Wing Beddown at Tyndall AFB or Vandenberg AFB, Review

Period Ends: 01/04/2021, Contact: Nolan Swick<PHONE_NUMBER>.
EIS No. 20200245, Draft, BLM, NV, Robinson Mine Plan of Operations
Amendment, Comment Period Ends: 01/19/2021, Contact: Tiera Arbogast
775-293-5042.
EIS No. 20200246, Final, BLM, AK, Bering Sea-Western Interior Proposed
Resource Management Plan and Final Environmental Impact Statement,
Review Period Ends: 01/04/2021, Contact: Jorjena Barringer 907-267-
1246.
EIS No. 20200247, Final, USFWS, BLM, NV, Thacker Pass Lithium Mine
Project, Review Period Ends: 01/04/2021, Contact: Ken Loda 775-623-
1500.
EIS No. 20200248, Final, USFS, AZ, Fossil Creek Wild and Scenic River
Comprehensive River Management Plan, Review Period Ends: 01/19/2021,
Contact: Mike Dechter<PHONE_NUMBER>.

    Dated: November 30, 2020.
Cindy S. Barger,
Director, NEPA Compliance Division, Office of Federal Activities.
[FR Doc. 2020-26692 Filed 12-3-20; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register: March 20, 2007 (Volume 72, Number 53)]
[Notices]
[Page 13146-13147]
[DOCID:fr20mr07-99]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-55464; File No. SR-Amex-2007-08]

Self-Regulatory Organizations; American Stock Exchange LLC; Order
Granting Approval of a Proposed Rule Change to Establish a Passive
Price Improvement Order for Specialists and Registered Traders

March 13, 2007.

I. Introduction

    On January 19, 2007, the American Stock Exchange LLC (``Amex'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change pursuant to Section 19(b)(1)
of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4
thereunder.\2\ The proposed rule change was published for comment in
the Federal Register on February 2, 2007.\3\ The Commission received
one comment letter.\4\ On March 12, 2007, Amex submitted a response to
the comment letter.\5\ This order approves the proposed rule change.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Release Act 55179 (January 26,
2007), 72 FR 05091 (February 2, 2007).
    \4\ See Letter from Christopher Cornette, Member, Amex, to
Florence E. Harmon, Deputy Secretary, Commission, received February
14, 2007.
    \5\ See Letter from Claire P. McGrath, Senior Vice President &
General Counsel, Amex, to Nancy M. Morris, Secretary, Commission,
dated March 12, 2007 (``Amex Response Letter'').
---------------------------------------------------------------------------

II. Description of the Proposal

    Amex proposes to amend the rules for its AEMI trading platform \6\
to add a Passive Price Improvement (``PPI'') order type. PPI orders are
undisplayed orders that, to execute, would have to be inside the
automated best bid and offer of the Exchange (also referred to as the
``Amex Published Quote'' or ``APQ'') by at least a tick. They would be
the only method for Specialists and Registered Traders to offer price
improvement electronically. A Specialist or Registered Trader would
have to have at least one active quote on a particular side of a
security on the AEMI book to enter and maintain a PPI order in the same
security on the same side. A Specialist or Registered Trader that meets
this quoting requirement could enter only one PPI order on each side
for a security. A PPI order could not form part of the APQ and would be
visible only to the entering Specialist or Registered Trader (or his
firm).
---------------------------------------------------------------------------

    \6\ See Securities Exchange Act Release No. 54552 (September 29,
2006), 71 FR 59546 (October 10, 2006).
---------------------------------------------------------------------------

    AEMI would make a PPI order eligible for execution if at least one
of the following conditions were met:
    1. The Specialist's or Registered Trader's displayed quote is at
the APQ on the side of the PPI order that would be executed. In this
case, the PPI order would be executed up to (a) the size of the
Specialist's or Registered Trader's displayed quote on that side or (b)
the size of the incoming order, whichever is smaller.
    2. The Specialist's or Registered Trader's displayed quote is one
tick away from the APQ on the side of the PPI order that would be
executed. In this case, the PPI order would be executed up to (a) half
of the size of the Specialist's or Registered Trader's displayed quote
on that side or (b) the size of the incoming order, whichever is
smaller.
    The AEMI system would ignore (i.e., make ineligible for execution
against an otherwise marketable aggressing order, without canceling)
the remaining size of a PPI order beyond the thresholds described
above.\7\ The AEMI system would also ignore a PPI order in the
following circumstances:
---------------------------------------------------------------------------

    \7\ For example, assume that a Specialist's bid for 1,000 shares
is part of the Amex best bid and there are no better-priced
protected quotations at other trading centers. The Specialist has a
PPI order to buy 3,000 shares priced one tick better than the Amex
best bid. Assume that an incoming market order to sell 3,000 shares
is received by AEMI. The system would execute 1,000 shares against
the Specialist's PPI order, and the remainder would execute one tick
down at the Amex best bid (based on the Exchange's rules of priority
and parity). The remaining size of the PPI order (2,000 shares) is
ignored because the PPI order may execute only up to the size of the
Specialist's displayed bid at the APQ.
---------------------------------------------------------------------------

     The PPI order locks or crosses the automated NBBO or APQ
as a result of a change in the automated NBBO or APQ;
     The PPI order equals the APQ on the same side of the
market;

     There is a negotiated trade; or
     AEMI's auto-execution functionality is disabled.
    In addition, the AEMI system would cancel a PPI order in three
circumstances: (1) if the Specialist's or Registered Trader's best
quote is withdrawn; (2) at the end of the day; or (3) there is a
trading halt in the security.
    If there were multiple PPI orders at the same price, the
Specialist's PPI order would have priority, and any remaining size of
an aggressing order would be executed against Registered Trader PPI
orders in time priority. Intermarket sweep orders would be generated as
necessary to clear any better-priced protected quotations at other
trading centers before executing any PPI orders on the AEMI system.
    To reflect the proposed rule change as described above, changes are
proposed to the following AEMI rules: Rule 123-AEMI (Manner of Bidding
and Offering), Rule 131-AEMI (Types of Orders), Rule 157-AEMI (Orders
with More than One Broker), and Rule 170-AEMI (Registration and
Functions of Specialists).

III. Summary of Comments and Amex Response

    The Commission received one comment letter opposing the proposed
rule change. The commenter argued that limiting the use of PPI Orders
to Specialists and Registered Traders gives them ``an unfair
advantage'' and thus is not consistent with Section 6(b) of the Act.
    The commenter noted that the Specialist would have access to
aggressing orders that could be price-improved but Floor Brokers would
not. The commenter suggested that there would be many instances where
Floor Brokers would be willing to provide price improvement but would
not publicly display such interest in order to minimize any potential
market impact. The commenter also suggested that PPI Orders could be
misused to trade ahead of a Floor Broker's marketable orders instead of
providing price improvement.
    In its response to comments, Amex asserted that Floor Brokers are
able to operate effectively and compete with Specialists and Registered
Traders. For example, Amex pointed out that Floor Brokers have the
exclusive use of certain order types on AEMI (e.g., percentage orders
and reserve orders). Amex also emphasized that the use of PPI Orders
would be monitored and policed electronically. Amex stated that its
regulatory program would be able to detect possible unfair trading
practices. Finally, Amex represented that it ``is in the process of
developing the means by which other market participants, including
floor brokers, would have the ability to systematically provide such
price improvement.'' \8\
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    \8\ Amex Response Letter at 1.
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IV. Discussion and Commission's Findings

    After careful consideration, 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.\9\ In particular, the Commission finds that the proposal is
consistent with the requirements of Section 6(b)(5) of the Act,\10\
which requires, among other things, that the Exchange's rules be
designed 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.
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    \9\ In approving this proposed rule change, the Commission notes
that it has considered the proposed rule's impact on efficiency,
competition, and capital formation. See 15 U.S.C. 78c(f).
    \10\ 15 U.S.C. 78f(b)(5).
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    The Commission previously has found similar exchange rules to be
consistent with the Act.\11\ The Commission does not believe that the
comment raises any issue that would preclude approval of the current
proposal. As the Commission noted in the NYSE Hybrid Approval Order,
Specialists today are permitted to offer price improvement to incoming
orders in the auction market.\12\ In this proposal, Amex seeks to
provide its Specialists and Registered Traders with the ability to
continue to offer price improvement in an electronic environment, but
only if certain conditions are met. A Specialist's or Registered
Trader's PPI order is eligible for execution only if its quote on the
same side of the market is at or one tick away from the APQ. If the
Specialist's or Registered Trader's quotation is at the APQ, a PPI
order is eligible to execute up to the same size as its quotation; if
it is one tick away from the APQ, the PPI order is eligible to execute
up to one half the size of its quotation. A PPI order will be ignored
if the Specialist's or Registered Trader's quotation is more than one
tick away from the APQ. Thus, a Specialist's ability to benefit from
the PPI order is directly correlated with the extent to which it quotes
competitive markets in size. The Commission notes, moreover, that Amex
has represented that it ``is in the process of developing the means by
which other market participants, including floor brokers, would have
the ability to systematically provide such price improvement.'' \13\
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    \11\ See Securities Exchange Act Release Nos. 53539 (March 22,
2006), 71 FR 16353, 16381-82 (March 31, 2006) (``NYSE Hybrid
Approval Order'') and 54511 (September 25, 2006), 71 FR 58460
(October 3, 2006).
    \12\ See 71 FR at 16382.
    \13\ Amex Response Letter at 1.
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    The Commission further notes that a PPI order could execute only
against a marketable incoming limit order. An incoming order that is
not marketable against a PPI order (or a protected quotation) and that
improves the APQ would be quoted as part of the new APQ.

V. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\14\ that the proposed rule change (SR-Amex-2007-08), be, and it
hereby is, approved.
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    \14\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\15\
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    \15\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-5005 Filed 3-19-07; 8:45 am]

BILLING CODE 8010-01-P