[Federal Register Volume 80, Number 11 (Friday, January 16, 2015)]
[Notices]
[Pages 2405-2407]
[FR Doc No: 2015-00573]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. IC15-2-000]

Commission Information Collection Activities: FERC-65, FERC-65A,
FERC-65B, FERC-585, and FERC-921; Consolidated Comment Request;
Extension

AGENCY: Federal Energy Regulatory Commission, Energy.

ACTION: Notice of information collections and request for comments.

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SUMMARY: In compliance with the requirements of the Paperwork Reduction
Act of 1995, 44 U.S.C. 3506(c)(2)(A), the Federal Energy Regulatory
Commission (Commission or FERC) is soliciting public comment on the
requirements and burden \1\ of the information collections described
below. Please note that this is the first time FERC has issued a
consolidated notice involving otherwise unrelated information
collections.
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    \1\ The Commission defines burden as the total time, effort, or
financial resources expended by persons to generate, maintain,
retain, or disclose or provide information to or for a Federal
agency. For further explanation of what is included in the
information collection burden, reference 5 Code of Federal
Regulations 1320.3.

DATES: Comments on the collections of information are due March 17,
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2015.

ADDRESSES: You may submit comments (identified by Docket No. IC15-2-
000) by either of the following methods:
     eFiling at Commission's Web site: http://www.ferc.gov/docs-filing/efiling.asp.
     Mail/Hand Delivery/Courier: Federal Energy Regulatory
Commission, Secretary of the Commission, 888 First Street NE.,
Washington, DC 20426.
    Please reference the specific collection number and/or title in
your comments.
    Instructions: All submissions must be formatted and filed in
accordance with submission guidelines at: http://www.ferc.gov/help/submission-guide.asp. For user assistance contact FERC Online Support
by email at<EMAIL_ADDRESS>or by phone at:<PHONE_NUMBER>
(toll-free), or<PHONE_NUMBER> for TTY.
    Docket: Users interested in receiving automatic notification of
activity in this docket or in viewing/downloading comments and
issuances in this docket may do so at http://www.ferc.gov/docs-filing/docs-filing.asp.

FOR FURTHER INFORMATION CONTACT: Ellen Brown may be reached by email at
<EMAIL_ADDRESS>telephone at<PHONE_NUMBER>, and fax at (202)
273-0873.

SUPPLEMENTARY INFORMATION:
    Type of Request: Three-year extension of the information collection
requirements for all collections described below with no changes to the
current reporting requirements. Please note that each collection is
distinct from the next.
    Comments: Comments are invited on: (1) Whether the collections of
information are necessary for the proper performance of the functions
of the Commission, including whether the information will have
practical utility; (2) the accuracy of the agency's estimates of the
burden and cost of the collections of information, including the
validity of the methodology and assumptions used; (3) ways to enhance
the quality, utility and clarity of the information collections; and
(4) ways to minimize the burden of the collections of information on
those who are to respond, including the use of automated collection
techniques or other forms of information technology.

FERC-65 (Notice of Holding Company Status), FERC-65A (Exemption
Notification of Holding Company Status), and FERC-65B (Waiver
Notification of Holding Company Status)

    OMB Control No.: 1902-0218.
    Abstract: Pursuant to Section 366.4 of the Commission's rules and
regulations, persons who meet the definition of a holding company shall
provide the Commission notification of holding company status.
    The FERC-65 is a one-time informational filing outlined in the
Commission's regulations at 18 Code of Federal Regulations (CFR) 366.4.
The FERC-65 must be submitted within 30 days of becoming a holding
company\2\.

While the Commission does not require the information to be reported in
a specific format, the filing needs to consist of the name of the
holding company, the name of public utilities, the name of natural gas
companies in the holding company system, and the names of service
companies. In addition, the Commission requires the filing to include
the names of special-purpose subsidiaries (which provide non-power
goods and services) and the names of all affiliates and subsidiaries
(and their corporate interrelationship) to each other. Filings may be
submitted in hardcopy or electronically through the Commission's
eFiling system.
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    \2\ Persons that meet the definition of a holding company as
provided by Sec.  366.1 as of February 8, 2006 shall notify the
Commission of their status as a holding company no later than June
15, 2006. Holding companies formed after February 8, 2006 shall
notify the Commission of their status as a holding company, no later
than the latter of June 15, 2006 or 30 days after they become
holding companies.
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FERC-65A (Exemption Notification of Holding Company Status)

    While noting the previously outlined requirements of the FERC-65,
the Commission has allowed for an exemption from the requirement of
providing the Commission with a FERC-65 if the books, accounts,
memoranda, and other records of any person are not relevant to the
jurisdictional rates of a public utility or natural gas company; or if
any class of transactions is not relevant to the jurisdictional rates
of a public utility or natural gas company. Persons seeking this
exemption file the FERC-65A, which must include a form of notice
suitable for publication in the Federal Register. Those who file a
FERC-65A in good faith will have a temporary exemption upon filing,
after 60 days if the Commission has taken no action, the exemption will
be deemed granted. Commission regulations within 18 CFR 366.3 describe
the criteria in more specificity.

FERC-65B (Waiver Notification of Holding Company Status)

    If an entity meets the requirements in 18 CFR 366.3(c), they may
file a FERC-65B waiver notification pursuant to the procedures outlined
in 18 CFR 366.4. Specifically, the Commission waives the requirement of
providing it with a FERC-65 for any holding company with respect to one
or more of the following: (1) Single-state holding company systems; (2)
holding companies that own generating facilities that total 100 MW or
less in size and are used fundamentally for their own load or for sales
to affiliated end-users; or (3) investors in independent transmission-
only companies. Filings may be made in hardcopy or electronically
through the Commission's Web site.
    Type of Respondent: Public utility companies, natural gas
companies, electric wholesale generators, foreign utility holding
companies.
    Estimate of Annual Burden: The Commission estimates the annual
public reporting burden for the information collection as:

   FERC-65 (Notification of Holding Company Status), FERC-65A (Exemption Notification of Holding Company Status), and FERC-65B (Waiver Notification of
                                                                 Holding Company Status)
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                                                                          Annual  number                      Average      Total annual
                                                             Number of     of  responses   Total  number  burden &  cost   burden hours      Cost per
                                                            respondents         per        of  responses   per  response      & total       respondent
                                                                            respondent                          \3\         annual cost         ($)
                                                                     (1)             (2)     (1)*(2)=(3)             (4)     (3)*(4)=(5)         (5)/(1)
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FERC-65.................................................               8               1               8         3, $216       24, $1728             216
FERC-65A................................................               1               1               1          1, $72          1, $72              72
FERC-65B................................................               0               1               0          1, $72           0, $0               0
                                                         -----------------------------------------------------------------------------------------------
    Total...............................................  ..............  ..............               9  ..............      25, $1,800  ..............
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FERC-585 (Reporting of Electric Shortages and Contingency Plans Under
PURPA 206)
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    \3\ The estimates for cost per response are derived using the
following formula: Average Burden Hours per Response * 70.50 per
Hour = Average Cost per Response. The Cost per hour figure is the
2015 FERC average salary plus benefits.
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    OMB Control No.: 1902-0138.
    Abstract: The information collected under the requirements of FERC-
585, ``Reporting of Electric Energy Shortages and Contingency Plans
under PURPA'', is used by the Commission to implement the statutory
provisions of section 206 of the Public Utility Regulatory Policies Act
of 1979 (PURPA) Public Law 95-617, 92 Stat. 3117. Section 206 of PURPA
amended the Federal Power Act (FPA) by adding a new subsection (g) to
section 202, under which the Commission by rule, was to require each
public utility to (1) report to the Commission and appropriate state
regulatory authorities of any anticipated shortages of electric energy
or capacity which would affect the utility's capability to serve its
wholesale customers; and (2) report to the Commission and any
appropriate state regulatory authority contingency plan that would
outline what circumstances might give rise to such occurrences.
    In Order No. 575,\4\ the Commission modified the reporting
requirements in 18 CFR 294.101(b) to provide that, if a public utility
includes in its rates schedule, provisions that: (a) During electric
energy and capacity shortages it will treat firm power wholesale
customers without undue discrimination or preference; and (b) it will
report any modifications to its contingency plan for accommodating
shortages within 15 days to the appropriate state regulatory agency and
to the affected wholesale customers, then the utility need not file
with the Commission an additional statement of contingency plan for
accommodating such shortages. This revision merely changed the
reporting mechanism; the public utility's contingency plan would be
located in its filed rate rather than in a separate document.
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    \4\ 60 FR 4859 (25 Jan 1995).
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    In Order No. 659,\5\ the Commission modified the reporting
requirements in 18 CFR 294.101(e) to provide that the means by which
public utilities must comply with the requirements to report shortages
and anticipated shortages is to submit this information electronically
using the Office of Electric Reliability's pager system at
<EMAIL_ADDRESS>in lieu of submitting an original and two copies
with the Secretary of the Commission.
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    \5\ 70 FR 35028 (16 Jun 2005).
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    The Commission uses the information to evaluate and formulate an

appropriate option for action in the event an unanticipated shortage is
reported and/or materializes. Without this information, the Commission
and State agencies would be unable to: (1) examine and approve or
modify utility actions, (2) prepare a response to anticipated
disruptions in electric energy, and (3) ensure equitable treatment of
all public utility customers under the shortage situations. The
Commission implements these filing requirements in the Code of Federal
Regulations (CFR) under 18 CFR part 294.
    Type of Respondent: Public utilities.
    Estimate of Annual Burden: The Commission estimates the annual
public reporting burden for the information collection as:

                                    FERC-585 (Reporting of Electric Shortages and Contingency Plans Under PURPA 206)
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                                                                          Annual  number                      Average      Total annual
                                                             Number of     of  responses   Total  number  burden &  cost   burden hours      Cost per
                                                            respondents         per        of  responses   per  response      & total       respondent
                                                                            respondent                          \3\         annual cost         ($)
                                                                     (1)             (2)     (1)*(2)=(3)             (4)     (3)*(4)=(5)         (5)/(1)
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Contingency Plan........................................               1               1               1      73, $5,256      73, $5,256           5,256
Capacity Shortage.......................................               1               1               1       0.25, $18       0.25, $18              18
                                                         -----------------------------------------------------------------------------------------------
    Total...............................................  ..............  ..............  ..............  ..............   73.25, $5,274           5,274
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FERC-921 (Ongoing Electronic Delivery of Data From Regional
Transmission Organization and Independent System Operators)

    OMB Control No.: 1902-0257.
    Abstract: The collection of data in the FERC-921 is an effort by
the Commission to detect potential anti-competitive or manipulative
behavior or ineffective market rules by requiring Regional Transmission
Organizations (RTO) and Independent System Operators (ISO) \6\ to
electronically submit, on a continuous basis, data relating to physical
and virtual offers and bids, market awards, resource outputs, marginal
cost estimates, shift factors, financial transmission rights, internal
bilateral contracts, uplift, and interchange pricing. Individual
datasets that the Commission is requesting may be produced or retained
by the market monitoring units (MMUs). The Commission directed each RTO
and ISO either to: (1) Request such data from its MMU, so that the RTO
or ISO can deliver such data to the Commission; or (2) request its MMU
to deliver such data directly to the Commission. Any burden associated
with the delivery of such data is counted as burden on the RTO or ISO.
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    \6\ Per Final Rule RM-11-17-000 regionally organized markets
would not be required to collect any additional data from market
participants; requiring regional organized markets to provide data
to the Commission that is already collected.
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    Type of Respondent: Regional transmission organizations and
independent system operators.
    Estimate of Annual Burden: The Commission estimates the annual
public reporting burden for the information collection as:
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    \7\ The estimates for cost per response are derived using the
following formula: Average Burden Hours per Response * $100.30 per
Hour = Average Cost per Response.

  FERC-921 (Ongoing Electronic Delivery of Data from Regional Transmission Organizations and Independent System
                                                   Operators)
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                                                                               Total annual
    Number of      Annual  number of   Total  number of  Average  burden &      recurring           Cost per
   respondents       responses  per       responses           cost per      operating  burden   respondent  ($)
                       respondent                           response \7\      hours  & cost
(1)                            (2)        (1)*(2)=(3)                (4)        (3)*(4)=(5)            (5)/(1)
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              6                  1                  6         98, $9,830       588, $58,980             $9,830
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    Dated: January 9, 2015.
Kimberly D. Bose,
Secretary.
[FR Doc. 2015-00573 Filed 1-15-15; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 77, Number 61 (Thursday, March 29, 2012)]
[Proposed Rules]
[Pages 18969-18970]
[FR Doc No: 2012-7541]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2012-0340; Directorate Identifier 2011-SW-073-AD]
RIN 2120-AA64

Airworthiness Directives; Sikorsky Aircraft Corporation
Helicopters

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: We propose to adopt a new airworthiness directive (AD) for
certain Sikorsky Aircraft Corporation (Sikorsky) Model S-76C
helicopters. This proposed AD is prompted by a bird-strike to the
windshield that resulted in unintended movement of the engine control
levers from the forward position and towards the flight-idle position,
which reduced power on both engines. These actions are intended to
prevent unintended movement of the ECLs, resulting in main rotor speed
decay and subsequent loss of control of the aircraft.

DATES: We must receive comments on this proposed AD by May 29, 2012.

ADDRESSES: You may send comments by any of the following methods:
     Federal eRulemaking Docket: Go to http://www.regulations.gov. Follow the online instructions for sending your
comments electronically.
     Fax:<PHONE_NUMBER>.
     Mail: Send comments to the U.S. Department of
Transportation, Docket Operations, M-30, West Building Ground Floor,
Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590-0001.
     Hand Delivery: Deliver to the ``Mail'' address between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.

Examining the AD Docket: You may examine the AD docket on the Internet
at http://www.regulations.gov or in person at the Docket Operations
Office between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains this proposed AD, the economic
evaluation, any comments received, and other information. The street
address for the Docket Operations Office (telephone<PHONE_NUMBER>) is in
the ADDRESSES section. Comments will be available in the AD docket
shortly after receipt.
    For service information identified in this proposed AD, contact
Sikorsky Aircraft Corporation, Attn: Manager, Commercial Technical
Support, mailstop s581a, 6900 Main Street, Stratford, CT, telephone
(203) 383-4866, email address<EMAIL_ADDRESS>or at http://www.sikorsky.com.
    You may review copies of the referenced service information at the
FAA, Office of the Regional Counsel, Southwest Region, 2601 Meacham
Blvd., Room 663, Fort Worth, Texas 76137.

FOR FURTHER INFORMATION CONTACT: Kirk Gustafson, Aerospace Engineer,
FAA, Boston Aircraft Certification Office, Engine and Propeller
Directorate, 12 New England Executive Park, Burlington, MA 01803;
telephone<PHONE_NUMBER>; email<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Comments Invited

    We invite you to participate in this rulemaking by submitting
written comments, data, or views. We also invite comments relating to
the economic, environmental, energy, or federalism impacts that might
result from adopting the proposals in this document. The most helpful
comments reference a specific portion of the proposal, explain the
reason for any recommended change, and include supporting data. To
ensure the docket does not contain duplicate comments, commenters
should send only one copy of written comments, or if comments are filed
electronically, commenters should submit only one time.
    We will file in the docket all comments that we receive, as well as
a report summarizing each substantive public contact with FAA personnel
concerning this proposed rulemaking. Before acting on this proposal, we
will consider all comments we receive on or before the closing date for
comments. We will consider comments filed after the comment period has
closed if it is possible to do so without incurring expense or delay.
We may change this proposal in light of the comments we receive.

Discussion

    We are proposing this AD as the result of an accident investigation
which concluded that a bird-strike to the upper portion of the
windshield caused significant forces to be transferred into the
overhead engine control quadrant assembly. This caused both ECLs to
move aft from the normal ``FLY'' position toward the ``IDLE'' position.
Unintended in-flight movement of the ECLs from the ``FLY'' position
significantly reduced engine power, and resulted in an unrecoverable
loss of main rotor speed and loss of control of the aircraft. A
subsequent National Transportation Safety Board (NTSB) investigation
resulted in a recommendation to modify the design of the engine control
quadrant to protect against unintended movement of the ECLs from
external force to the windshield or canopy. Sikorsky then issued Alert
Service Bulletin (ASB) No. 76-76-6A, Revision A, dated May 18, 2011
(ASB 76-76-6A) which describes procedures to modify the engine control
quadrant assembly with an improved throttle stop and a wider trigger
assembly.

FAA's Determination

    We are proposing this AD because we evaluated all known relevant
information and determined that an unsafe condition exists and is
likely to exist or develop on other products of the same type design.

Related Service Information

    We reviewed ASB 76-76-6A, which describes procedures for partially
disassembling the engine control quadrant assembly, removing the
existing throttle stop, and installing a new airworthy throttle stop.
The ASB also describes procedures to remove the existing trigger
assembly from each ECL and install a new airworthy wide trigger
assembly.

Proposed AD Requirements

    This proposed AD would require, for S-76C model helicopters with
serial numbers 760506 and 760607 through 760812, within 6 months after
the effective date of the proposed AD, installing an improved throttle
stop and a wider trigger on each ECL as specified in the ASB.

Differences Between This Proposed AD and the Service Information

    The Sikorsky ASB requires installation of the modifications on or
before March 7, 2012. The proposed AD requires installation within 6
months after the effective date of the AD.

Costs of Compliance

    We estimate that this proposed AD would affect 52 helicopters of
U.S. Registry.
    We estimate that operators may incur the following costs in order
to comply with this AD. To replace the engine control lever stop and
trigger assemblies will require 2 work-hours at an average labor cost
of $85 per hour. Required parts will cost about $939. Based upon these
costs, we estimate a total cost of $1,109 per helicopter and a total
cost of $57,668 for the entire U.S. operator fleet.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. ``Subtitle VII: Aviation
Programs,'' describes in more detail the scope of the Agency's
authority.
    We are issuing this rulemaking under the authority described in
``Subtitle VII, Part A, Subpart III, Section 44701: General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.

Regulatory Findings

    We determined that this proposed AD would not have federalism
implications under Executive Order 13132. This proposed AD would not
have a substantial direct effect on the States, on the relationship
between the national Government and the States, or on the distribution
of power and responsibilities among the various levels of government.
    For the reasons discussed, I certify this proposed regulation:
    1. Is not a ``significant regulatory action'' under Executive Order
12866;
    2. Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979);
    3. Will not affect intrastate aviation in Alaska to the extent that
it justifies making a regulatory distinction; and
    4. Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.
    We prepared an economic evaluation of the estimated costs to comply
with this proposed AD and placed it in the AD docket.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

The Proposed Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA proposes to amend 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

    1. The authority citation for part 39 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13  [Amended]

    2. The FAA amends Sec.  39.13 by adding the following new
Airworthiness Directive (AD):

Sikorsky Aircraft Corporation: Docket No. FAA-2012-0340; Directorate
Identifier 2011-SW-073-AD.

(a) Applicability

    This AD applies to Sikorsky Aircraft Corporation (Sikorsky)
Model S-76C helicopters, serial numbers 760506 and 760607 through
760812, certificated in any category.

(b) Unsafe Condition

    This AD defines the unsafe condition as unintended movement of
the engine control levers due to an external force to the windshield
or canopy. This condition could result in significantly reduced
engine power, unrecoverable loss of main rotor speed, and subsequent
loss of control of the helicopter.

(c) Compliance

    You are responsible for performing each action required by this
AD within the specified compliance time unless accomplished
previously.

(d) Required Action

    Within 6 months, replace the throttle stop and trigger assembly
on each engine control lever and perform a throttle position check
as specified in the Accomplishment Instructions, Sections 3.A and
3.B, of Sikorsky Alert Service Bulletin No. 76-76-6A Revision A,
dated May 18, 2011.

(e) Alternative Methods of Compliance (AMOC)

    (1) The Manager, Boston Aircraft Certification Office, FAA, may
approve AMOCs for this AD. Send your proposal to: Kirk Gustafson,
Aerospace Engineer, FAA, Boston Aircraft Certification Office,
Engine and Propeller Directorate, 12 New England Executive Park,
Burlington, MA 01803; telephone<PHONE_NUMBER>; email
<EMAIL_ADDRESS>    (2) For operations conducted under a Part 119 operating
certificate or under Part 91, Subpart K, we suggest that you notify
your principal inspector, or lacking a principal inspector, the
manager of the local flight standards district office or certificate
holding district office before operating any aircraft complying with
this AD through an AMOC.

(f) Subject

    Joint Aircraft Service Component (JASC) Code: 7600: Engine
Controls.

    Issued in Fort Worth, Texas, on March 20, 2012.
Kim Smith,
Manager, Rotorcraft Directorate, Aircraft Certification Service.
[FR Doc. 2012-7541 Filed 3-28-12; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 86, Number 90 (Wednesday, May 12, 2021)]
[Notices]
[Pages 26020-26021]
[FR Doc No: 2021-09987]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

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

    Docket Numbers: RP21-757-000.

    Applicants: Cheyenne Plains Gas Pipeline Company, L.L.C.
    Description: Sec.  4(d) Rate Filing: Annual Fuel and LU Update and
OPS Report to be effective 6/1/2021.
    Filed Date: 4/29/21.
    Accession Number: 20210429-5014.
    Comments Due: 5 p.m. ET 5/11/21.

    Docket Numbers: RP21-758-000.
    Applicants: Wyoming Interstate Company, L.L.C.
    Description: Sec.  4(d) Rate Filing: Fuel and L&U Quarterly Update
to be effective 6/1/2021.
    Filed Date: 4/29/21.
    Accession Number: 20210429-5015.
    Comments Due: 5 p.m. ET 5/11/21.

    Docket Numbers: RP21-759-000.
    Applicants: Sierrita Gas Pipeline LLC.
    Description: Sec.  4(d) Rate Filing: FL&U Quarterly Update Filing
to be effective 6/1/2021.
    Filed Date: 4/29/21.
    Accession Number: 20210429-5016.
    Comments Due: 5 p.m. ET 5/11/21.

    Docket Numbers: RP21-760-000.
    Applicants: Kinetica Energy Express, LLC.
    Description: Sec.  4(d) Rate Filing: Section 4 Rate Case to be
effective 6/1/2021.
    Filed Date: 4/29/21.
    Accession Number: 20210429-5021.
    Comments Due: 5 p.m. ET 5/11/21.

    Docket Numbers: RP21-761-000.
    Applicants: Ruby Pipeline, L.L.C.
    Description: Sec.  4(d) Rate Filing: FLU and Electric Power Update
to be effective 6/1/2021.
    Filed Date: 4/29/21.
    Accession Number: 20210429-5039.
    Comments Due: 5 p.m. ET 5/11/21.

    Docket Numbers: RP21-762-000.
    Applicants: Gulfstream Natural Gas System, L.L.C.
    Description: Sec.  4(d) Rate Filing: 2021 GNGS TUP/SBA Filing to be
effective 6/1/2021.
    Filed Date: 4/29/21.
    Accession Number: 20210429-5041.
    Comments Due: 5 p.m. ET 5/11/21.

    Docket Numbers: RP21-763-000.
    Applicants: Alliance Pipeline L.P.
    Description: Alliance Pipeline L.P. submits Annual report for
operational purchase and sales for the 12-month period ending December
31, 2020 under RP21-763.
    Filed Date: 4/29/21.
    Accession Number: 20210429-5062.
    Comments Due: 5 p.m. ET 5/11/21.

    Docket Numbers: RP21-764-000.
    Applicants: Sabal Trail Transmission, LLC.
    Description: Sec.  4(d) Rate Filing: 2021 TUP/SBA Annual Filing to
be effective 6/1/2021.
    Filed Date: 4/29/21.
    Accession Number: 20210429-5065.
    Comments Due: 5 p.m. ET 5/11/21.

    Docket Numbers: RP21-765-000.
    Applicants: Colorado Interstate Gas Company, L.L.C.
    Description: Sec.  4(d) Rate Filing: Negotiated Rate Non-Conforming
TSA (BHSC Elkhart) and Housekeeping Filing to be effective 6/1/2021.
    Filed Date: 4/29/21.
    Accession Number: 20210429-5140.
    Comments Due: 5 p.m. ET 5/11/21.

    Docket Numbers: RP21-766-000.
    Applicants: Southern Star Central Gas Pipeline, Inc.
    Description: Sec.  4(d) Rate Filing: Vol 2--Neg and Conforming Rate
Agreements-Southwest Energy PLS to be effective 5/1/2021.
    Filed Date: 4/29/21.
    Accession Number: 20210429-5156.
    Comments Due: 5 p.m. ET 5/11/21.

    Docket Numbers: RP21-767-000.
    Applicants: Gas Transmission Northwest LLC.
    Description: Sec.  4(d) Rate Filing: GTN Neg Rate Agreements to be
effective 11/1/2019.
    Filed Date: 4/29/21.
    Accession Number: 20210429-5225.
    Comments Due: 5 p.m. ET 5/11/21.

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

    Dated: April 30, 2021.
Kimberly D. Bose,
Secretary.
[FR Doc. 2021-09987 Filed 5-11-21; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 76, Number 98 (Friday, May 20, 2011)]
[Notices]
[Pages 29235-29236]
[FR Doc No: 2011-12496]

=======================================================================
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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OAR-2007-0269; FRL-9308-7]

Agency Information Collection Activities; Submission to OMB for
Review and Approval; Comment Request; Transportation Conformity
Determinations for Federally Funded and Approved Transportation Plans
(Renewal)

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: In compliance with the Paperwork Reduction Act (PRA)(44 U.S.C.
3501 et seq.), this document announces that an Information Collection
Request (ICR) has been forwarded to the Office of Management and Budget
(OMB) for review and approval. This is a request to renew an existing
approved collection. The ICR, which is abstracted below, describes the
nature of the information collection and its estimated burden and cost.

DATES: Additional comments may be submitted on or before June 20, 2011.

ADDRESSES: Submit your comments, referencing Docket ID No. EPA-HQ-OAR-
2007-0269, to (1) EPA online using http://www.regulations.gov (our
preferred method), or by mail to EPA Docket Center, Environmental
Protection Agency, Air and Radiation Docket, Mailcode 28221T, 1200
Pennsylvania Ave., NW., Washington, DC 20460, and (2) OMB by mail to:
Office of Information and Regulatory Affairs, Office of Management and
Budget (OMB), 725 17th Street, NW., Washington, DC 20503, Attention:
Desk Officer for EPA.

FOR FURTHER INFORMATION CONTACT: Astrid Larsen, State Measures and
Conformity Group, Transportation and Regional Programs Division, U.S.
Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI
48105; telephone number<PHONE_NUMBER>; fax number:<PHONE_NUMBER>; e-
mail address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: EPA has submitted the following ICR to OMB
for review and approval according to the

procedures prescribed in 5 CFR 1320.12. On February 10, 2011 (76 FR
7560), EPA sought comments on this ICR pursuant to 5 CFR 1320.8(d). EPA
received 4 comments during the comment period, which are addressed in
the ICR. Any additional comments on this ICR should be submitted to EPA
and OMB within 30 days of this notice.
    EPA has established a public docket for this ICR under Docket ID
No. EPA-HQ-OAR-2007-0269, which is available for online viewing at
http://www.regulations.gov, or in person viewing at the Air Docket in
the EPA Docket Center (EPA/D.C.), EPA West, Room 3334, 1301
Constitution Ave., NW., Washington, DC. The EPA/D.C. Public Reading
Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday,
excluding legal holidays. The telephone number for the Reading Room is
202-566-1744, and the telephone number for the Air Docket is 202-566-
1742.
    Use EPA's electronic docket and comment system at http://www.regulations.gov, to submit or view public comments, access the
index listing of the contents of the docket, and to access those
documents in the docket that are available electronically. Once in the
system, select ``docket search,'' then key in the docket ID number
identified above. Please note that EPA's policy is that public
comments, whether submitted electronically or in paper, will be made
available for public viewing at http://www.regulations.gov as EPA
receives them and without change, unless the comment contains
copyrighted material, confidential business information (CBI), or other
information whose public disclosure is restricted by statute. For
further information about the electronic docket, go to http://www.regulations.gov.
    Title: Transportation Conformity Determinations for Federally
Funded and Approved Transportation Plans, Programs and Projects
(Renewal).
    ICR numbers: EPA ICR No. 2130.04, OMB Control No. 2060-0561.
    ICR Status: This ICR is scheduled to expire on May 31, 2011. Under
OMB regulations, the Agency may continue to conduct or sponsor the
collection of information while this submission is pending at OMB. An
Agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information, unless it displays a currently
valid OMB control number. The OMB control numbers for EPA's regulations
in title 40 of the CFR, after appearing in the Federal Register when
approved, are listed in 40 CFR Part 9, are displayed either by
publication in the Federal Register or by other appropriate means, such
as on the related collection instrument or form, if applicable. The
display of OMB control numbers in certain EPA regulations is
consolidated in 40 CFR part 9.
    Abstract: Transportation conformity is required under Clean Air Act
section 176(c) (42 U.S.C. 7506(c)) to ensure that federally supported
transportation activities are consistent with (``conform to'') the
purpose of the state air quality implementation plan (SIP).
Transportation activities include transportation plans, transportation
improvement programs (TIPs), and federally funded or approved highway
or transit projects. Conformity to the purpose of the SIP means that
transportation activities will not cause or contribute to new air
quality violations, worsen existing violations, or delay timely
attainment of the relevant national ambient air quality standards
(NAAQS or ``standards'') or interim milestones.
    Transportation conformity applies under EPA's conformity
regulations at 40 CFR Part 93, subpart A, to areas that are designated
nonattainment, and those redesignated to attainment after 1990
(``maintenance areas'' with plans developed under Clean Air Act section
175A) for the following transportation related criteria pollutants:
Ozone, particulate matter (PM2.5 and PM10),
carbon monoxide (CO), and nitrogen dioxide (NO2). The EPA
published the original transportation conformity rule on November 24,
1993 (58 FR 62188), and subsequently published several revisions. EPA
develops the conformity regulations in coordination with the Federal
Highway Administration (FHWA) and Federal Transit Administration (FTA).
    Transportation conformity determinations are required before
federal approval or funding is given to certain types of transportation
planning documents as well as non-exempt highway and transit projects.
    EPA considered the following in renewing the existing ICR: Burden
estimates for transportation conformity determinations in current
nonattainment and maintenance areas for the ozone, PM2.5,
PM10, CO, and NO2 NAAQS, which made up EPA's
previous ICR; federal burden associated with EPA's adequacy review
process for submitted SIP budgets that are to be used in conformity
determinations; new start-up burden associated with learning to perform
quantitative hot-spot analyses; new burden associated with using the
MOVES model for conformity analyses; efficiencies in areas doing
conformity for multiple NAAQS; and, differences in conformity resource
needs in large and small metropolitan areas and isolated rural areas.
    This ICR does not include burden associated with the general
development of transportation planning and air quality planning
documents for meeting other federal requirements.
    Burden Statement: The annual public reporting and recordkeeping
burden for this collection of information is estimated to average 8
hours per response. Burden means the total time, effort, or financial
resources expended by persons to generate, maintain, retain, or
disclose or provide information to or for a Federal agency. This
includes the time needed to review instructions; develop, acquire,
install, and utilize technology and systems for the purposes of
collecting, validating, and verifying information, processing and
maintaining information, and disclosing and providing information;
adjust the existing ways to comply with any previously applicable
instructions and requirements which have subsequently changed; train
personnel to be able to respond to a collection of information; search
data sources; complete and review the collection of information; and
transmit or otherwise disclose the information.
    Respondents/Affected Entities: State and local governments.
    Estimated Number of Respondents: 174.
    Frequency of Response: Occasionally.
    Estimated Total Annual Hour Burden: 88,404 hours.
    Estimated Total Annual Cost: $5,199,040 includes no annualized
capital or without O&M costs.
    Changes in the Estimates: There is an increase of 36,100 hours in
the total estimated burden currently identified in the OMB Inventory of
Approved ICR Burdens. This increase reflects EPA's adjustments
associated with the actual number of 2006 PM2.5 NAAQS
nonattainment areas versus the estimated number in the previous ICR,
adjustment for increased burden associated with quantitative hot-spot
analyses, an adjustment for the increased burden associated with the
transition from the MOBILE6.2 to the MOVES model, an adjustment to the
frequency of plan and TIP conformity determinations, and an adjustment
for burden associated with increased consultation hours.

    Dated: May 16, 2011.
John Moses,
Director, Collection Strategies Division.
[FR Doc. 2011-12496 Filed 5-19-11; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 84, Number 33 (Tuesday, February 19, 2019)]
[Notices]
[Pages 4871-4878]
[FR Doc No: 2019-02595]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-85097; File No. 4-551]

Program for Allocation of Regulatory Responsibilities Pursuant to
Rule 17d-2; Notice of Filing and Order Approving and Declaring
Effective an Amendment to the Plan for the Allocation of Regulatory
Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the
Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc.,
Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE
Arca, Inc., The NASDAQ Stock Market LLC, BOX Exchange LLC, NASDAQ BX,
Inc., NASDAQ PHLX LLC, Miami International Securities Exchange, LLC,
Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, and MIAX Emerald,
LLC Concerning Options-Related Market Surveillance

February 11, 2019.
    Notice is hereby given that the Securities and Exchange Commission
(``Commission'') has issued an Order, pursuant to Section 17(d) of the
Securities Exchange Act of 1934 (``Act''),\1\ approving and declaring
effective an amendment to the plan for allocating regulatory
responsibility (``Plan'') filed on January 8, 2019, pursuant to Rule
17d-2 of the Act,\2\ by NYSE American LLC (``NYSE American''), Cboe BZX
Exchange, Inc., (``BZX''), the Cboe EDGX Exchange, Inc. (``EDGX''),
Cboe C2 Exchange, Inc. (``C2''), Cboe Exchange, Inc. (``Cboe''), Nasdaq
ISE, LLC (``ISE''), Financial Industry Regulatory Authority, Inc.
(``FINRA''), NYSE Arca, Inc. (``Arca''), The NASDAQ Stock Market LLC
(``Nasdaq''), BOX Exchange LLC (``BOX''), NASDAQ BX, Inc. (``BX''),
NASDAQ PHLX LLC (``PHLX''), Miami International Securities Exchange,
LLC (``MIAX''), Nasdaq GEMX, LLC (``Gemini''), Nasdaq MRX, LLC
(``Mercury''), MIAX PEARL, LLC (``MIAX PEARL''), and MIAX Emerald, LLC
(MIAX Emerald) (collectively, ``Participating Organizations'' or
``parties'').
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    \1\ 15 U.S.C. 78q(d).
    \2\ 17 CFR 240.17d-2.
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I. Introduction

    Section 19(g)(1) of the Act,\3\ among other things, requires every
self-regulatory organization (``SRO'') registered as either a national
securities exchange or national securities association to examine for,
and enforce compliance by, its members and persons associated with its
members with the Act, the rules and regulations thereunder, and the
SRO's own rules, unless the SRO is relieved of this responsibility
pursuant to Section 17(d) \4\ or Section 19(g)(2) \5\ of the Act.
Without this relief, the statutory obligation of each individual SRO
could result in a pattern of multiple examinations of broker-dealers
that maintain memberships in more than one SRO (``common members'').
Such regulatory duplication would add unnecessary expenses for common
members and their SROs.
---------------------------------------------------------------------------

    \3\ 15 U.S.C. 78s(g)(1).
    \4\ 15 U.S.C. 78q(d).
    \5\ 15 U.S.C. 78s(g)(2).
---------------------------------------------------------------------------

    Section 17(d)(1) of the Act \6\ was intended, in part, to eliminate
unnecessary multiple examinations and regulatory duplication.\7\ With
respect to a common member, Section 17(d)(1) authorizes the Commission,
by rule or order, to relieve an SRO of the responsibility to receive
regulatory reports, to examine for and enforce compliance with
applicable statutes, rules, and regulations, or to perform other
specified regulatory functions.
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    \6\ 15 U.S.C. 78q(d)(1).
    \7\ See Securities Act Amendments of 1975, Report of the Senate
Committee on Banking, Housing, and Urban Affairs to Accompany S.
249, S. Rep. No. 94-75, 94th Cong., 1st Session 32 (1975).
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    To implement Section 17(d)(1), the Commission adopted two rules:
Rule

17d-1 and Rule 17d-2 under the Act.\8\ Rule 17d-1 authorizes the
Commission to name a single SRO as the designated examining authority
(``DEA'') to examine common members for compliance with the financial
responsibility requirements imposed by the Act, or by Commission or SRO
rules.\9\ When an SRO has been named as a common member's DEA, all
other SROs to which the common member belongs are relieved of the
responsibility to examine the firm for compliance with the applicable
financial responsibility rules. On its face, Rule 17d-1 deals only with
an SRO's obligations to enforce member compliance with financial
responsibility requirements. Rule 17d-1 does not relieve an SRO from
its obligation to examine a common member for compliance with its own
rules and provisions of the federal securities laws governing matters
other than financial responsibility, including sales practices and
trading activities and practices.
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    \8\ 17 CFR 240.17d-1 and 17 CFR 240.17d-2, respectively.
    \9\ See Securities Exchange Act Release No. 12352 (April 20,
1976), 41 FR 18808 (May 7, 1976).
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    To address regulatory duplication in these and other areas, the
Commission adopted Rule 17d-2 under the Act.\10\ Rule 17d-2 permits
SROs to propose joint plans for the allocation of regulatory
responsibilities with respect to their common members. Under paragraph
(c) of Rule 17d-2, the Commission may declare such a plan effective if,
after providing for notice and comment, it determines that the plan is
necessary or appropriate in the public interest and for the protection
of investors, to foster cooperation and coordination among the SROs, to
remove impediments to, and foster the development of, a national market
system and a national clearance and settlement system, and is in
conformity with the factors set forth in Section 17(d) of the Act.
Commission approval of a plan filed pursuant to Rule 17d-2 relieves an
SRO of those regulatory responsibilities allocated by the plan to
another SRO.
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    \10\ See Securities Exchange Act Release No. 12935 (October 28,
1976), 41 FR 49091 (November 8, 1976).
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II. The Plan

    On December 11, 2007, the Commission declared effective the
Participating Organizations' Plan for allocating regulatory
responsibilities pursuant to Rule 17d-2.\11\ On April 11, 2008, the
Commission approved an amendment to the Plan to include NASDAQ as a
participant.\12\ On October 9, 2008, the Commission approved an
amendment to the Plan to clarify that the term Regulatory
Responsibility for options position limits includes the examination
responsibilities for the delta hedging exemption.\13\ On February 25,
2010, the Commission approved an amendment to the Plan to add Bats and
C2 as SRO participants and to reflect the name changes of the American
Stock Exchange LLC to the NYSE Amex LLC, and the Boston Stock Exchange,
Inc. to the NASDAQ OMX BX, Inc.\14\ On May 11, 2012, the Commission
approved an amendment to the Plan to add BOX as a participant to the
Plan.\15\ On December 5, 2012, the Commission approved an amendment to
the Plan to add MIAX as a participant to the Plan.\16\ On July 26,
2013, the Commission approved an amendment to the Plan to add Topaz
Exchange, LLC as a Participant to the Plan.\17\ On October 29, 2015,
the Commission approved an amendment to add EDGX as a Participant to
the Plan and to change the name of Topaz Exchange, LLC to ISE Gemini,
LLC.\18\ On February 16, 2016, the Commission approved an amendment to
add ISE Mercury, LLC as a Participant to the Plan.\19\ On February 2,
2017, the Commission approved an amendment to add MIAX PEARL as a
Participant to the Plan.\20\
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    \11\ See Securities Exchange Act Release No. 56941 (December 11,
2007), 72 FR 71723 (December 18, 2007) (File No. 4-551).
    \12\ See Securities Exchange Act Release No. 57649 (April 11,
2008), 73 FR 20976 (April 17, 2008) (File No. 4-551).
    \13\ See Securities Exchange Act Release No. 58765 (October 9,
2008), 73 FR 62344 (October 20, 2008) (File No. 4-551).
    \14\ See Securities Exchange Act Release No. 61588 (February 25,
2010), 75 FR 9970 (March 4, 2010) (File No. 4-551).
    \15\ See Securities Exchange Act Release No. 66975 (May 11,
2012), 77 FR 29712 (May 18, 2010) (File No. 4-551).
    \16\ See Securities Exchange Act Release No. 68362 (December 5,
2012), 77 FR 73719 (December 11, 2012) (File No. 4-551).
    \17\ See Securities Exchange Act Release No. 70052 (July 26,
2013), 78 FR 46665 (August 1, 2013) (File No. 4-551).
    \18\ See Securities Exchange Act Release No. 76310 (October 29,
2015), 80 FR 68354 (November 4, 2015) (File No. 4-551).
    \19\ See Securities Exchange Act Release No. 77149 (February 16,
2016), 81 FR 8781 (February 22, 2016) (File No. 4-551).
    \20\ See Securities Exchange Act Release No. 79930 (February 2,
2017), 82 FR 9807 (February 8, 2017) (File No. 4-551).
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    The Plan is designed to reduce regulatory duplication for common
members by allocating regulatory responsibility for certain options-
related market surveillance matters among the Participating
Organizations. Generally, under the Plan, a Participating Organization
will serve as the Designated Options Surveillance Regulator (``DOSR'')
for each common member assigned to it and will assume regulatory
responsibility with respect to that common member's compliance with
applicable common rules for certain accounts. When an SRO has been
named as a common member's DOSR, all other SROs to which the common
member belongs will be relieved of regulatory responsibility for that
common member, pursuant to the terms of the Plan, with respect to the
applicable common rules specified in Exhibit A to the Plan.

III. Proposed Amendment to the Plan

    On January 8, 2019, the parties submitted a proposed amendment to
the Plan. The primary purpose of the amendment is to add MIAX Emerald
as a Participant to the Plan and to reflect name changes of certain
Participating Organizations. The text of the proposed amended 17d-2
plan is as follows (additions are italicized; deletions are
[bracketed]):
* * * * *
AGREEMENT BY AND AMONG NYSE [MKT]AMERICAN LLC, [BATS]CBOE BZX EXCHANGE,
INC., CBOE EDGX EXCHANGE INC., BOX [OPTIONS] EXCHANGE LLC, NASDAQ BX,
INC., CBOE C2 [OPTIONS] EXCHANGE, INC.[ORPORATED], CBOE [THE CHICAGO
BOARD OPTIONS] EXCHANGE, INC.[ORPORATED], [THE INTERNATIONAL SECURITIES
EXCHANGE]NASDAQ ISE, LLC, [ISE GEMINI]NASDAQ GEMX, LLC, [ISE
MERCURY]NASDAQ MRX, LLC, FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.,
NYSE ARCA, INC., THE NASDAQ STOCK MARKET LLC, NASDAQ PHLX LLC, MIAMI
INTERNATIONAL SECURITIES EXCHANGE, LLC, [AND] MIAX PEARL, LLC, AND MIAX
EMERALD, PURSUANT TO RULE 17d-2 UNDER THE SECURITIES EXCHANGE ACT OF
1934
    This agreement (this ``Agreement''), by and among NYSE
[MKT]American LLC (``[MKT]]NYSE American''), [Bats]Cboe BZX Exchange,
Inc., (``[Bats]BZX''), the [Bats]Cboe EDGX Exchange, Inc. (``EDGX''),
[the]Cboe C2 [Options] Exchange, Inc.[orporated] (``C2''), Cboe[the
Chicago Board Options] Exchange, Inc.[orporated] (``[CBOE]Cboe''), [the
International Securities Exchange]Nasdaq ISE, LLC (``ISE''), Financial
Industry Regulatory Authority, Inc. (``FINRA''), NYSE Arca, Inc.
(``Arca''), The NASDAQ Stock Market LLC (``Nasdaq''), BOX [Options]
Exchange LLC (``BOX''), NASDAQ BX, Inc. (``BX''), NASDAQ PHLX [Inc.]LLC
(``PHLX''), Miami International

Securities Exchange, LLC (``MIAX''), [ISE Gemini, LLC]Nasdaq GEMX, LLC
(``Gemini''), [ISE Mercury]Nasdaq MRX, LLC (``Mercury''), [and] MIAX
PEARL, LLC (``MIAX PEARL''), and MIAX Emerald, LLC (MIAX Emerald), is
made this 10th day of October 2007, and as amended the 31\st\ day of
March 2008, the 1\st\ day of October 2008, the 3\rd\ day of February
2010, the 25th day of April 2012, and the 19\th\ day of November 2012,
and the 30\th\ day of May 2013, and the 16th day of October 2015, and
the 29\th\ day of January 2016, [and] the 23rd day of January 2017, and
the 8\th\ day of January 2019, pursuant to Section 17(d) of the
Securities Exchange Act of 1934, as amended (the ``Exchange Act''), and
Rule 17d-2 thereunder (``Rule 17d-2''), which allows for a joint plan
among self-regulatory organizations (``SROs'') to allocate regulatory
obligations with respect to brokers or dealers that are members of two
or more of the parties to this Agreement (``Common Members''). [MKT,
Bats,]NYSE American, BZX, C2, [CBOE]Cboe, EDGX, [ISE] Gemini, ISE,
[ISE] Mercury, FINRA, Arca, Nasdaq, BOX, BX, PHLX, MIAX, [and] MIAX
PEARL, and MIAX Emerald, are collectively referred to herein as the
``Participants'' and individually, each a ``Participant.'' This
Agreement shall be administered by a committee known as the Options
Surveillance Group (the ``OSG'' or ``Group''), as described in Section
V hereof. Unless defined in this Agreement or the context otherwise
requires, the terms used herein shall have the meanings assigned
thereto by the Exchange Act and the rules and regulations thereunder.
    WHEREAS, the Participants desire to eliminate regulatory
duplication with respect to SRO market surveillance of Common Member
\1\ activities with regard to certain common rules relating to listed
options (``Options''); and
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    \1\ In the case of the BX and BOX, members are those persons who
are Options Participants (as defined in the BOX [Options] Exchange
LLC Rules and NASDAQ BX, Inc. Rules).
---------------------------------------------------------------------------

    WHEREAS, for this purpose, the Participants desire to execute and
file this Agreement with the Securities and Exchange Commission (the
``SEC'' or ``Commission'') pursuant to Rule 17d-2.
    NOW, THEREFORE, in consideration of the mutual covenants contained
in this Agreement, the Participants agree as follows:

I. Except as otherwise provided in this Agreement, each Participant
shall assume Regulatory Responsibility (as defined below) for the
Common Members that are allocated or assigned to such Participant in
accordance with the terms of this Agreement and shall be relieved of
its Regulatory Responsibility as to the remaining Common Members. For
purposes of this Agreement, a Participant shall be considered to be the
II. Designated Options Surveillance Regulator (``DOSR'') for each
Common Member that is allocated to it in accordance with Section VII.
III. As used in this Agreement, the term ``Regulatory Responsibility''
shall mean surveillance, investigation and enforcement responsibilities
relating to compliance by the Common Members with such Options rules of
the Participants as the Participants shall determine are substantially
similar and shall approve from time to time, insofar as such rules
relate to market surveillance (collectively, the ``Common Rules''). For
the purposes of this Agreement the list of Common Rules is attached as
Exhibit A hereto, which may only be amended upon unanimous written
agreement by the Participants. The DOSR assigned to each Common Member
shall assume Regulatory Responsibility with regard to that Common
Member's compliance with the applicable Common Rules for certain
accounts.\2\ A DOSR may perform its Regulatory Responsibility or enter
an agreement to transfer or assign such responsibilities to a national
securities exchange registered with the SEC under Section 6(a) of the
Exchange Act or a national securities association registered with the
SEC under Section 15A of the Exchange Act. A DOSR may not transfer or
assign its Regulatory Responsibility to an association registered for
the limited purpose of regulating the activities of members who are
registered as brokers or dealers in security futures products.
---------------------------------------------------------------------------

    \2\ Certain accounts shall include customer (``C'' as classified
by the Options Clearing Corporation (``OCC'')) and firm (``F'' as
classified by OCC) accounts, as well as other accounts, such as
market maker accounts as the Participants shall, from time to time,
identify as appropriate to review.
---------------------------------------------------------------------------

 The term ``Regulatory Responsibility'' does not include, and each
Participant shall retain full responsibility with respect to:
    (a) surveillance, investigative and enforcement responsibilities
other than those included in the definition of Regulatory
Responsibility;
    (a) any aspects of the rules of a Participant that are not
substantially similar to the Common Rules or that are allocated for a
separate surveillance purpose under any other agreement made pursuant
to Rule 17d-2. Any such aspects of a Common Rule will be noted as
excluded on Exhibit A.
 With respect to options position limits, the term Regulatory
Responsibility shall include examination responsibilities for the delta
hedging exemption. Specifically, the Participants intend that FINRA
will conduct examinations for delta hedging for all Common Members that
are members of FINRA notwithstanding the fact that FINRA's position
limit rule is, in some cases, limited to only firms that are not
members of an options exchange (i.e., access members). In such cases,
FINRA's examinations for delta hedging options position limit
violations will be for the identical or substantively similar position
limit rule(s) of the other Participant(s). Examinations for delta
hedging for Common Members that are non-FINRA members will be conducted
by the same Participant conducting position limit surveillance. The
allocation of Common Members to DOSRs for surveillance of compliance
with options position limits and other agreed to Common Rules is
provided in Exhibit B. The allocation of Common Members to DOSRs for
examinations of the delta hedging exemption under the options position
limits rules is provided in Exhibit C.
III. Each year within 30 days of the anniversary date of the
commencement of operation of this Agreement, or more frequently if
required by changes in the rules of a Participant, each Participant
shall submit to the other Participants, through the Chair of the OSG,
an updated list of Common Rules for review. This updated list may add
Common Rules to Exhibit A, shall delete from Exhibit A rules of that
Participant that are no longer identical or substantially similar to
the Common Rules, and shall confirm that the remaining rules of the
Participant included on Exhibit A continue to be identically or
substantially similar to the Common Rules. Within 30 days from the date
that each Participant has received revisions to Exhibit A from the
Chair of the OSG, each Participant shall confirm in writing to the
Chair of the OSG whether that Participant's rules listed in Exhibit A
are Common Rules.

IV. Apparent violation of another Participant's rules discovered by a
DOSR, but which rules are not within the scope of the discovering
DOSR's Regulatory Responsibility, shall be referred to the relevant
Participant for such action as is deemed appropriate by that
Participant. Notwithstanding the foregoing, nothing contained herein
shall preclude a DOSR in its discretion from requesting that another
Participant conduct an investigative or enforcement proceeding
(``Proceeding'') on a matter for which the requesting DOSR has
Regulatory Responsibility. If such other Participant agrees, the
Regulatory Responsibility in such case shall be deemed transferred to
the accepting Participant and confirmed in writing by the Participants
involved. Additionally, nothing in this Agreement shall prevent another
Participant on whose market potential violative activity took place
from conducting its own Proceeding on a matter. The Participant
conducting the Proceeding shall advise the assigned DOSR. Each
Participant agrees, upon request, to make available promptly all
relevant files, records and/or witnesses necessary to assist another
Participant in a Proceeding.
V. The OSG shall be composed of one representative designated by each
of the Participants (a ``Representative''). Each Participant shall also
designate one or more persons as its alternate representative(s) (an
``Alternate Representative''). In the absence of the Representative,
the Alternate Representative shall assume the powers, duties and
responsibilities of the Representative. Each Participant may at any
time replace its Representative and/or its Alternate Representative to
the Group.\3\ A majority of the OSG shall constitute a quorum and,
unless otherwise required, the affirmative vote of a majority of the
Representatives present (in person, by telephone or by written consent)
shall be necessary to constitute action by the Group.
---------------------------------------------------------------------------

    \3\ A Participant must give notice to the Chair of the Group of
such a change.
---------------------------------------------------------------------------

 The Group will have a Chair, Vice Chair and Secretary. A different
Participant will assume each position on a rotating basis for a one-
year term. In the event that a Participant replaces a Representative
who is acting as Chair, Vice Chair or Secretary, the newly appointed
Representative shall assume the position of Chair, Vice Chair, or
Secretary (as applicable) vacated by the Participant's former
Representative. In the event a Participant cannot fulfill its duties as
Chair, the Participant serving as Vice Chair shall substitute for the
Chair and complete the subject unfulfilled term. All notices and other
communications for the OSG are to be sent in care of the Chair and, as
appropriate, to each Representative.
VI. The OSG shall determine the times and locations of Group meetings,
provided that the Chair, acting alone, may also call a meeting of the
Group in the event the Chair determines that there is good cause to do
so. To the extent reasonably possible, notice of any meeting shall be
given at least ten business days prior to the meeting date.
Representatives shall always be given the option of participating in
any meeting telephonically at their own expense rather than in person.
VII. No less frequently than every two years, in such manner as the
Group deems appropriate, the OSG shall allocate Common Members that
conduct an Options business among the Participants (``Allocation''),
and the Participant to which a Common Member is allocated will serve as
the DOSR for that Common Member. Any Allocation shall be based on the
following principles, except to the extent all affected Participants
consent to one or more different principles:
    (a) The OSG may not allocate a Common Member to a Participant
unless the Common Member is a member of that Participant.
    (b) To the extent practicable, Common Members that conduct an
Options business shall be allocated among the Participants of which
they are members in such manner as to equalize as nearly as possible
the allocation among such Participants, provided that no Common Members
shall be allocated to FINRA. For example, if sixteen Common Members
that conduct an Options business are members only of three
Participants, none of which is FINRA, those Common Members shall be
allocated among the three Participants such that no Participant is
allocated more than six such members and no Participant is allocated
less than five such members. If, in the previous example, one of the
three Participants is FINRA, the sixteen Common Members would be
allocated evenly between the remaining Participants, so that the two
non-FINRA Participants would be allocated eight Common Members each.
    (c) To the extent practicable, Allocation shall take into account
the amount of Options activity conducted by each Common Member in order
to most evenly divide the Common Members with the largest amount of
activity among the Participants of which they are members. Allocation
will also take into account similar allocations pursuant to other plans
or agreements to which the Common Members are party to maintain
consistency in oversight of the Common Members.\4\
---------------------------------------------------------------------------

    \4\ For example, if one Participant was allocated a Common
Member by another regulatory group that Participant would be
assigned to be the DOSR of that Common Member, unless there is good
cause not to make that assignment.
---------------------------------------------------------------------------

    (d) To the extent practicable, Allocation of Common Members to
Participants will be rotated among the applicable Participants such
that a Common Member shall not be allocated to a Participant to which
that Common Member was allocated within the previous two years. The
assignment of DOSRs pursuant to the Allocation is attached as Exhibit B
hereto, and will be updated from time to time to reflect Common Member
Allocation changes.
    (e) The Group may reallocate Common Members from time-to-time, as
it deems appropriate.
    (f) Whenever a Common Member ceases to be a member of its DOSR, the
DOSR shall promptly inform the Group, which shall review the matter and
allocate the Common Member to another Participant.
    (g) A DOSR may request that a Common Member to which it is assigned
be reallocated to another Participant by giving 30 days written notice
to the Chair of the OSG. The Group, in its discretion, may approve such
request and reallocate the Common Member to another Participant.
    (h) All determinations by the Group with respect to Allocation
shall be made by the affirmative vote of a majority of the Participants
that, at the time of such determination, share the applicable Common
Member being allocated; a Participant shall not be entitled to vote on
any Allocation relating to a Common Member unless the

Common Member is a member of such Participant.
VIII. Each DOSR shall conduct routine surveillance reviews to detect
violations of the applicable Common Rules by each Common Member
allocated to it with a frequency (daily, weekly, monthly, quarterly,
semi-annually or annually as noted on Exhibit A) not less than that
determined by the Group. The other Participants agree that, upon
request, relevant information in their respective files relative to a
Common Member will be made available to the applicable DOSR. In
addition, each Participant shall provide, to the extent not otherwise
already provided, information pertaining to its surveillance program
that would be relevant to FINRA or the Participant(s) conducting
routine examinations for the delta hedging exemption.
 At each meeting of the OSG, each Participant shall be prepared to
report on the status of its surveillance program for the previous
quarter and any period prior thereto that has not previously been
reported to the Group. In the event a DOSR believes it will not be able
to complete its Regulatory Responsibility for its allocated Common
Members, it will so advise the Group in writing promptly. The Group
will undertake to remedy this situation by reallocating the subject
Common Members among the remaining Participants. In such instance, the
Group may determine to impose a regulatory fee for services provided to
the DOSR that was unable to fulfill its Regulatory Responsibility.
IX. Each Participant will, upon request, promptly furnish a copy of the
report or applicable portions thereof relating to any investigation
made pursuant to the provisions of this Agreement to each other
Participant of which the Common Member under investigation is a member.
X. Each Participant will routinely populate a common database, to be
accessed by the Group relating to any formal regulatory action taken
during the course of a Proceeding with respect to the Common Rules
concerning a Common Member.
XI. Any written notice required or permitted to be given under this
Agreement shall be deemed given if sent by certified mail, return
receipt requested, to any Participant to the attention of that
Participant's Representative, to the Participant's principal place of
business or by e-mail at such address as the Representative shall have
filed in writing with the Chair.
XII. The costs incurred by each Participant in discharging its
Regulatory Responsibility under this Agreement are not reimbursable.
However, any of the Participants may agree that one or more will
compensate the other(s) for costs incurred.
XIII. The Participants shall notify the Common Members of this
Agreement by means of a uniform joint notice approved by the Group.
Each Participant will notify the Common Members that have been
allocated to it that such Participant will serve as DOSR for that
Common Member.
XIV. This Agreement shall be effective upon approval of the Commission.
This Agreement may only be amended in writing duly approved by each
Participant. All amendments to this Agreement, excluding changes to
Exhibits A, B and C, must be filed with and approved by the Commission.
XV. Any Participant may manifest its intention to cancel its
participation in this Agreement at any time upon providing written
notice to (i) the Group six months prior to the date of such
cancellation, or such other period as all the Participants may agree,
and (ii) the Commission. Upon receipt of the notice the Group shall
allocate, in accordance with the provisions of this Agreement, those
Common Members for which the canceling Participant was the DOSR. The
canceling Participant shall retain its Regulatory Responsibility and
other rights, privileges and duties pursuant to this Agreement until
the Group has completed the reallocation as described above, and the
Commission has approved the cancellation.
XVI. The cancellation of its participation in this Agreement by any
Participant shall not terminate this Agreement as to the remaining
Participants. This Agreement will only terminate following notice to
the Commission, in writing, by the then Participants that they intend
to terminate the Agreement and the expiration of the applicable notice
period. Such notice shall be given at least six months prior to the
intended date of termination, or such other period as all the
Participants may agree. Such termination will become effective upon
Commission approval.
XVII. Participation in the Group shall be strictly limited to the
Participants and no other party shall have any right to attend or
otherwise participate in the Group except with the unanimous approval
of all Participants. Notwithstanding the foregoing, any national
securities exchange registered with the SEC under Section 6(a) of the
Act or any national securities association registered with the SEC
under section 15A of the Act may become a Participant to this Agreement
provided that: (i) such applicant has adopted rules substantially
similar to the Common Rules, and received approval thereof from the
SEC; (ii) such applicant has provided each Participant with a signed
statement whereby the applicant agrees to be bound by the terms of this
Agreement to the same effect as though it had originally signed this
Agreement and (iii) an amended agreement reflecting the addition of
such applicant as a Participant has been filed with and approved by the
Commission.
XVIII. This Agreement is wholly separate from the multiparty Agreement
made pursuant to Rule 17d-2 by and among the NYSE MKT LLC, the Bats BZX
Exchange, Inc., BOX Options Exchange, LLC, the C2 Options Exchange,
Inc., the Chicago Board Options Exchange, Inc., the International
Securities Exchange, LLC, Financial Industry Regulatory Authority, The
NASDAQ Stock Market LLC, the New York Stock Exchange, LLC, the NYSE
Arca, Inc., the NASDAQ BX, Inc., the NASDAQ PHLX LLC, Miami
International Securities Exchange, LLC, ISE Gemini, LLC, ISE Mercury,
LLC, [and] Bats EDGX Exchange, Inc., and MIAX PEARL LLC involving the
allocation of regulatory responsibilities with respect to common
members for compliance with common rules relating to the conduct by
broker-dealers of accounts for listed options or index warrants entered
into on [February 16, 2016,] January 23, 2017, and as may be amended
from time to time.

LIMITATION OF LIABILITY

    No Participant nor the Group nor any of their respective directors,
governors, officers, employees or representatives shall be liable to
any other Participant in this Agreement for any liability, loss or
damage resulting from or claimed to have resulted from any delays,
inaccuracies, errors or omissions with respect to the provision of
Regulatory

Responsibility as provided hereby or for the failure to provide any
such Regulatory Responsibility, except with respect to such liability,
loss or damages as shall have been suffered by one or more of the
Participants and caused by the willful misconduct of one or more of the
other Participants or its respective directors, governors, officers,
employees or representatives. No warranties, express or implied, are
made by the Participants, individually or as a group, or by the OSG
with respect to any Regulatory Responsibility to be performed
hereunder.

RELIEF FROM RESPONSIBILITY

    Pursuant to Section 17(d)(1)(A) of the Exchange Act and Rule 17d-2,
the Participants join in requesting the Commission, upon its approval
of this Agreement or any part thereof, to relieve the Participants that
are party to this Agreement and are not the DOSR as to a Common Member
of any and all Regulatory Responsibility with respect to the matters
allocated to the DOSR.
* * * * *

EXHIBIT A

Options Surveillance Group 17d-2 Agreement

COMMON RULES as of January 8, 2019 [January 23, 2017]

              Violation I: Expiring Exercise Declarations (EED)--For Listed and FLEX Equity Options
----------------------------------------------------------------------------------------------------------------
                SRO                    Description of Rule     Exchange Rule No.        Frequency of  Review
----------------------------------------------------------------------------------------------------------------
[Bats]BZX..........................  Exercise of Options     Rule 23.1............  At Expiration.
                                      Contracts.
BOX................................  Exercise of Options     Rule 9000............  At Expiration.
                                      Contracts.
C2.................................  Exercise of Options     Rule 11.1............  At Expiration.
                                      Contracts.
[CBOE]Cboe.........................  Exercise of Options     Rule 11.1............  At Expiration.
                                      Contracts.
EDGX...............................  Exercise of Options     Rule 23.1............  At Expiration.
                                      Contracts.
FINRA..............................  Exercise of Options     Rule 2360(b)(23).....  At Expiration.
                                      Contracts.
ISE................................  Exercise of Options     Rule 1100............  At Expiration.
                                      Contracts.
[ISE Gemini] GEMX..................  Exercise of Options     Rule 1100............  At Expiration.
                                      Contracts.
[ISE Mercury] MRX..................  Exercise of Options     Rule 1100............  At Expiration.
                                      Contracts.
MIAX...............................  Exercise of Options     Rule 700.............  At Expiration.
                                      Contracts.
MIAX PEARL.........................  Exercise of Options     Rule 700.............  At Expiration.
                                      Contracts.
MIAX Emerald.......................  Exercise of Options     Rule 700.............  At Expiration.
                                      Contracts.
Nasdaq.............................  Exercise of Options     [Ch. VIII, Sect.1]     At Expiration.
                                      Contracts.              Options 5, Section
                                                              100.
Nasdaq BX..........................  Exercise of Options     [Ch. VII, Sect.1]      At Expiration.
                                      Contracts.              Options 5, Section
                                                              100.
Nasdaq PHLX........................  Exercise of Equity      Rule 1042............  At Expiration.
                                      Options Contracts.
NYSE Arca..........................  Exercise of Options     Rule 6.24-O..........  At Expiration.
                                      Contracts.
NYSE [MKT]American.................  Exercise of Options     Rule 980.............  At Expiration.
                                      Contracts.
----------------------------------------------------------------------------------------------------------------

                          Violation II: Position Limits (PL)--For Listed Equity Options
----------------------------------------------------------------------------------------------------------------
                                       Description of Rule
                SRO                    (for review as they     Exchange Rule No.         Frequency of review
                                          apply to PL)
----------------------------------------------------------------------------------------------------------------
[Bats]BZX..........................  Position Limits.......  Rule 18.7............  Daily.
                                     Exemptions from         Rule 18.8............  As Needed.
                                      Position.
                                     Liquidation Positions.  Rule 18.11...........  As Needed.
BOX................................  Position Limits.......  Rule 3120............  Daily.
                                     Exemptions from         Rule 3130............  As Needed.
                                      Position Limits.
                                     Liquidation Positions.  Rule 3160............  As Needed.
C2.................................  Position Limits.......  Rule 4.11............  Daily.
                                     Liquidation of          Rule 4.14............  As Needed.
                                      Positions.
[CBOE]Cboe.........................  Position Limits.......  Rule 4.11............  Daily.
                                     Liquidation of          Rule 4.14............  As Needed.
                                      Positions.
EDGX...............................  Position Limits.......  Rule 18.7............  Daily.
                                     Exemptions from         Rule 18.8............  As Needed.
                                      Position.
                                     Liquidation Positions.  Rule 18.11...........  As Needed.
FINRA..............................  Position Limits.......  Rule 2860(b)(3)......  Daily.
                                     Liquidation of          Rule 2860(b)(6)......  As Needed.
                                      Positions and
                                      Restrictions on
                                      Access.
ISE................................  Position Limits.......  Rule 412.............  Daily.
                                     Exemptions from         Rule 413.............  As Needed.
                                      Position Limits.
                                     Liquidati[ng]on         Rule 416.............  As Needed.
                                      Positions.
[ISE Gemini] GEMX..................  Position Limits.......  Rule 412.............  Daily.
                                     Exemptions from         Rule 413.............  As Needed.
                                      Position Limits.
                                     Liquidati[ng]on         Rule 416.............  As Needed.
                                      Positions.
[ISE Mercury ] MRX.................  Position Limits.......  Rule 412.............  Daily.
                                     Exemptions from         Rule 413.............  As Needed.
                                      Position Limits.
                                     Liquidati[ng]on         Rule 416.............  As Needed.
                                      Positions.
MIAX...............................  Position Limits.......  Rule 307.............  Daily.
                                     Exemptions from         Rule 308.............  As Needed.
                                      Position Limits.
                                     Liquidating Positions.  Rule 311.............  As Needed.
MIAX Pearl.........................  Position Limits.......  Rule 307.............  Daily.
                                     Exemptions from         Rule 308.............  As Needed.
                                      Position Limits.
                                     Liquidating Positions.  Rule 311.............  As Needed.
MIAX Emerald.......................  Position Limits.......  Rule 307.............  Daily.

                                     Exemptions from         Rule 308.............  As Needed.
                                      Position Limits.
                                     Liquidating Positions.  Rule 311.............  As Needed.
Nasdaq.............................  Position Limits.......  Ch. III, Sect. 7.....  Daily.
                                     Exemptions from         Ch. III, Sect. 8.....  As Needed.
                                      Position Limits.
                                     Liquidati[ng]on         Ch. III, Sect. 11....  As Needed.
                                      Positions.
Nasdaq BX..........................  Position Limits.......  Ch. III, Sect. 7.....  Daily.
                                     Exemptions from         Ch. III, Sect. 8.....  As Needed.
                                      Position Limits.
                                     Liquidati[ng]on         Ch. III, Sect. 11....  As Needed.
                                      Positions.
Nasdaq PHLX........................  Position Limits.......  Rule 1001............  Daily.
                                     Liquidation of          Rule 1004............  As Needed.
                                      Position.
NYSE Arca..........................  Position Limits.......  Rule 6.8-O...........  Daily.
                                     Liquidation of          Rule 6.7-O...........  As Needed.
                                      Position.
NYSE [MKT]American.................  Position Limits.......  Rule 904.............  Daily.
                                     Liquidating Positions.  Rule 907.............  As Needed.
----------------------------------------------------------------------------------------------------------------

     Violation III: Large Options Position Report (LOPR)--For Listed and FLEX Equity Options and ETF Options
----------------------------------------------------------------------------------------------------------------
                                       Description of Rule
                SRO                    (for review as they     Exchange Rule No.        Frequency of  review
                                         apply to LOPR)
----------------------------------------------------------------------------------------------------------------
[Bats]BZX..........................  Reports Related to      Rule 18.10...........  Yearly.
                                      Position Limits.
BOX................................  Reports Related to      Rule 3150............  Yearly.
                                      Position Limits.
C2.................................  Reports Related to      Rule 4.13(a).........  Yearly.
                                      Position Limits.
                                     Reports Related to      Rule 4.13(b).........  Yearly.
                                      Position Limits.
                                     Reports Related to      Rule 4.13(d).........  Yearly.
                                      Position Limits.
[CBOE]Cboe.........................  Reports Related to      Rule 4.13(a).........  Yearly.
                                      Position Limits.
                                     Reports Related to      Rule 4.13(b).........  Yearly.
                                      Position Limits.
                                     Reports Related to      Rule 4.13(d).........  Yearly.
                                      Position Limits.
EDGX...............................  Reports Related to      Rule 18.10...........  Yearly.
                                      Position Limits.
FINRA..............................  Options...............  Rule 2360(b)(5)......  Yearly.
ISE................................  Reports Related to      Rule 415.............  Yearly.
                                      Position Limits.
[ISE Gemini] GEMX..................  Reports Related to      Rule 415.............  Yearly.
                                      Position Limits.
[ISE Mercury] MRX..................  Reports Related to      Rule 415.............  Yearly.
                                      Position Limits.
MIAX...............................  Reports Related to      Rule 310.............  Yearly.
                                      Position Limits.
MIAX PEARL.........................  Reports Related to      Rule 310.............  Yearly.
                                      Position Limits.
MIAX Emerald.......................  Reports Related to      Rule 310.............  Yearly.
                                      Position Limits.
Nasdaq.............................  Reports Related to      Ch. III, Sect. 10....  Yearly.
                                      Position Limits.
Nasdaq BX..........................  Reports Related to      Ch. III, Sect. 10....  Yearly.
                                      Position Limits.
Nasdaq PHLX........................  Reporting of Options    Rule 1003............  Yearly.
                                      Positions.
NYSE Arca..........................  Reporting of Options    Rule 6.6-O...........  Yearly.
                                      Positions.
NYSE [MKT]American.................  Reporting of Options    Rule 906.............  Yearly.
                                      Positions.
----------------------------------------------------------------------------------------------------------------

                      Violation IV: Options Clearing Corporation (OCC)--Adjustment Process
----------------------------------------------------------------------------------------------------------------
                                       Description of Rule
                                      (as they apply to OCC
                SRO                    Adjustments/By-laws     Exchange Rule No.        Frequency of  review
                                      Article V, Section 1
                                        .01(a) and .02))
----------------------------------------------------------------------------------------------------------------
[Bats]BZX..........................  Adherence to Law......  Rule 18.1............  Yearly.
BOX................................  Adherence to Law......  Rule 3010............  Yearly.
C2.................................  Adherence to Law......  Rule 4.2.............  Yearly.
[CBOE]Cboe.........................  Adherence to Law......  Rule 4.2.............  Yearly.
EDGX...............................  Adherence to Law......  Rule 18.1............  Yearly.
FINRA..............................  Violation of By-Laws    Rule 2360(b)(21).....  Yearly.
                                      and Rules of FINRA or
                                      The OCC.
ISE................................  Adherence to Law......  Rule 401.............  Yearly.
[ISE Gemini] GEMX..................  Adherence to Law......  Rule 401.............  Yearly.
[ISE Mercury] MRX..................  Adherence to Law......  Rule 401.............  Yearly.
MIAX...............................  Adherence to Law......  Rule 300.............  Yearly.
MIAX PEARL.........................  Adherence to Law......  Rule 300.............  Yearly.
MIAX Emerald.......................  Adherence to Law......  Rule 300.............  Yearly.
Nasdaq.............................  Adherence to Law......  Ch. III, Sect. 1.....  Yearly.
Nasdaq BX..........................  Adherence to Law......  Ch. III, Sect. 1.....  Yearly.
Nasdaq PHLX........................  Violation of By-Laws    Rule 1050............  Yearly.
                                      And Rules Of OCC.
NYSE Arca..........................  Adherence to Law and    Rule 11.1............  Yearly.
                                      Good Business
                                      Practice.
NYSE [MKT]American.................  Business Conduct......  Rule 16..............  Yearly.
----------------------------------------------------------------------------------------------------------------

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing. 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 4-551 on the subject line.

Paper Comments

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

All submissions should refer to File Number 4-551. 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 plan that are filed with the
Commission, and all written communications relating to the proposed
plan 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 plan also will be available for inspection and
copying at the principal offices of NYSE American, BZX, C2, Cboe, EDGX,
Gemini, ISE, Mercury, FINRA, Arca, Nasdaq, BOX, BX, PHLX, MIAX, MIAX
PEARL, and MIAX Emerald. 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 4-551 and should
be submitted on or before March 12, 2019.

V. Discussion

    The Commission continues to believe that the Plan, as proposed to
be amended, is an achievement in cooperation among the SRO
participants. The Plan, as amended, will reduce unnecessary regulatory
duplication by allocating to the designated SRO the responsibility for
certain options-related market surveillance matters that would
otherwise be performed by multiple SROs. The Plan promotes efficiency
by reducing costs to firms that are members of more than one of the SRO
participants. In addition, because the SRO participants coordinate
their regulatory functions in accordance with the Plan, the Plan
promotes, and will continue to promote, investor protection. Under
paragraph (c) of Rule 17d-2, the Commission may, after appropriate
notice and comment, declare a plan, or any part of a plan, effective.
In this instance, the Commission believes that appropriate notice and
comment can take place after the proposed amendment is effective. The
primary purpose of the amendment is to add MIAX Emerald as a
Participant and to reflect the name changes of certain Participating
Organizations. By declaring it effective today, the amended Plan can
become effective and be implemented without undue delay.\21\ In
addition, the Commission notes that the prior version of this Plan was
published for comment, and the Commission did not receive any comments
thereon.\22\ Finally, the Commission does not believe that the
amendment to the Plan raises any new regulatory issues that the
Commission has not previously considered.
---------------------------------------------------------------------------

    \21\ On December 20, 2018, the Commission approved MIAX
Emerald's application for registration as a national securities
exchange. See Securities Exchange Act Release No. 84891, 83 FR 67421
(December 28, 2018).
    \22\ See Securities Exchange Act Release No. 79930 (February 2,
2017), 82 FR 9807 (February 8, 2017) (File No. 4-551).
---------------------------------------------------------------------------

VI. Conclusion

    This order gives effect to the amended Plan submitted to the
Commission that is contained in File No. 4-551.
    It is therefore ordered, pursuant to Section 17(d) of the Act, that
the Plan, as amended by and between NYSE American, BZX, C2, Cboe, EDGX,
Gemini, ISE, Mercury, FINRA, Arca, Nasdaq, BOX, BX, PHLX, MIAX, MIAX
PEARL, and MIAX Emerald filed with the Commission pursuant to Rule 17d-
2 on January 8, 2019 is hereby approved and declared effective.
    It is further ordered that those SRO participants that are not the
DOSR as to a particular common member are relieved of those regulatory
responsibilities allocated to the common member's DOSR under the
amended Plan to the extent of such allocation.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\23\
---------------------------------------------------------------------------

    \23\ 17 CFR 200.30-3(a)(34).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-02595 Filed 2-15-19; 8:45 am]
 BILLING CODE 8011-01-P