residential lawn 0.04 1000 gals 8500 8500 12000 No Data 2400 12000 24000 No Data Dry Flowables for Chemigation application ( 4) Golf course turf ( tees/ greens) 32.67 10 970 970 1400 No Data 280 1400 2800 No Data Dry Flowables for Chemigation application ( 5) Golf course turf ( fairways) 32.67 40 240 240 340 No Data 70 360 700 No Data Dry Flowables for Chemigation application ( 6) Sod farms 32.67 350 28 28 39 No Data 8 41 80 No Data Dry Flowables for High Pressure HandWand application ( 7) Ornamentals ( herbaceous plants,

woody shrubs and vines) 1.50 1000gals 210 210 300 No Data 61 310 610 No Data Dry Flowables for High Pressure HandWand application ( 8) Containerized nursery stock, soil drench ( pepper, tomato) 0.0038 1000 gals 85000 85000 120000 No Data 24000 120000 240000 No Data Dry Flowables for Groundboom application ( 9) Soil band treatment ( broccoli, brussels sprouts, cabbage,

cauliflower) 30 80 130 130 190 No Data 38 190 380 No Data Dry Flowables for Groundboom application ( 10) Cotton 2 200 800 800 1100 No Data 230 1200 2300 No Data Table 15: Summery of Short and Intermediate Term Occupational Risk for PCNB Exposure Scenario ( Scenario #) Crop App Rate4 lbai/ A or lb ai/ gal Daily Area Treated A or gals Dermal MOE Inhalation MOE9 Baseline PPE1 PPE2 PPE3 PPE4 PPE5 PPE6 Eng. C Baseline PPE1 PPE4 PPE2 PPE5 PPE3 PPE6 Eng. C 45 Dry Flowables for Groundboom application ( 11) Peanuts 11.59 80 340 340 480 No Data 98 500 980 No Data Mixing/ Loading Liquids for Groundboom application ( 12) Band treatment ( dried beans, succulent beans, lima) 2 80 45 5700 7700 15000 360 1800 3600 5300 Mixing/ Loading Liquids for Groundboom application ( 13) Band treatment, soil treatment ( garlic) 20 80 4.5 570 770 1500 36 180 360 530 Mixing/ Loading Liquids for Chemigation application ( 14) Ornamental lawn and turf 32.67 5 44 5600 7600 15000 360 1800 3600 5200 Mixing/ Loading Liquids for Chemigation application ( 15) Commercial/ industrial lawns 32.67 10 22 2800 3800 7500 180 890 1800 2600 Mixing/ Loading Liquids for Chemigation application ( 16) Sod farms 32.67 350 0.63 80 110 210 5.1 26 51 74 Mixing/ Loading Liquids for Grounfboom application ( 16a) Sod farms 32.67 80 2.8 350 470 930 22 110 220 320 Mixing/ Loading Liquids for Chemigation application ( 17) Golf course turf 32.67 10 22 2800 3800 7500 180 890 1800 2600 Mixing/ Loading Liquids for Chemigation application ( 18) Golf course turf ( fairways) 32.67 40 5.5 700 950 1900 45 220 450 650 Mixing/ Loading Liquids for High Pressure HandWand application ( 19) Commercial industrial lawn 0.15 1000 gals 48 6100 8200 16000 390 1900 3900 5600 Mixing/ Loading Liquids for Groundboom application ( 20) Cotton 2 200 18 2300 3100 6100 150 730 1500 2100 Mixing/ Loading Liquids for Groundboom application ( 21) Garlic 20 80 4.5 570 770 1500 36 180 360 530 Mixing/ Loading Liquids for Groundboom application ( 22) Peanuts 10 80 9.1 1100 1500 3100 73 360 730 1100 Mixing/ Loading Liquids for Groundboom application ( 23) Potato 25 80 3.6 460 620 1200 29 150 290 420 Table 15: Summery of Short and Intermediate Term Occupational Risk for PCNB Exposure Scenario ( Scenario #) Crop App Rate4 lbai/ A or lb ai/ gal Daily Area Treated A or gals Dermal MOE Inhalation MOE9 Baseline PPE1 PPE2 PPE3 PPE4 PPE5 PPE6 Eng. C Baseline PPE1 PPE4 PPE2 PPE5 PPE3 PPE6 Eng. C 46 Mixing/ Loading Liquids for Chemigation application ( 24) Potato 25 350 0.83 100 140 280 6.7 33 67 96 Mixing/ Loading Liquids for Aerial application ( 25) Potato 25 350 0.83 100 140 280 6.7 33 67 96 Mixing/ Loading Liquids for Groundboom application ( 26) Soil band treatment ( broccoli, Chinese broccoli, brussels sprouts, cabbage,

Chinese cabbage,

cauliflower, collards,

kale, mustard) 30 80 3 380 510 1000 24 120 240 350 Mixing/ Loading Liquids for High Pressure HandWand application ( 27) Containerized stock ( broccoli, Chinese broccoli, brussels sprouts, cabbage,

Chinese cabbage,

cauliflower, collards,

kale, mustard) 0.02 1000 gals 480 6100 82000 160000 3900 19000 39000 56000 Mixing/ Loading Liquids for Airblast application ( 28) Foliar spray ( magnolia tree) 6 20 60 7600 10000 20000 490 2400 4900 7000 Mixing/ Loading Liquids for Groundboom application ( 29) Tomato, pepper 7.50 80 12 1500 2100 4100 97 490 970 1400 Mixing/ Loading Liquids for Groundboom application ( 30) Southern pine ( seed orchard) 42.50 10 17 2100 2900 5700 140 690 1400 2000 Mixing/ Loading Liquids for Dip tank application ( 31) Ornamental bulb soak and cut flowers 0.02 100 gals 4800 61000 0 820000 1600000 39000 190000 390000 560000 Loading Granulars for Tractor Drawn Spreaders application ( 32) Beans 1.50 80 21000 25000 51000 1000000 340 1700 3400 17000 Loading Granulars for Tractor Drawn Spreaders application ( 33) Soil band treatment ( broccoli, brussels sprouts, cabbage,

cauliflower, collards,

kale, mustard) 30 80 1000 1300 2600 51000 17 86 170 860 Table 15: Summery of Short and Intermediate Term Occupational Risk for PCNB Exposure Scenario ( Scenario #) Crop App Rate4 lbai/ A or lb ai/ gal Daily Area Treated A or gals Dermal MOE Inhalation MOE9 Baseline PPE1 PPE2 PPE3 PPE4 PPE5 PPE6 Eng. C Baseline PPE1 PPE4 PPE2 PPE5 PPE3 PPE6 Eng. C 47 Loading Granulars for Tractor Drawn Spreaders application ( 34) Golf course turf ( tees/ greens) 43.56 10 5700 7000 14000 280000 95 470 950 4700 Loading Granulars for Tractor Drawn Spreaders application ( 35) Golf course turf ( fairways) 43.56 40 1400 1700 3500 71000 24 120 240 1200 Loading Granulars for Tractor Drawn Spreaders application ( 36) Sod farms 43.56 80 720 870 1800 35000 12 59 120 590 Loading Granulars for Tractor Drawn Spreaders application ( 37) Cotton 2 200 6300 7600 15000 310000 100 510 1000 5100 Loading Granulars for Tractor Drawn Spreaders application ( 38) Pepper 1.35 80 23000 28000 57000 1100000 380 1900 3800 19000 Loading Granulars for Tractor Drawn Spreaders application ( 39) Potato 25 80 1300 1500 3100 62000 21 100 210 1000 Wettable Powders for Groundboom application ( 40) beans( lima, snap,

dried) 1.50 80 47 1000 1300 18000 14 68 140 2400 Wettable Powders for Chemigation application ( 41) beans( lima, snap,

dried) 1.50 350 11 240 310 4100 3.1 16 31 560 Wettable Powders for Chemigation application ( 42) soil band treatment ( broccoli, Chinese,

broccoli, brussels sprouts, cabbage,

Chinese cabbage,

cauliflower, collards,

kale, mustard) 30 350 0.54 12 15 200 0.16 0.78 1.6 28 Wettable Powders for Groundboom application ( 43) soil band treatment ( broccoli, Chinese,

broccoli, brussels sprouts, cabbage,

Chinese cabbage,

cauliflower, collards,

kale, mustard) 30 80 2.4 51 67 890 0.68 3.4 6.8 120 Wettable Powders for Chemigation application ( 44) commercial/ industrial lawns 40.80 10 14 300 400 5300 4 20 40 710 Table 15: Summery of Short and Intermediate Term Occupational Risk for PCNB Exposure Scenario ( Scenario #) Crop App Rate4 lbai/ A or lb ai/ gal Daily Area Treated A or gals Dermal MOE Inhalation MOE9 Baseline PPE1 PPE2 PPE3 PPE4 PPE5 PPE6 Eng. C Baseline PPE1 PPE4 PPE2 PPE5 PPE3 PPE6 Eng. C 48 Wettable Powders for High Pressure HandWand application ( 45) commercial/ industrial lawns 0.50 1000 gals 11 250 320 4300 3.3 16 33 580 Wettable Powders for Groundboom application ( 46) cotton 2 200 14 310 400 5400 4.1 20 41 730 Wettable Powders for Chemigation application ( 47) cotton 2 350 8.1 180 230 3100 2.3 12 23 420 Wettable Powders for Chemigation application ( 48) golf course turf ( tees and greens) 40.80 10 14 300 400 5300 4 20 40 710 Wettable Powders for Chemigation application ( 49) golf course turf ( fairways) 40.80 40 3.5 76 99 1300 0.100 5 1.00 180 Wettable Powders for Chemigation application ( 50) sod farms 40.80 350 0.4 8.7 11 150 0.11 0.57 1.1 20 Wettable Powders for Groundboom application ( 51) sod farms 40.80 80 1.7 38 49 660 0.50 2.5 5 89 Wettable Powders for Groundboom application ( 52) Peanuts 2 80 35 770 1000 13000 10 51 100 1800 Wettable Powders for Chemigation application ( 53) peanuts 2 350 8.1 180 230 3100 2.3 12 23 420 Wettable Powders for Groundboom application ( 54) pepper, tomato 7.50 80 9.5 210 270 3600 2.7 14 27 490 Wettable Powders for Groundboom application ( 55) pine ( seed orchard) 37.50 10 15 330 430 5700 4.3 22 43 780 Applicator Sprays for High Pressure HandWand application ( 56) containerized nursery stock, soil drench ( beans, brussels sprouts, cabbage,

cauliflower) 0.0038 1000 gals 3100 8800 16000 No Data 240 1200 2400 No Data Sprays for High Pressure HandWand application ( 57) commercial/ industrial lawns, residential lawn 0.04 1000 gals 310 880 1600 No Data 24 120 240 No Data Table 15: Summery of Short and Intermediate Term Occupational Risk for PCNB Exposure Scenario ( Scenario #) Crop App Rate4 lbai/ A or lb ai/ gal Daily Area Treated A or gals Dermal MOE Inhalation MOE9 Baseline PPE1 PPE2 PPE3 PPE4 PPE5 PPE6 Eng. C Baseline PPE1 PPE4 PPE2 PPE5 PPE3 PPE6 Eng. C 49 Sprays for High Pressure HandWand application ( 58) ornamentals ( foliar application only) 1.50 1000 gals 7.8 22 39 No Data 0.59 2.9 5.9 No Data Sprays for High Pressure HandWand application ( 59) containerized nursery stock, soil drench ( pepper, tomato) 0.0038 1000 gals 3100 8800 16000 No Data 240 1200 2400 No Data Sprays for Groundboom application ( 60) Soil band treatment ( broccoli, brussels sprouts, cabbage,

cauliflower) 30 80 630 630 800 1800 39 190 390 680 Sprays for Groundboom application ( 61) Cotton 2 200 3800 3800 4800 11000 240 1200 2400 4100 Sprays for Groundboom application ( 62) Peanuts 11.59 80 1600 1600 2100 4500 100 500 1000 1800 Sprays for Groundboom application ( 63) Band treatment ( dried beans, succulent beans, lima) 2 80 9400 9400 12000 26000 590 2900 5900 10000 Sprays for Groundboom application ( 64) Band treatment, soil treatment ( garlic) 20 80 940 940 1200 2600 59 290 590 1000 Sprays for High Pressure HandWand application ( 65) commercial industrial lawn 0.15 1000 gals 78 220 390 No Data 5.9 29 59 No Data Sprays for Groundboom application ( 66) Cotton 2 200 3800 3800 4800 11000 240 1200 2400 4100 Sprays for Groundboom application ( 67) Garlic 20 80 940 940 1200 2600 59 290 590 1000 Sprays for Groundboom application ( 68) Peanuts 10 80 1900 1900 2400 5300 120 580 1200 2000 Sprays for Groundboom application ( 69) Potato 25 80 750 750 950 2100 47 230 470 810 Sprays for Aerial application ( 70) potato 25 350 No Data No Data No Data 480 No Data No Data No Data 120 Sprays for Groundboom application ( 71) Soil band treatment ( broccoli, Chinese broccoli, brussels sprouts, cabbage,

Chinese cabbage,

cauliflower, collards,

kale, mustard) 30 80 630 630 800 1800 39 190 390 680 Table 15: Summery of Short and Intermediate Term Occupational Risk for PCNB Exposure Scenario ( Scenario #) Crop App Rate4 lbai/ A or lb ai/ gal Daily Area Treated A or gals Dermal MOE Inhalation MOE9 Baseline PPE1 PPE2 PPE3 PPE4 PPE5 PPE6 Eng. C Baseline PPE1 PPE4 PPE2 PPE5 PPE3 PPE6 Eng. C 50 Sprays for High Pressure HandWand application ( 72) containerized stock ( broccoli, Chinese broccoli, brussels sprouts, cabbage,

Chinese cabbage,

cauliflower, collards,

kale, mustard) 0.02 1000 gals 780 2200 3900 No Data 59 290 590 No Data Sprays for Airblast application ( 73) Foliar spray ( magnolia tree) 6 20 490 730 800 9200 130 650 1300 1300 Sprays for Groundboom application ( 74) Tomato, pepper 7.50 80 2500 2500 3200 7000 160 780 1600 2700 Sprays for Groundboom application ( 75) Southern pine ( seed orchard) 42.50 10 3500 3500 4500 9900 220 1100 2200 3800 Applying Granulars for Tractor Drawn Spreaders application ( 76) Beans 1.50 80 18000 24000 42000 83000 490 2400 4900 2700 Applying Granulars for Tractor Drawn Spreaders application ( 77) Soil band treatment ( broccoli, brussels sprouts, cabbage,

cauliflower, collards,

kale, mustard) 30 80 880 1200 2100 4200 24 120 240 130 Applying Granulars for Tractor Drawn Spreaders application ( 78) Golf course turf ( tees/ greens) 43.56 10 4900 6700 11000 23000 130 670 1300 730 Applying Granulars for Tractor Drawn Spreaders application ( 79) Golf course turf ( fairways) 43.56 40 1200 1700 2900 5700 33 170 330 180 Applying Granulars for Tractor Drawn Spreaders application ( 80) Sod farms 43.56 80 610 840 1400 2900 17 84 170 91 Applying Granulars for Tractor Drawn Spreaders application ( 81) Cotton 2 200 5300 7300 13000 25000 150 730 1500 800 Applying Granulars for Tractor Drawn Spreaders application ( 82) Peanuts 2 80 13000 18000 31000 63000 360 1800 3600 2000 Applying Granulars for Tractor Drawn Spreaders application ( 83) Pepper 1.35 80 20000 27000 46000 93000 540 2700 5400 2900 Table 15: Summery of Short and Intermediate Term Occupational Risk for PCNB Exposure Scenario ( Scenario #) Crop App Rate4 lbai/ A or lb ai/ gal Daily Area Treated A or gals Dermal MOE Inhalation MOE9 Baseline PPE1 PPE2 PPE3 PPE4 PPE5 PPE6 Eng. C Baseline PPE1 PPE4 PPE2 PPE5 PPE3 PPE6 Eng. C 51 Applying Granulars for Tractor Drawn Spreaders application ( 84) Potato 25 80 1100 1500 2500 5000 29 150 290 160 Sprays for Groundboom application ( 85) Beans( lima, snap,

dried) 1.50 80 13000 13000 16000 35000 790 3900 7900 14000 Sprays for Groundboom application ( 86) Soil band treatment ( broccoli, Chinese,

broccoli, brussels sprouts, cabbage,

Chinese cabbage,

cauliflower, collards,

kale, mustard) 30 80 630 630 800 1800 39 190 390 680 Sprays for High Pressure HandWand application ( 87) commercial/ industrial lawns 0.50 1000 gals 23 66 120 No Data 1.8 8.8 18 No Data Sprays for Groundboom application ( 88) Cotton 2 200 3800 3800 4800 11000 240 1200 2400 4100 Sprays for Groundboom application ( 89) Sod farms 40.80 80 460 460 580 1300 29 140 290 500 Sprays for Groundboom application ( 89a) Sod farms 32.67 80 570 570 730 1600 36 180 360 620 Sprays for Groundboom application ( 90) Peanuts 2 80 9400 9400 12000 26000 590 2900 5900 10000 Sprays for Groundboom application ( 91) Pepper, tomato 7.50 80 2500 2500 3200 7000 160 780 1600 2700 Sprays for Groundboom application ( 92) Pine ( seed orchard) 37.50 10 4000 4000 5100 11000 250 1200 2500 4300 Flagger Flagging for Sprays application ( 93) Potato 25 350 220 240 240 11000 23 110 230 1100 Mixer/ Loader/ App Mixing/ Loading/ Applying Liquids for Handgun ( lawn) Sprayer ( ORETF) application ( 94) Ornamentals ( herbaceous plants,

woody shrubs and vines) 218 5 No Data No Data 77 No Data 36 No Data No Data No Data Mixing/ Loading/ Applying Liquids for Handgun ( lawn) Sprayer ( ORETF) application ( 95) Ornamental and Lawn turf 32.67 5 No Data No Data 510 No Data 240 No Data No Data No Data Table 15: Summery of Short and Intermediate Term Occupational Risk for PCNB Exposure Scenario ( Scenario #) Crop App Rate4 lbai/ A or lb ai/ gal Daily Area Treated A or gals Dermal MOE Inhalation MOE9 Baseline PPE1 PPE2 PPE3 PPE4 PPE5 PPE6 Eng. C Baseline PPE1 PPE4 PPE2 PPE5 PPE3 PPE6 Eng. C 52 Loading/ Applying Granulars for Push type spreader ( ORETF) application ( 96) Commercial industrial lawns 43.56 5 280 440 880 No Data 44 No Data No Data No Data Loading/ Applying Granulars for Belly Grinder application ( 97) ornamental lawns and turf 43.56 0.5 96 100 No Data No Data 52 270 520 No Data Loading/ Applying Granulars for Belly Grinder application ( 98) ornamentals ( shade trees, herbaceous,

woody shrubs and vines) 217.80 0.5 19 21 No Data No Data 10 54 100 No Data Loading/ Applying Granulars for Push type spreader ( ORETF) application ( 99) Ornamentals ( shade trees, herbaceous,

woody shrubs and vines) 217.80 0.5 550 880 1800 No Data 88 No Data No Data No Data Mixing/ Loading/ Applying Wet Powders for Low Pressure Handwand application ( 100) ornamental ( woody shrubs and vines,

herbaceous plants) 217.80 5 2.2 2.2 3.1 No Data 0.058 0.29 0.58 No Data Mixing/ Loading/ Applying Wet Powders for Low Pressure Handwand application ( 101) ornamental ( shade trees) 37.50 5 13 13 18 No Data 0.34 1.7 3.4 No Data Baseline : Occupational handlers using open mixing techniques and open cab tractors are wearing long sleeved shirts, long pants, no gloves, and no respirator.

PPE1: Occupational handlers using open mixing techniques and open cab tractors are wearing long sleeved shirts, long pants, chemical resistant gloves, and a no respirator.

PPE2: Occupational handlers using open mixing techniques and open cab tractors are wearing long sleeved shirts, long pants, chemical resistant gloves, and a dust/ mist ( 5 fold PF) respirator.

PPE3: Occupational handlers using open mixing techniques and open cab tractors are wearing long sleeved shirts, long pants, chemical resistant gloves, and an air purifying ( 10 fold PF) respirator.

PPE4: Occupational handlers using open mixing techniques and open cab tractors are wearing coveralls over long sleeved shirts, long pants, chemical resistant gloves, and no respirator.

PPE5: Occupational handlers using open mixing techniques and open cab tractors are wearing coveralls over long sleeved shirts, long pants, chemical resistant gloves, and a dust/ mist ( 5 fold PF)

respirator.

PPE6: Occupational handlers using open mixing techniques and open cab tractors are wearing coveralls over long sleeved shirts, long pants, chemical resistant gloves, and an air purifying ( 10 fold PF)

respirator. Engineering Controls: Occupational handlers using closed mixing techniques and enclosed cab tractors or cockpits while wearing long sleeved shirts, long pants, chemical resistant gloves, and no respiratory protection. 53 NO 2 Cl Cl Cl Cl Cl NH 2 Cl Cl Cl Cl Cl S CH 3 Cl 5 SCH 2 CHCO 2 H NHCCH 2 CO 2 H O Cl 5 APPENDIX 2 A compiled list of all metabolites of PCNB found in plant metabolism, animal metabolism, rotational crops, water, and rat ( toxic) studies.

# Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 1 Potato ( 45307303) peanut ( 45307302) peanut roots ( 41562902) whole potato, callus, and peel ( 41562903) cabbage leaves ( 41562904) chicken fat ( 41692801) Rotational crops: lettuce, wheat forage, wheat straw ( 44577501) pentachloronitrobenzene ( PCNB)

2 Potato ( 45307303) peanut ( 45307302) whole potato and peel ( 41562903) goat liver ( 41692805) goat kidney ( 41692805) goat omental fat ( 41692805) goat renal fat ( 41692805) goat milk ( 41692805) chicken fat ( 41692801) egg yolk ( 41692801) Rotational crops: turnip top, turnip root, lettuce, wheat forage, wheat straw ( 44577501) pentachloroaniline ( PCA)

3 Potato ( 45307303) whole potato and peel ( 41562903) cabbage leaves ( 41562904) chicken thigh ( 41692801) egg yolk ( 41692801) Rotational crops: turnip root, lettuce, wheat forage, wheat straw ( 44577501) pentachlorothioanisole ( PCTA)

or,

( methyl pentachlorophenyl sulfide, MPCPS)

4 Potato ( 45307303) peanut ( 45307302) Rotational crops: lettuce ( 44577501) S( pentachlorophenyl) malonylcysteine ( PCP MalCys)

( C5MaCy) # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 54 SO 3 H Cl 4 NH 2 CH 3 Cl Cl Cl Cl Cl Cl 5 NHOH Cl Cl Cl Cl Cl SCH 2 CHCOOH Cl Cl Cl Cl Cl NHCOCH 2 CH 2 CHCOOH NH 2 5 Potato ( 45307303) peanut ( 45307302) Rotational crops: wheat forage, wheat straw ( 44577501) aminotetrachlorobenzene sulfonic acid ( AM TCB sulfonic acid)

( C4SANH)

( tetrachlorosulfanilic acid)

6 Potato ( 45307303) pentachloroanisole ( PCAN)

7 Potato ( 45307303) egg yolks ( 41692801) Rotational crops: lettuce, wheat forage, wheat straw ( 44577501) pentachlorobenzene ( PCB)

8 Potato ( 45307303) peanut root ( 41562902) whole potato, callus, and peel ( 41562903) cabbage leaves ( 41562904) goat liver ( 41692805) goat urine ( 41692805) chicken kidney ( 41692801) N hydroxypentachloroaniline ( NOHPCA)

9 Potato ( 45307303) potato callus and peel ( 41562903) S( pentachlorophenyl)   glutamyl cysteine ( PCP GluCys) # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 55 SCH 2 CHCONHCH 2 COOH Cl Cl Cl Cl Cl NHCOCH 2 CH 2 CHCOOH NH 2 SCH 2 CHCOOH Cl Cl Cl Cl Cl NHCOCH 2 COCH 3 O NH 2 SOCH 3 Cl 4 NH SO 3 H SCH 3 Cl 4 NO 2 Cl 4 SO 3 H Cl 4 NO 2 10 Potato ( 45307303) Rotational crops: wheat forage ( 44577501) S( pentachlorophenyl) glutathione ( PCP GSH)

11 Potato ( 45307303) peanut roots ( 41562902) whole potato callus, and peel ( 41592903) chicken excreta ( 41692801) S( pentachlorophenyl) malonylcysteine monomethyl ester ( PCP MalCys ester)

12 Potato ( 45307303) chicken fat ( 41692801) goat kidney ( 41692805) tetrachloroaniline methyl sulfoxide ( TCA sulfoxide isomers)

13 Potato ( 45307303) tetrachloro methylthio aniline sulfamate ( TC MET A sulfamate)

14 Potato ( 45307303) potato peel ( 41562903) tetrachloronitrobenzene ( TCNB isomers)

15 Potato ( 45307303) tetrachloronitrobenzene sulfonic acid ( TCNB sulfonic acid isomers) # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 56 NO 2 Cl 4 SCH 3 SOCH 3 Cl 4 OH SOCH 3 Cl 4 SH SO 3 H Cl 4 SH NH 2 Cl 4 NH 2 N H SO 3 H Cl 4 NH 2 NH 2 Cl 4 OH 16 Potato ( 45307303) tetrachloronitrothioanisole ( TCNTA isomers)

17 Potato ( 45307303) tetrachlorophenol methyl sulfoxide ( TCP sulfoxide)

18 Potato ( 45307303) tetrachlorothiophenol methyl sulfoxide ( TCTP sulfoxide)

19 Potato ( 45307303) tetrachlorothiophenol sulfonic acid ( TCTP sulfonic acid)

20 Potato ( 45307303) aminotetrachloroaniline ( AM TCA isomers)

21 Potato ( 45307303) aminotetrachloroaniline sulfamate ( AM TCA sulfamate)

22 Potato ( 45307303) hydroxytetrachloroaniline ( OH TCA) # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 57 NH 2 Cl 4 NHOH NHOH Cl 4 OH NHOH Cl 4 SCH 3 SCH 2 CHCONHCH 2 COOH NHCOCH 2 CH 2 CHCOOH NH 2 Cl 4 SOCH 3 SCH 2 CHCOOH NHCOCH 2 COOH Cl 4 SOCH 3 23 Potato ( 45307303) N hydroxyamino tetrachloroaniline ( NOHAM TCA)

24 Potato ( 45307303) N hydroxyamino tetrachlorophenol ( NOHAM TCP)

25 Potato ( 45307303) N hydroxyaminotetrachlorothioanisole ( NOHAM TCTA isomers)

26 Potato ( 45307303) S( tetrachloro methyl sulfoxyphenyl glutathione ( TC MES PGSH

27 Potato ( 45307303) S( tetrachloro methyl sulfoxyphenyl malonylcysteine ( TC MESP MalCys) # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 58 SCH 2 CHCONHCH 2 COOH NHCOCH 2 CH 2 CHCOOH NH 2 Cl 4 NO 2 SCH 2 CHCOOH NHCOCH 2 COOH Cl 4 NO 2 Cl 4 SCH 2 CHCONHCH 2 COOH NHCOCH 2 CH 2 CHCOOH NH 2 2 Cl 4 SCH 2 COOH 2 SCH 2 CHCOOH Cl 4 SCH 2 CHCOOH NHCOCH 2 CH 2 CHCOOH NH 2 NH 2 28 Potato ( 45307303) peanut ( 45307302) S( tetrachloronitrophenyl) glutathione ( TCNP GSH)

29 Potato ( 45307303) Peanut ( 45307302) S( tetrachloronitrophenyl) malonylcysteine ( TCNP MalCys)

30 Potato ( 45307303) S, S

 ( tetrachlorophenyl) diglutathione ( TCP diGSH)

31 Potato ( 45307303) S, S

 ( tetrachlorophenyl) dithioacetate ( TCP dithioacetate)

32 Potato ( 45307303) S, S

 ( tetrachlorophenyl)   glutamyl cysteine cysteine ( TCP GluCys Cys) # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 59 SCH 2 CHCOOH Cl 4 SCH 2 CHCOOH NHCOCH 2 CH 2 CHCOOH OH NHCOCH 3 NH 2 NO 2 SOCH 3 Cl 3 NHOH Cl 3 SCH 3 2 NHOH OMe NH 2 Cl 3 Cl 3 SCH 2 CHCOOH NHCOCH 2 CH 2 CHCOOH NH 2 NH 2 SCH 2 CHCOOH NH 2 33 Potato ( 45307303) acetyl S, S

 ( tetrachlorophenyl) cysteine cysteinyl   hydroxyglutarate ( AC TCP Cys CysHOG)

34 Potato ( 45307303) trichloronitroaniline methyl sulfoxide ( RCNA sulfoxide)

35 Potato ( 45307303) N hydroxy trichloro dimethylthioaniline ( NOH RC diMET A)

36 Potato ( 45307303) N hydroxyamino trichloro methoxyaniline ( NOHAM RC OME A)

37 Potato ( 45307303) S, S

 ( trichloroanilino)   glutamylcysteine cysteine ( RCAGluCys Cys) # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 60 Cl 3 SCH 2 CHCOOH NHCOCH 2 COOH SCH 2 COOH NO 2 Cl 3 SCH 2 CCOOH NHCOCH 2 CH 2 CHCOOH NH 2 SCH 2 CHCOOH SCH 3 NH 2 Cl 3 SCH 2 CHCONHCH 2 COOH NHCOCH 2 CH 2 CHCOOH NHCOCH 3 SCH 2 CHCOOH OMe NHCOCH 3 SCH 2 CHCOOH Cl 4 NH 2 NHCOCH 2 COOH 38 peanut ( 45307302) N malonyl S ( tetrachloroaminophenyl) cysteine 39 Potato ( 45307303) S, S

 ( trichloronitrophenyl) malonyl cysteine thioacetate ( RCNP MalCysthioacetate

40 Potato ( 45307303) S, S

 ( trichlorothioanisole)   glutamyl cysteine cysteine ( RCTAGluCys Cys)

41 Potato ( 45307303) diacetyl S, S

 ( trichloro anisole) glutathione cysteine ( diAC RCANGSH Cys) # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 61 Cl 3 SCH 3 SCH 2 CHCOOH NHCOCH 2 CH 2 CHCOOH NHCOCH 3 2 SO 3 H Cl 5 42 Potato ( 45307303) diacetyl S, S

 ( trichloro thioanisole) diglutathione ( diAC RCTAdiGluCys

43 Potato peel ( 41562903) Tetrachloronitrophenol ( TCNP)

44 potato peel ( 41562903) Tetrachlorophenol ( TCP)

45 peanut roots ( 41562902) Tetrachloroaniline ( TCA)

46 goat urine ( 41692805) Pentachloroaniline sulfamate 47 Rotational crops: turnip top, turnip root, lettuce, wheat forage, wheat straw ( 44577501) C5SA pentachlorobenzenesulfonic acid # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 62 48 goat liver ( 41692805) goat kidney ( 41692805) chicken excreta ( 41692801) chicken liver ( 41692801) egg yolk ( 41692801) Pentachlorothiophenol ( PCTP)

49 cabbage leaves ( 41562904) chicken liver ( 41692801) Rotational crops: turnip top, turnip root, wheat forage, wheat straw ( 44577501) Pentachlorothioanisole sulfoxide ( PCTA sulfoxide) ( PCTASO) ( C5MX)

50 goat kidney ( 41692805) chicken fat ( 41692801) Tetrachlorothioanisole ( TCTA)

51 cabbage leaves ( 41562904) Rotational crops: wheat straw ( 44577501) Tetrachlorophenyl methyl sulfoxide ( TCPM sulfoxide) ( C4MX)

52 cabbage leaves ( 41562904) chicken kidney ( 41692801) chicken thigh ( 41692801) Rotational Crops: turnip top, turnip root, lettuce ( 44577501) Tetrachlorophenyl methyl sulfone ( TCPM sulfone) ( TCTASOO) ( C4MS) ( TCP methyl sulfone)

53 cabbage ( 41562904) Rotational crops: turnip top, turnip root, lettuce, wheat forage, wheat straw ( 44577501) Trichlorophenyl methyl sulfone ( RCPM sulfone) ( C3MS) # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 63 54 cabbage leaves ( 41562904) Trichlorophenol methyl sulfone ( RCHM sulfone)

55 goat liver ( 41692805) goat kidney ( 41692805) goat urine ( 41692805) Tetrachloro ( methylthio) thiophenol ( TCTP S Met)

56 goat liver ( 41692805) Pentachlorothiophenol dimer ( PCTP dimer)

57 potato callus and peel ( 41562903) goat urine ( 41692805) Pentachlorothiophenyl conjugate ( PCTP X)

58 chicken excreta ( 41692801) chicken kidney ( 41692801) chicken liver ( 41692801) chicken thigh ( 41692801) S( pentachlorophenyl) thioacetate # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 64 59 chicken excreta ( 41692801) S( pentachlorophenyl) thiopyruvate 60 whole potato, callus, and peel ( 41562903) chicken kidney ( 41692801) S( pentachlorophenyl) cysteine ( PCP Cys)

61 peanut roots ( 41562902) S[( methylthio) tetrachlorophenyl] 2 thioacetic acid ( MTCP TAA)

62 potato callus and peel ( 41562903) Pentachlorothiophenyl glycoside ( PCTP Gly)

63 potato callus and peel ( 41562903) Pentachlorophenol glycoside ( PCPGly # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 65 SO 3 H Cl 4 SO 3 H Cl 3 SO 3 H Cl 2 S CH 3 O SO 3 H Cl 4 OH Cl 5 64 goat liver ( 41692805) goat kidney ( 41692805) N( pentachloroaniline) glucuronide ( PCA Gluc)

65 Rotational Crops: turnip top, turnip root ( 44577501) Pentachlorophenol ( PCP)

66 Rotational crops: turnip top, turnip root, lettuce, wheat forage, wheat straw ( 44577501) tetrachlorobenzenesulfonic acid ( C4SA)

67 Rotational crops: turnip top, turnip root, wheat forage, wheat straw ( 44577501) C3SA trichlorobenzenesulfonic acid 68 Rotational crops: turnip top, turnip root, wheat forage ( 44577501) C2SA dichlorobenzenesulfonic acid 69 Rotational crops: wheat forage, wheat straw ( 44577501) C4MXSA tetrachlorosulfophenyl methyl sulfoxide ( tetrachlorothioanisole sulfoxide, sulfonic acid) # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 66 S CH 3 O Cl 3 SO 3 H S CH 3 O O Cl 4 SO 3 H S CH 3 O O SO 3 H Cl 3 S CH 3 O O CL 2 SO 3 H SO 3 H Cl 3 NH 2 70 Rotational crops: wheat straw ( 44577501) C3MXSA trichlorosulfophenyl methyl sulfoxide ( trichlorothioanisole sulfoxide, sulfonic acid)

71 Rotational crops: wheat straw ( 44577501) C4MSSA tetrachlorosulfophenyl methyl sulfone ( tetrachlorothioanisole sulfone, sulfonic acid)

72 Rotational crops: turnip top, turnip root, wheat forage, wheat straw ( 44577501) C3MSSA trichlorosulfophenyl methyl sulfone ( trichlorothioanisole sulfone, sulfonic acid)

73 Rotational crops: wheat straw ( 44577501) C2MSSA dichlorosulfophenyl methyl sulfone ( dichlorothioanisole, sulfonic acid)

74 Rotational crops: wheat forage, wheat straw ( 44577501) C3SANH trichlorosulfanilic acid # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 67 SO 3 H Cl 3 OH SCH 2 CHCH 3 Cl 4 HNCCH 3 O SCH 2 CHCO 2 H SCH 2 CHCO 2 H Cl 4 NHCOH NHCOCH 2 CO 2 H SO 3 hexose Cl 5 SCH 2 CHCO 2 H SCH 2 CHCO 2 H Cl 4 NH 2 NH 2 75 Rotational crops: wheat forage ( 44577501) C3SAOH hydroxy trichlorobenzene sulfonic acid ( trichloro hydroxybenzene sulfonic acid)

76 Rotational crops: lettuce, wheat forage, wheat straw ( 44577501) C4MeAcCy N{ 1 methyl 2[( tetrachlorophenyl) thio] ethyl} acetamide ( tetrachlorophenyl methyl cysteine)

77 Rotational crops: lettuce, wheat forage ( 44577501) C4MaCyFCy S( tetrachlorophenyl) Nmalonylcysteine S' formylcysteine 78 Rotational crops: wheat forage ( 44577501) C5SAHx b pentachlorobenzenesulfonic acid hexose ester 79 Rotational crops: wheat forage ( 44577501) C4CyCy S, S' tetrachlorophenyl dicysteine # Matrices ( MRID in parentheses) Chemical Name ( other names in parenthesis) Structure 68 SCH 2 CHCO 2 H SCH 2 CHCO 2 H Cl 4 NHCOH NH 2 S O O CH 3 SCH 2 CHCO 2 H Cl 3 NHCCH 2 CO 2 H O S O O CH 3 SCH 2 CHCO 2 H Cl 2 NHCCH 2 CO 2 H O Cl Cl Cl Cl N Cl O H gluc S O O CH 3 Cl 5 80 Rotational crops: lettuce ( 44577501) C4CyFCy S( tetrachlorophenyl) cysteine S' formylcysteine 81 Rotational crops: turnip root, lettuce ( 44577501) C3MSMaCy N malonyl S trichloro ( methylsulfonophenyl) L cysteine S( trichlorophenyl methyl sulfone) malonyl cysteine 82 Rotational crops: turnip top, turnip root ( 44577501) C2MSMaCy N malonyl S dichloro ( methylsulfonophenyl) L cysteine S( dichlorophenyl methyl sulfone) malonyl cysteine 83 Goat liver ( 41692805) glucuronide of NOHPCA ( NOHPCA Gluc)

84 Water ( minor degradate) pentachlorothioanisole sulfone ( PCTASO2) 69


[Federal Register Volume 81, Number 25 (Monday, February 8, 2016)]
[Notices]
[Pages 6556-6558]
[FR Doc No: 2016-02335]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-77035; File No. SR-MIAX-2016-02]

Self-Regulatory Organizations; Miami International Securities
Exchange LLC; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change To Amend Exchange Rule 301

February 2, 2016.
    Pursuant to the provisions of 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 January 20, 2016, Miami International
Securities Exchange LLC (``MIAX'' or ``Exchange'') filed with the
Securities and Exchange Commission (``Commission'') a proposed rule
change as described in Items I and II below, which Items have been
prepared by the Exchange. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

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

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

    The Exchange is filing a proposal to amend Exchange Rule 301, Just
and Equitable Principles of Trade, to add Interpretations and Policies
.03 to Rule 301 to state in the Exchange's rules that the practice of
unbundling an order is considered conduct inconsistent with just and
equitable principles of trade.
    The text of the proposed rule change is available on the Exchange's
Web site at http://www.miaxoptions.com/filter/wotitle/rule_filing, at
MIAX'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
    The Exchange proposes to amend Exchange Rule 301, Just and
Equitable Principles of Trade, to add Interpretations and Policies .03
to Rule 301 that states that the practice of unbundling an order is
considered conduct inconsistent with just and equitable principles of
trade. The proposal codifies existing Exchange procedures when dealing
with the unlawful bundling of orders.
    The purpose of the proposed rule change is to amend Exchange Rule
301 by adding a new Interpretations and Policies .03 to Rule 301 which
will expressly prohibit the splitting-up of an order into smaller
orders; a practice also known as unbundling, or trade shredding. More
specifically, the Exchange is proposing to add language to its existing
rules to prohibit Members \3\ from splitting orders into multiple
smaller orders for any purpose other than best execution.
---------------------------------------------------------------------------

    \3\ The term ``Member'' means an individual or organization
approved to exercise trading rights associated with a Trading
Permit. Members are deemed ``members'' under the Exchange Act. See
Exchange Rule 100.
---------------------------------------------------------------------------

    Unbundling, or trade shredding, is the practice of breaking up an
order into multiple smaller orders for some purpose other than best
execution of the order. The practice of unbundling has in the past been
used for such purposes as improperly maximizing commissions and fees
charged to customers, distorting trade data, or circumventing rules
pertaining to maximum order size. In addition, the unbundling of a
large order into several smaller orders could be done so as to affect
the allocation of a trade among market participants pursuant to the
allocation methodology

used by the Exchange.\4\ Finally, the Exchange believes that the
unbundling of orders generally serves no purpose to the customer that
entered the order and may cause unnecessary delays in the execution of
said orders.
---------------------------------------------------------------------------

    \4\ For example, pursuant to Exchange Rule 514(g)(2), small size
orders, or orders of five contracts or less, are allocated to the
Primary Lead Market Maker (``PLMM'') if the PLMM has a priority
quote at the NBBO. If a Member was to break up a large order into
several smaller orders of five contracts or less, the PLMM could
unfairly garner a greater trade allocation than it was otherwise
entitled to.
---------------------------------------------------------------------------

    Pursuant to Exchange Rule 301, Members must observe high standards
of commercial honor and just and equitable principles of trade. The
Exchange would consider a Member to have engaged in conduct
inconsistent with just and equitable principles of trade were they to
unbundle an order which (1) distorts fees and/or commissions to the
detriment of a customer or the Exchange, (2) causes an unnecessary
delay in the execution of an order, or (3) circumvents an Exchange rule
or federal securities law, including those rules pertaining to order
size and trade allocation. Members engaging in conduct inconsistent
with just and equitable principles of trade are subject to formal
disciplinary action by the Exchange.
    The Exchange now proposes to adopt Interpretations and Policies .03
to Rule 301, which will expressly state that the Exchange considers it
to be conduct inconsistent with just and equitable principles of trade
for a Member to split an order into multiple smaller orders for any
purpose other than seeking the best execution of the entire order.
    The Exchange believes that, by adopting this proposed language
which serves to codify existing Exchange procedures when dealing with
the unlawful unbundling of orders, it will deter and help to prevent
this distortive practice, and therefore promote just and equitable
principles of trade.
    The Exchange notes that it considers unbundling, among other
things, to be conduct inconsistent with just and equitable principles
of trade in the rules governing its price improvement mechanism, MIAX
PRIME.\5\ The Exchange notes further that other US options exchanges
have rules prohibiting the unbundling of orders for a variety of
reasons, including the early termination of any price improvement
mechanism auction conducted by an exchange, and violations of these
rules may be considered conduct inconsistent with just and equitable
principles of trade.\6\
---------------------------------------------------------------------------

    \5\ Specifically, it shall be considered conduct inconsistent
with just and equitable principles of trade, in accordance with Rule
301, for any Member to enter orders, quotes, Agency Orders, or other
responses for the purpose of disrupting or manipulating the Auction.
Such conduct includes, but is not limited to, engaging in a pattern
or practice of submitting unrelated orders that cause an Auction to
conclude before the end of the RFR period and engaging in a pattern
of conduct where the Member submitting the Agency Order into the
PRIME breaks up the Agency Order into separate orders for two (2) or
fewer contracts for the purpose of gaining a higher allocation
percentage than the Member would have otherwise received in
accordance with the allocation procedures contained in paragraph
(a)(2)(iii) or (b)(2)(iii) above. See Exchange Rule 515A,
Interpretations and Policies .01.
    \6\ See Securities Exchange Act Release Nos. 62667 (August 9,
2010), 75 FR 50013 (August 16, 2010) (SR-NYSEAmex-2010-77) (adopting
NYSE Amex Rule 995NY(d)); and 52872 (December 1, 2005), 70 FR 73043
(December 8, 2005), (SR-CBOE-2005-92) (adopting CBOE Rule 4.23). See
also International Securities Exchange LLC Rule 723 Supplementary
Material .01 (prohibiting the entering of orders, quotes, Agency
Orders, Counter-Side Orders or Improvement Orders for the purpose of
disrupting or manipulating the Price Improvement Mechanism Auction),
CBOE Rule 6.74A Interpretations and Policies .02 (prohibiting the
submission of unrelated orders that cause an Automated Improvement
Mechanism Auction to conclude before the end of the RFR period) and
NASDAQ OMX PHLX LLC Rule 1080(b)(iii).
---------------------------------------------------------------------------

2. Statutory Basis
    MIAX believes that its proposed rule change is consistent with
Section 6(b) of the Act \7\ in general, and furthers the objectives of
Section 6(b)(5) of the Act \8\ in particular, in that it is designed to
prevent fraudulent and manipulative acts and practices, to promote just
and equitable principles of trade, to foster cooperation and
coordination with persons engaged in facilitating transactions in
securities, to remove impediments to and perfect the mechanisms of a
free and open market and a national market system and, in general, to
protect investors and the public interest.
---------------------------------------------------------------------------

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

    The proposed rule change is designed to protect investors and the
public interest and to promote just and equitable principles of trade
by preventing the distortive practice of unbundling, or trade
shredding, which conduct is considered inconsistent with the just and
equitable principles of trade.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. Specifically, the Exchange
believes the proposed changes will not impose any burden on intra-
market competition because it applies to all MIAX participants equally.
In addition, the Exchange does not believe the proposal will impose any
burden on inter-market competition as the proposal is intended to
protect investors by preventing the distortive practice of unbundling,
or trade shredding.

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 after the date of the filing, or such
shorter time as the Commission may designate, it has become effective
pursuant to Section 19(b)(3)(A) of the Act \9\ and Rule 19b-4(f)(6)
\10\ thereunder.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(6). As required under Rule 19b-
4(f)(6)(iii), the Exchange provided the Commission with written
notice of its intent to file the proposed rule change, along with a
brief description and the text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission.
---------------------------------------------------------------------------

    A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the
Act \11\ normally does not become operative for 30 days after the date
of its filing. However, Rule 19b-4(f)(6)(iii) \12\ permits the
Commission to designate a shorter time if such action is consistent
with the protection of investors and the public interest. The Exchange
has asked the Commission to waive the 30-day operative delay. The
Exchange states that waiver of the operative delay would enable market
participants to benefit from the proposed language codifying existing
Exchange procedures when dealing with the unlawful unbundling of orders
and would help to prevent this distortive practice. For this reason,
the Commission believes that waiver of the 30-day operative delay is
consistent with the protection of investors and the public interest.
Therefore, the Commission hereby waives the operative delay and
designates the proposed rule change operative upon filing.\13\
---------------------------------------------------------------------------

    \11\ 17 CFR 240.19b-4(f)(6).
    \12\ 17 CFR 240.19b-4(f)(6)(iii).
    \13\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).

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

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-MIAX-2016-02 on the subject line.

Paper Comments

     Send paper comments in triplicate to Brent J. Fields,
Secretary, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549-1090.

All submissions should refer to File Number SR-MIAX-2016-02. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-MIAX-2016-02 and should be
submitted on or before February 29, 2016.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\14\
Robert W. Errett,
Deputy Secretary.
---------------------------------------------------------------------------

    \14\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

[FR Doc. 2016-02335 Filed 2-5-16; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 86, Number 183 (Friday, September 24, 2021)]
[Notices]
[Pages 53062-53064]
[FR Doc No: 2021-20733]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2021-N-0441]

Cardiovascular and Renal Drugs Advisory Committee; Notice of
Meeting; Establishment of a Public Docket; Request for Comments

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice; establishment of a public docket; request for comments.

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

SUMMARY: The Food and Drug Administration (FDA) announces a forthcoming
public advisory committee meeting of the Cardiovascular and Renal Drugs
Advisory Committee. The general function of the committee is to provide
advice and recommendations to FDA on

regulatory issues. The meeting will be open to the public. FDA is
establishing a docket for public comment on this document.

DATES: The meeting will be held on December 8, 2021, from 9:30 a.m. to
5 p.m. Eastern Time.

ADDRESSES: Please note that due to the impact of this COVID-19
pandemic, all meeting participants will be joining this advisory
committee meeting via an online teleconferencing platform. Answers to
commonly asked questions about FDA advisory committee meetings may be
accessed at: https://www.fda.gov/AdvisoryCommittees/AboutAdvisoryCommittees/ucm408555.htm.
    FDA is establishing a docket for public comment on this meeting.
The docket number is FDA-2021-N-0441. The docket will close on December
7, 2021. Submit either electronic or written comments on this public
meeting by December 7, 2021. Please note that late, untimely filed
comments will not be considered. Electronic comments must be submitted
on or before December 7, 2021. The https://www.regulations.gov
electronic filing system will accept comments until 11:59 p.m. Eastern
Time at the end of December 7, 2021. Comments received by mail/hand
delivery/courier (for written/paper submissions) will be considered
timely if they are postmarked or the delivery service acceptance
receipt is on or before that date.
    Comments received on or before November 23, 2021, will be provided
to the committee. Comments received after that date will be taken into
consideration by FDA. In the event that the meeting is cancelled, FDA
will continue to evaluate any relevant applications or information, and
consider any comments submitted to the docket, as appropriate.
    You may submit comments as follows:

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments. Comments submitted
electronically, including attachments, to https://www.regulations.gov
will be posted to the docket unchanged. Because your comment will be
made public, you are solely responsible for ensuring that your comment
does not include any confidential information that you or a third party
may not wish to be posted, such as medical information, your or anyone
else's Social Security number, or confidential business information,
such as a manufacturing process. Please note that if you include your
name, contact information, or other information that identifies you in
the body of your comments, that information will be posted on https://www.regulations.gov.
     If you want to submit a comment with confidential
information that you do not wish to be made available to the public,
submit the comment as a written/paper submission and in the manner
detailed (see ``Written/Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand Delivery/Courier (for written/paper
submissions): Dockets Management Staff (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets
Management Staff, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2021-N-0441 for ``Cardiovascular and Renal Drugs Advisory
Committee; Notice of Meeting; Establishment of a Public Docket; Request
for Comments.'' Received comments, those filed in a timely manner (see
ADDRESSES), will be placed in the docket and, except for those
submitted as ``Confidential Submissions,'' publicly viewable at https://www.regulations.gov or at the Dockets Management Staff between 9 a.m.
and 4 p.m., Monday through Friday,<PHONE_NUMBER>.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' FDA will review
this copy, including the claimed confidential information, in its
consideration of comments. The second copy, which will have the claimed
confidential information redacted/blacked out, will be available for
public viewing and posted on https://www.regulations.gov. Submit both
copies to the Dockets Management Staff. If you do not wish your name
and contact information be made publicly available, you can provide
this information on the cover sheet and not in the body of your
comments and you must identify the information as ``confidential.'' Any
information marked as ``confidential'' will not be disclosed except in
accordance with 21 CFR 10.20 and other applicable disclosure law. For
more information about FDA's posting of comments to public dockets, see
80 FR 56469, September 18, 2015, or access the information at: https://www.govinfo.gov/content/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852,<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Joyce Yu, Center for Drug Evaluation
and Research, Food and Drug Administration, 10903 New Hampshire Ave.,
Bldg. 31, Rm. 2417, Silver Spring, MD 20993-0002,<PHONE_NUMBER>, Fax:
301-847-8533, email<EMAIL_ADDRESS>or FDA Advisory Committee
Information Line, 1-800-741-8138<PHONE_NUMBER> in the Washington, DC
area). A notice in the Federal Register about last minute modifications
that impact a previously announced advisory committee meeting cannot
always be published quickly enough to provide timely notice. Therefore,
you should always check the FDA's website at https://www.fda.gov/AdvisoryCommittees/default.htm and scroll down to the appropriate
advisory committee meeting link, or call the advisory committee
information line to learn about possible modifications before coming to
the meeting.

SUPPLEMENTARY INFORMATION: Agenda: The meeting presentations will be
heard, viewed, captioned, and recorded through an online
teleconferencing platform. The committee will discuss new drug
application (NDA) 215484, for the Nrf2 activator, bardoxolone methyl
capsules, submitted by Reata Pharmaceuticals, Inc. The proposed
indication is to slow the progression of chronic kidney disease caused
by Alport syndrome in patients 12 years of age and older.
    FDA intends to make background material available to the public no
later than 2 business days before the meeting. If FDA is unable to post
the background material on its website prior to the meeting, the
background material will be made publicly available on FDA's

website at the time of the advisory committee meeting. Background
material and the link to the online teleconference meeting room will be
available at https://www.fda.gov/AdvisoryCommittees/Calendar/default.htm. Scroll down to the appropriate advisory committee meeting
link. The meeting will include slide presentations with audio
components to allow the presentation of materials in a manner that most
closely resembles an in-person advisory committee meeting.
    Procedure: Interested persons may present data, information, or
views, orally or in writing, on issues pending before the committee.
All electronic and written submissions submitted to the Docket (see
ADDRESSES) on or before November 23, 2021, will be provided to the
committee. Oral presentations from the public will be scheduled between
approximately 2:30 p.m. and 3:30 p.m. Eastern Time. Those individuals
interested in making formal oral presentations should notify the
contact person and submit a brief statement of the general nature of
the evidence or arguments they wish to present, the names and addresses
of proposed participants, and an indication of the approximate time
requested to make their presentation on or before November 15, 2021.
Time allotted for each presentation may be limited. If the number of
registrants requesting to speak is greater than can be reasonably
accommodated during the scheduled open public hearing session, FDA may
conduct a lottery to determine the speakers for the scheduled open
public hearing session. The contact person will notify interested
persons regarding their request to speak by November 16, 2021.
    For press inquiries, please contact the Office of Media Affairs at
<EMAIL_ADDRESS>or<PHONE_NUMBER>.
    FDA welcomes the attendance of the public at its advisory committee
meetings and will make every effort to accommodate persons with
disabilities. If you require accommodations due to a disability, please
contact Joyce Yu (see FOR FURTHER INFORMATION CONTACT) at least 7 days
in advance of the meeting.
    FDA is committed to the orderly conduct of its advisory committee
meetings. Please visit our website at https://www.fda.gov/AdvisoryCommittees/AboutAdvisoryCommittees/ucm111462.htm for procedures
on public conduct during advisory committee meetings.
    Notice of this meeting is given under the Federal Advisory
Committee Act (5 U.S.C. app. 2).

    Dated: September 17, 2021.
Lauren K. Roth,
Acting Principal Associate Commissioner for Policy.
[FR Doc. 2021-20733 Filed 9-23-21; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register Volume 83, Number 243 (Wednesday, December 19, 2018)]
[Notices]
[Pages 65190-65192]
[FR Doc No: 2018-27408]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-84819; File No. SR-NYSEArca-2018-90]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change Amending the NYSE
Arca Equities Fees and Charges

December 13, 2018.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on December 3, 2018, NYSE Arca, Inc. (the ``Exchange'' or
``NYSE Arca'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

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

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

    The Exchange proposes to amend the NYSE Arca Equities Fees and
Charges (``Fee Schedule''). The proposed rule change is available on
the Exchange's website at www.nyse.com, at the principal office of the
Exchange, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The Exchange proposes to amend the Fee Schedule by increasing the
credit applicable to the Retail Order Step-Up Tier 2, as described
below.
    The Exchange currently has a Retail Order Step-Up Tier 2 credit of
$0.0035 per share for Retail Orders \4\ that provide displayed
liquidity during the month in Tape A, Tape B and Tape C Securities that
applies to ETP Holders, including Market Makers, that provide liquidity
an average daily share volume per month of 1.10% or more of the U.S.
CADV, and execute an ADV of Retail Orders with a time-in-force
designation of Day that add or remove liquidity during the month that
is an increase of 0.35% or more of the U.S. CADV above their April 2018
ADV taken as a percentage of U.S. CADV. Retail Orders with a time-in-
force designation of Day that remove liquidity from the Book are not
charged a fee.\5\ The Exchange proposes to increase the current credit
for Retail Orders that provide displayed liquidity during the month in
Tape A, Tape B and Tape C Securities to $0.0038 per share. The Exchange
is not proposing any other change to the Retail Order Step-Up Tier 2.
---------------------------------------------------------------------------

    \4\ A Retail Order is an agency order that originates from a
natural person and is submitted to the Exchange by an ETP Holder,
provided that no change is made to the terms of the order to price
or side of market and the order does not originate from a trading
algorithm or any other computerized methodology. See Securities
Exchange Act Release No. 67540 (July 30, 2012), 77 FR 46539 (August
3, 2012) (SR-NYSEArca-2012-77).
    \5\ See Securities Exchange Act Release No. 83828 (August 10,
2018), 83 FR 40816 (August 16, 2018) (SR-NYSEArca-2018-58). An ETP
Holder that qualifies for the Retail Order Step-Up Tier 2 also
receives a credit of $0.0035 per share for orders (not just Retail
Orders) that provide displayed liquidity to the order book in Tape C
Securities, and an incremental credit of $0.0002 per share for
orders that provide non-displayed liquidity to the order book in
Tape C Securities. The incremental credit is in addition to the ETP
Holder's or Market Maker's Tiered or Basic Rate credit(s). Pursuant
to the Retail Order Step-Up Tier 2, ETP Holders and Market Makers
pay a fee of $0.0027 per share for orders that take liquidity from
the order book in Tape C Securities.
---------------------------------------------------------------------------

    For all other fees and credits, tiered or basic rates apply based
on a firm's qualifying levels.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\6\ in general, and furthers the
objectives of Sections 6(b)(4) and (5) of the Act,\7\ in particular,
because it provides for the equitable allocation of reasonable dues,
fees, and other charges among its members, issuers and other persons
using its facilities and does not unfairly discriminate between
customers, issuers, brokers or dealers.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78f(b).
    \7\ 15 U.S.C. 78f(b)(4) and (5).

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

    The Exchange believes that the amendment to the Retail Order Step-
Up Tier 2 is reasonable, equitable and not unfairly discriminatory
because the proposed amendment would apply uniformly to all similarly
situated ETP Holders and Market Makers that send orders to the
Exchange. The Exchange believes providing increased credits for Retail
Orders that provide displayed liquidity in Tape A, Tape B and Tape C
Securities will incentivize ETP Holders to send a greater number of
such orders to the Exchange and therefore provide greater liquidity
that supports the quality of price discovery and promotes market
transparency. The Exchange further believes that the proposed increased
credit would create an added financial incentive for ETP Holders to
bring additional retail order flow to a public market. The Exchange
believes that by recalibrating the credits for providing liquidity will
attract additional order flow and liquidity to the Exchange, thereby
contributing to price discovery on the Exchange and benefiting
investors generally.
    The Exchange believes the Retail Order Step-Up Tier 2 is equitable
and not unfairly discriminatory because it is available to all ETP
Holders and Market Makers on an equal basis and provides discounts that
are reasonably related to the value to the Exchange's market quality
associated with higher volumes. The Exchange does not believe that it
is unfairly discriminatory to offer increased credits to ETP Holders
and Market Makers as these participants would be subject to additional
volume requirements.
    The Exchange believes that the proposed rule change is equitable
and not unfairly discriminatory because maintaining or increasing the
proportion of Retail Orders in exchange-listed securities that are
executed on a registered national securities exchange (rather than
relying on certain available off-exchange execution methods) would
contribute to investors' confidence in the fairness of their
transactions and would benefit all investors by deepening the
Exchange's liquidity pool, supporting the quality of price discovery,
promoting market transparency and improving investor protection. This
aspect of the proposed rule change also is consistent with the Act
because all similarly situated ETP Holders would pay the same rate, as
is currently the case, and because all ETP Holders would be eligible to
qualify for the rates by satisfying the related threshold, where
applicable. Furthermore, the submission of Retail Orders is optional
for ETP Holders, in that an ETP Holder could choose whether to submit
Retail Orders and, if it does, the extent of its activity in this
regard.
    For the foregoing reasons, the Exchange believes that the proposal
is consistent with the Act.

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

    In accordance with Section 6(b)(8) of the Act,\8\ the Exchange
believes that the proposed rule change would not impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Act. Instead, the Exchange believes that the proposed
rule change would encourage the submission of additional liquidity to a
public exchange, thereby promoting price discovery and transparency and
enhancing order execution opportunities for ETP Holders and Market
Makers. The Exchange believes that this could promote competition
between the Exchange and other execution venues, including those that
currently offer comparable transaction pricing, by encouraging
additional orders to be sent to the Exchange for execution. The
Exchange also believes that the proposed rule change is consistent with
the Act because it strikes an appropriate balance between fees and
credits, which will encourage submission of orders to the Exchange,
thereby promoting competition.
---------------------------------------------------------------------------

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

    The Exchange notes that it operates in a highly competitive market
in which market participants can readily favor competing venues if they
deem fee levels at a particular venue to be excessive or rebate
opportunities available at other venues to be more favorable. In such
an environment, the Exchange must continually adjust its fees and
rebates to remain competitive with other exchanges and to attract order
flow to the Exchange. Because competitors are free to modify their own
fees and credits in response, and because market participants may
readily adjust their order routing practices, the Exchange believes
that the degree to which fee changes in this market may impose any
burden on competition is extremely limited. As a result of all of these
considerations, the Exchange does not believe that the proposed changes
will impair the ability of ETP Holders or competing order execution
venues to maintain their competitive standing in the financial markets.

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

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

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

    The foregoing rule change is effective upon filing pursuant to
Section 19(b)(3)(A) \9\ of the Act and subparagraph (f)(2) of Rule 19b-
4 \10\ thereunder, because it establishes a due, fee, or other charge
imposed by the Exchange.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \11\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSEArca-2018-90 on the subject line.

Paper Comments

     Send paper comments in triplicate to Brent J. Fields,
Secretary, Securities and Exchange Commission, 100 F Street NE,
Washington, DC 20549-1090.

All submissions should refer to File Number SR-NYSEArca-2018-90. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/

rules/sro.shtml). Copies of the submission, all subsequent amendments,
all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for website
viewing and printing in the Commission's Public Reference Room, 100 F
Street NE, Washington, DC 20549 on official business days between the
hours of 10:00 a.m. and 3:00 p.m. Copies of the filing also will be
available for inspection and copying at the principal office of the
Exchange. All comments received will be posted without change. Persons
submitting comments are cautioned that we do not redact or edit
personal identifying information from comment submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-NYSEArca-2018-90 and should
be submitted on or before January 9, 2019.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
---------------------------------------------------------------------------

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

Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2018-27408 Filed 12-18-18; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 88, Number 212 (Friday, November 3, 2023)]
[Notices]
[Page 75580]
[FR Doc No: 2023-24322]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER24-230-000]

New England Power and Light LLC; Supplemental Notice That Initial
Market-Based Rate Filing Includes Request for Blanket Section 204
Authorization

    This is a supplemental notice in the above-referenced proceeding of
New England Power and Light 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 November 20, 2023.
    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 may mail similar pleadings to
the Federal Energy Regulatory Commission, 888 First Street NE,
Washington, DC 20426. Hand delivered submissions in docketed
proceedings should be delivered to Health and Human Services, 12225
Wilkins Avenue, Rockville, Maryland 20852.
    In addition to publishing the full text of this document in the
Federal Register, the Commission provides all interested persons an
opportunity to view and/or print the contents of this document via the
internet through the Commission's Home Page (http://www.ferc.gov) using
the ``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. At this time,
the Commission has suspended access to the Commission's Public
Reference Room, due to the proclamation declaring a National Emergency
concerning the Novel Coronavirus Disease (COVID-19), issued by the
President on March 13, 2020. For assistance, contact the Federal Energy
Regulatory Commission at [email protected] or call toll-free,
(886) 208-3676 or TYY,<PHONE_NUMBER>.
    The Commission's Office of Public Participation (OPP) supports
meaningful public engagement and participation in Commission
proceedings. OPP can help members of the public, including landowners,
environmental justice communities, Tribal members and others, access
publicly available information and navigate Commission processes. For
public inquiries and assistance with making filings such as
interventions, comments, or requests for rehearing, the public is
encouraged to contact OPP at<PHONE_NUMBER> or [email protected].

    Dated: October 30, 2023.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2023-24322 Filed 11-2-23; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 74, Number 102 (Friday, May 29, 2009)]
[Notices]
[Pages 25779-25782]
[FR Doc No: E9-12448]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-59939; File No. SR-NYSEAmex-2009-17]

Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1
Thereto Revising Rules Governing the Use of Telephones on the Options
Trading Floor

May 19, 2009.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that, on May 4, 2009, NYSE Amex LLC (``NYSE Amex'' or the ``Exchange'')
filed with the

Securities and Exchange Commission (the ``Commission'') the proposed
rule change as described in Items I, II, and III below, which Items
have been prepared by the Exchange. The Exchange filed the proposed
rule change pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule
19b-4(f)(6) thereunder,\4\ which renders it effective upon filing with
the Commission. The Exchange filed Amendment No. 1 to the proposed rule
change on May 18, 2009.\5\ The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 240.19b-4(f)(6).
    \5\ Amendment No. 1 amended the Exchange's proposed revision of
Part 1C(i)(12) of the Supplementary Material to Rule 476A
(Imposition of Fines for Minor Violations of Rules) to more
accurately cite Exchange Rule 902NY(i)(1). Amendment No. 1 further
amended the description of the violation in Part 1C(i)(12) to more
closely reflect Rule 902NY(i)(1), which prohibits an employee of an
ATP Holder, as well as an ATP Holder, to employ any alternative
communication device on the Trading Floor without prior approval of
the Exchange. In addition, Amendment No. l made corresponding
changes to the Minor Rule Plan Recommended Fine Schedule also
contained in Rule 476A.
---------------------------------------------------------------------------

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

    The Exchange proposes to (i) eliminate old rules governing
telephones and hand held devices, (ii) introduce new rules governing
the use of telephones on the Trading Floor, and (iii) clarify recently
adopted language regarding the removal of hand held devices from the
Trading Floor. The text of the proposed rule change is attached as
Exhibit 5 to the 19b-4 form. A copy of this filing is available on the
Exchange's Web site at http://www.nyse.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 self-regulatory organization
included statements concerning the purpose of, and basis for, the
proposed rule change and discussed any comments it received on the
proposed rule change. The text of those statements may be examined at
the places specified in Item IV below. The Exchange has prepared
summaries, set forth in sections A, B, and C below, of the most
significant parts of such statements.

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

1. Purpose
    The purpose of this filing is to (i) eliminate old rules governing
telephones, hand held devices, and Floor Wires, (ii) introduce new
rules governing the use of telephones on the Trading Floor \6\ and
(iii) clarify recently adopted language regarding the removal of hand
held devices from the Trading Floor.
---------------------------------------------------------------------------

    \6\ NYSE Amex LLC recently relocated its Options Trading Floor
to 11 Wall Street, New York, New York, effective with the approval
of SR-NYSEALTR-2008-14. See Securities Exchange Act Release No.
59472 (February 27, 2009), 74 FR 9843 (March 6, 2009) (notice of
filing of Amendment No. 1 and order granting accelerated approval of
the SR-NYSEALTR-2008-14 as modified by Amendment No. 1).
---------------------------------------------------------------------------

    The Exchange proposes to delete, from PART II--Rules Principally
Applicable to Floor Transactions, Section 6--Floor Wires in its
entirety. This section is obsolete given changes in telecommunications
devices, changes in market structure, enhanced requirements for the
systematization of orders, and maintenance of electronic records.
    In its place, the Exchange proposes new Rule 902NY(i), Telephones
on the Trading Floor. The new Rule is modeled on NYSE Arca Rule 6.2(h),
although it does not include certain outdated or inapplicable concepts
of the NYSE Arca Rule.\7\
---------------------------------------------------------------------------

    \7\ Certain concepts in NYSE Arca Rule 6.2(h) have no natural
corollary within NYSE Amex rules, including, for example, the terms
OTP Firm and trading posts. In the alternative, NYSE Amex rules
refer to employees of ATP Holders or Trading Zones, respectively--
and such concepts will be so reflected throughout the proposed rule.
Further, concepts such as Floor Managers or General Access Phones
are not applicable to NYSE Amex and therefore are not included in
the proposed NYSE Amex rule.
---------------------------------------------------------------------------

    The proposed rule requires all ATP Holders to register with the
Exchange, prior to use, any telephone to be used on the Trading
Floor.\8\ At the time of registration, ATP Holder representatives must
agree that they are aware of and understand the rules governing
telephones on the Trading Floor.
---------------------------------------------------------------------------

    \8\ The Exchange is not proposing to require ATP Holders to
register by category of user. Such a requirement is inapplicable
since (i) the proposed rule applies to ATP Holders and all employees
of ATP Holders, regardless of category and (ii) such a requirement
was a historical response to capacity limitations (which no longer
apply) thereby allowing the Exchange to restrict use by certain
categories of users if capacity issues arose.
---------------------------------------------------------------------------

    In addition, the Exchange notes that separate from the registration
and use of telephones, the Exchange shall retain the authority to
review and approve, prior to their use, any alternative communication
device (including but not limited to devices offering capabilities such
as e-mail, instant messaging, texting, or Internet-supported
communications). Also, according to proposed Rule 902NY(i)(1): no ATP
Holder or employee of an ATP Holder, may employ any alternative
communication device (other than telephones as described herein) on the
Trading Floor without prior approval of the Exchange.
    The proposed rule specifically prohibits the use of any device to
maintain an open line of continuous communication that would allow a
person off the Trading Floor to continuously monitor the activities in
the Trading Crowd. This prohibition covers intercoms, walkie-talkies
and any similar devices.\9\
---------------------------------------------------------------------------

    \9\ Certain capacity restrictions set forth in NYSE Arca Rule
6.2(h)(2) are no longer relevant and will not be included in the
NYSE Amex proposed rule.
---------------------------------------------------------------------------

    The proposed rule governs all ATP Holders and employees of ATP
Holders while on the Floor.\10\ As with NYSE Arca Rule 6.2(h)(3), this
proposed rule restricts the transmission of quotation information to
only those quotations that have been publicly disseminated. It requires
any order that is transmitted over the phone to be immediately recorded
in the EOC device. It prohibits the receipt of an order over a phone
when the call is placed from off the Floor into the Trading Crowd. The
Rule also provides that the Exchange may require the taping of any
telephone line, and that ATP Holders and their employees agree to
consent to tape recording of any line.
---------------------------------------------------------------------------

    \10\ By applying the proposed rule to ATP Holders and employees
of ATP Holders, the Exchange is using a term designed to encompass
the same scope of individuals as the equivalent NYSE Arca rule. In
doing so, NYSE Amex eliminates the need to specifically reference,
as NYSE Arca Rule 6.2(h) does, each type of covered employee, such
as Floor Broker, Market Maker, or Clerk. As a result, NYSE Amex (i)
collapsed the substantive provisions of NYSE Arca Rule 6.2(h)(4)-(5)
into proposed Rule 902NY(i)(4) and (ii) has not carried over the
specific references to Floor Broker Clerks, Stock Execution Clerks
and Market Maker Clerks set forth in the NYSE Arca Rule. Finally,
NYSE Arca Rule 6.2(h)(5)(D), regarding Lead Market Makers, is
entirely inapplicable and therefore not copied into the proposed
rule.
---------------------------------------------------------------------------

    The Exchange also proposes Rule 902(i)(5), Records, in order to
require the retention of certain records of all telephones and all
other approved communications devices used to conduct business on the
Exchange.\11\ NYSE Amex further proposes a retention period of three
years, the first two years in an accessible place, consistent with the
retention period of

Securities and Exchange Commission Rule 17a-4.
---------------------------------------------------------------------------

    \11\ This proposed rule is modeled on NYSE Arca Rule 6.2(h)(9).
---------------------------------------------------------------------------

    The Exchange further proposes Rule 902(i)(6), Revocation of
Registration, which establishes the Exchange's authority to deny, limit
or revoke an ATP Holder's permission to use of any registered telephone
on the Trading Floor. Although an ATP Holder need only register with
the Exchange, prior to use, any telephone to be used on the Trading
Floor, the Exchange retains the right to deny, limit, or revoke an ATP
Holder's permission. Specifically, according to the proposed rule, the
Exchange may deny, limit or revoke registration of any telephone
whenever it determines, in accordance with the procedures set forth in
Rule 476,\12\ that use of such device is inconsistent with the public
interest, the protection of investors, or just and equitable principles
of trade, or such device has been or is being used to facilitate any
violation of the Securities Exchange Act of 1934, as amended, or rules
thereunder, or the Exchange rules.
---------------------------------------------------------------------------

    \12\ See e-mail from Andrew Stevens, Chief Counsel--U.S.
Equities & Derivatives, NYSE Euronext, to Gary Rubin, Attorney-
Advisor, Commission, dated May 19, 2009, confirming that the
reference to Rule 475 in the Purpose section and Exhibit 1 of the
proposal should be corrected to refer to Rule 476.
---------------------------------------------------------------------------

    Finally, similar to NYSE Arca Rule 6.2(h)(10), the Exchange will
not assume any liability for problems associated with the use of
telephones or other communication devices.\13\
---------------------------------------------------------------------------

    \13\ The Exchange notes that Commentaries .01-.02 and .04 to
NYSE Arca Rule 6.2 do not apply specifically to subsection (h) and
therefore are not reflected in the NYSE Amex proposed rule. The
Exchange also notes that the concept reflected in Commentary .03 to
NYSE Arca Rule 6.2 is incorporated into NYSE Amex proposed Rule
902NY(i)(3)(B) and (4)(C).
---------------------------------------------------------------------------

    The Exchange proposes changes to Rule 476A (Imposition of Fines for
Minor Violations of Rules) to replace obsolete references to Exchange
Rule 220 with accurate references to Exchange Rule 902NY(i). The
Exchange also proposes adding text designed to specifically address
violations of Exchange Rule 902NY(i) pertaining to the pre-approval of
alternative communication devices. Consistent with violations of
Exchange Rule 902NY(i) regarding an ATP Holder's failure to register
telephones prior to their use, the Exchange proposes to establish
first, second, and third level monetary fines of $500.00, $1,000.00,
and $2,500.00 regarding an ATP Holder's unauthorized use of alternative
communication devices.
    The Exchange also seeks to clarify recently adopted language in
Rule 902NY(g) governing the removal of Hand Held Trading Devices from
the Trading Floor to make it clear that removal of such devices is
prohibited, that the prohibition extends to any person, including but
not limited to ATP Holders and ATP Holder employees, and that such
violation is subject to disciplinary action pursuant to Rules 476 or
476A.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) \14\ of the Act, in general, and furthers the
objectives of Section 6(b)(5),\15\ in particular, in that it is
designed to facilitate transactions in securities, to promote just and
equitable principles of trade, to enhance competition, and to protect
investors and the public interest, in that it proposes to modernize and
clarify rules for the use of telephones and other communication devices
on the Trading Floor.
---------------------------------------------------------------------------

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

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

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

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

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

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \16\ and Rule 19b-4(f)(6) thereunder.\17\
Because the proposed rule change does not: (i) Significantly affect the
protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative prior to
30 days from the date on which it was filed, or such shorter time as
the Commission may designate, if consistent with the protection of
investors and the public interest, the proposed rule change has become
effective pursuant to Section 19(b)(3)(A) of the Act \18\ and Rule 19b-
4(f)(6)(iii) thereunder.\19\
---------------------------------------------------------------------------

    \16\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \17\ 17 CFR 240.19b-4(f)(6).
    \18\ 15 U.S.C. 78s(b)(3)(A).
    \19\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change along with a
brief description and text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied the pre-filing requirement.
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) \20\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b-4(f)(6)(iii),\21\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest.
---------------------------------------------------------------------------

    \20\ 17 CFR 240.19b-4(f)(6).
    \21\ 17 CFR 240.19b-4(f)(6)(iii).
---------------------------------------------------------------------------

    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.\22\
---------------------------------------------------------------------------

    \22\ For purposes of calculating the 60-day abrogation period,
the Commission considers the proposed rule change to have been filed
on May 18, 2009, the date the Exchange filed Amendment No. 1.
---------------------------------------------------------------------------

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-NYSEAmex-2009-17 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEAmex-2009-17. This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/

rules/sro.shtml). Copies of the submission, all subsequent amendments,
all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for inspection
and copying in the Commission's Public Reference Room on official
business days between the hours of 10 a.m. and 3 p.m. Copies of such
filing also will be available for inspection and copying at the
principal office of the Exchange. All comments received will be posted
without change; the Commission does not edit personal identifying
information from submissions. You should submit only information that
you wish to make available publicly. All submissions should refer to
File Number SR-NYSEAmex-2009-17 and should be submitted on or before
June 19, 2009.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\23\
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    \23\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-12448 Filed 5-28-09; 8:45 am]
BILLING CODE 8010-01-P