[Federal Register Volume 80, Number 243 (Friday, December 18, 2015)]
[Notices]
[Pages 79117-79122]
[FR Doc No: 2015-31788]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-76638; File No. SR-NYSEMKT-2015-106]

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of
Proposed Rule Change Amending the Seventh Amended and Restated
Operating Agreement of the Exchange To Establish a Committee for Review
as a Sub-Committee of the ROC and Make Conforming Changes to Rules and
the NYSE MKT Company Guide

December 14, 2015.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on December 11, 2015, NYSE MKT LLC (the ``Exchange'' or
``NYSE MKT'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes (1) amending the Seventh Amended and Restated
Operating Agreement of the Exchange (``Operating Agreement'') to
establish a Committee for Review as a sub-committee of the ROC and make
conforming changes to Rules 475, 476, 476A, 20--Equities, 308--Equities
and Sections 1201, 1204, 1205, 1206, 1211, and 1212T of the NYSE MKT
Company Guide (the ``Company Guide''); (2) deleting references to
``NYSE Regulation, Inc.'' and ``NYSE Regulation'' in Section 4.05 of
the Operating Agreement and Rules 0, 1--Equities, 22--Equities, 36--
Equities, 48--Equities, 49--Equities, 54--Equities, 70--Equities, 103--
Equities, 103A--Equities, 103B--Equities, 422--Equities, 497--Equities,
and 902NY; (3) replacing references to the Chief Executive Officer of
NYSE Regulation, Inc. in Rules 48--Equities, 49--Equities and 86--
Equities with references to the Chief Regulatory Officer of the
Exchange; and (4) making certain technical and non-substantive changes.
The text of the proposed rule change is available on the Exchange's Web
site at www.nyse.com, at the principal office of the Exchange, and at
the Commission's Public Reference Room.

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

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

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

1. Purpose
    The Exchange proposes to the following changes:
     Amending the Operating Agreement to establish a Committee
for Review (``CFR'') as a sub-committee of the ROC and make conforming
changes to Rules 475, 476, 476A, 20--Equities, 308--Equities and
Sections 1201, 1204, 1205, 1206, 1211, and 1212T of the Company Guide;
     deleting references to ``NYSE Regulation, Inc.'' and
``NYSE Regulation'' \4\ in Section 4.05 of the Operating Agreement and
Rules 0, 1--Equities, 22--Equities, 36--Equities, 48--Equities, 49--
Equities, 54--Equities, 70--Equities, 103--Equities, 103A--Equities,
103B--Equities, 422--Equities, 497--Equities, and 902NY;
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    \4\ NYSE Regulation, Inc. (``NYSE Regulation''), a not-for-
profit subsidiary of the Exchange's affiliate New York Stock
Exchange LLC (``NYSE''), performs regulatory functions for the
Exchange pursuant to an intercompany Regulatory Services Agreement
(``RSA'') that gives the Exchange the contractual right to review
NYSE Regulation's performance. See Securities Exchange Act Release
No. 75991 (September 28, 2015), 80 FR 59837 (October 2, 2015) (SR-
NYSE-2015-27) (``NYSE Approval Order''). As noted below, these
proposed changes would be appropriate once the RSA terminates
because NYSE Regulation would cease providing regulatory services to
the Exchange, which would re-integrate its regulatory functions.
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     replacing references to the Chief Executive Officer of
NYSE Regulation, Inc. in Rules 48--Equities, 49--Equities and 86--
Equities with references to the Chief Regulatory Officer of the
Exchange; and
     making certain technical and non-substantive changes.
    The Exchange proposes that the above rule changes would be
operative simultaneously with the termination of

the RSA. The Exchange would effect the changes described herein no
later than June 30, 2016, on a date determined by its Board.
Amend Operating Agreement To Establish CFR as a Sub-Committee of the
ROC
    The Exchange proposes to establish a CFR as a sub-committee of the
ROC by adding a new section (h)(iii) to Section 2.03 of the Operating
Agreement and making conforming changes to Rules 475, 476, 476A, 20--
Equities, 308--Equities and Sections 1201, 1204, 1205, 1206, 1211, and
1212T of the Company Guide.
    The proposed CFR would be the successor to the current CFR,\5\
which is a committee of the NYSE Regulation board of directors that
reviews appeals of Exchange disciplinary actions, and the Committee on
Securities, a committee of the Exchange board of directors that reviews
determinations to limit or prohibit the continued listing of an
issuer's securities on the Exchange. By establishing a new CFR, the
Exchange proposes to make its appellate process more consistent with
that of its affiliate NYSE, whose proposed rule change to establish a
CFR as a subcommittee of its ROC has been approved by the SEC.\6\ The
proposed CFR would incorporate the salient requirements of the current
CFR, which was a model for the current proposal and for the CFR adopted
by the Exchange's affiliate,\7\ and the Committee on Securities.
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    \5\ The current CFR was created in connection with the merger of
the New York Stock Exchange, Inc. (now NYSE), with Archipelago
Holdings, Inc. in 2006. See Securities Exchange Act Release No.
53382 (February 27, 2006), 71 FR 11251, 11259 (March 6, 2006) (SR-
NYSE-2005-77). Proposed Section 2.03(h)(iii) of the Operating
Agreement would incorporate the salient requirements of the current
CFR as set forth in Article III, Section 5 of the NYSE Regulation
Bylaws. See id. & 11266.
    \6\ See NYSE Approval Order, 80 FR at 59840.
    \7\ The salient requirements of the NYSE Regulation CFR are set
forth in Article III, Section 5 of the NYSE Regulation Bylaws. See
Securities Exchange Act Release No. 53382, 71 FR 11251, 11259 &
11266 (February 27, 2006) (SR-NYSE-2005-77). See NYSE Approval
Order, 80 FR at 59840.
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    Section 2.03(h)(iii) of the Operating Agreement would provide that
the Board shall annually appoint a CFR as a sub-committee of the ROC.
As is currently the case, proposed Section 2.03(h)(iii) would provide
that the CFR would be comprised of both Exchange directors that satisfy
the independence requirements \8\ as well as persons who are not
directors. Like the current CFR, the Exchange also proposes that a
majority of the members of the CFR voting on a matter subject to a vote
of the CFR must be directors of the Exchange.
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    \8\ The Exchange's independence requirements are set forth in
the Independence Policy of the Board of Directors of the Exchange
available at https://www.nyse.com/publicdocs/nyse/regulation/nyse-mkt/nyse_mkt_llc_independence_policy.pdf. Because the majority of
the Exchange Board must be independent, as a functional matter if
the Exchange has a five person Board, at least three of the five
directors would qualify for CFR membership. See Operating Agreement
Article II, Section 2.03(a).
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    Further, proposed Section 2.03(h)(iii) would provide that among the
persons on the CFR who are not directors would be included
representatives of member organizations that engage in a business
involving substantial direct contact with securities customers
(commonly referred to as ``upstairs firms''), Designated Market Makers
(``DMM'') or specialists, and floor brokers.\9\ Once again, this is the
way the current CFR is structured.\10\
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    \9\ Market makers on the Exchange's equity market are called
DMMs and on NYSE Amex Options are called specialists. See Rule 2--
Equities (i) & (j) (defining DMM); Rule 927NY (defining specialist).
The three proposed categories of CFR members mirror categories (1)
through (3) in Article III, Section 5 of the NYSE Regulation Bylaws
for the composition of the NYSE MKT CFR.
    The Exchange does not propose to carry over the requirement that
the CFR also have an individual representing the fourth category
specified in Article III, Section 5 of the NYSE Regulation Bylaws,
which is an individual associated with an NYSE MKT member
organization that spends a majority of their time on the trading
Floor and has as a substantial part of their business the execution
of transactions on the trading Floor for their own account or the
account of their member organization but is not registered as a
specialist. This category describes a class of proprietary traders
known as Registered Equity Market Makers (``REMM'') on the former
American Stock Exchange LLC, a predecessor of the Exchange, and as
Registered Competitive Market Makers (``RCMM'') on the NYSE.
    REMMs, like RCMMs, were floor traders who engaged in on-floor
proprietary trading, subject to certain requirements intended to
have these members effectively function like market makers, pursuant
to the exemption for market makers in Section 11(a)(1)(A) of the
Exchange Act. See 17 CFR 240.11a1-5; Division of Market Regulation,
United States Securities and Exchange Commission, Market 2000: An
Examination of Current Equity Market Developments (January 1994)
(``Market 2000''), at A V-7, available at https://www.sec.gov/divisions/marketreg/market2000.pdf. The rules relating to this
category of proprietary floor trader were not adopted when the
American Stock Exchange LLC was acquired by the NYSE. See Securities
Exchange Act Release No. 58705 (October 1, 2008), 73 FR 58995, 58996
(October 8, 2008) (SR-Amex-2008-63). The NYSE eliminated RCMMs
shortly thereafter. See Securities Exchange Act Release No. 60356
(July 21, 2009), 74 FR 37281 (July 28, 2009) (SR-NYSE-2009-08). In
addition, NYSE MKT Rule 114, which governed REMMs, was deleted as
obsolete in 2012. See Securities Exchange Act Release No. 68306
(November 28, 2012), 77 FR 71846 (December 4, 2012) (SR-NYSEMKT-
2012-68). There are thus no Exchange members or member organizations
that fall under the fourth category specified in Article III,
Section 5 of the NYSE Regulation Bylaws. The only three active
membership categories are upstairs firms, DMMs or specialists, and
Floor brokers (applicable to both equities and options markets), and
each would be represented on the proposed CFR.
    \10\ The Exchange notes that Section (h)(i) of the Operating
Agreement governing the Director Candidate Recommendation Committee
(``DCRC'') utilizes the term ``specialist'' for both markets. See
note 9, supra. The Exchange will be seeking approval from its board
of directors to amend Section (h)(i) of the Operating Agreement to
refer to ``DMM or specialist,'' which would conform it to proposed
Section 2.03(h)(iii).
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    Like the current CFR, proposed Section 2.03(h)(iii) would provide
that the CFR would be responsible for reviewing the disciplinary
decisions on behalf of the Board.\11\ Like the current Committee on
Securities, the proposed CFR would review determinations to limit or
prohibit the continued listing of an issuer's securities on the
Exchange.\12\
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    \11\ Currently, these powers are set forth in the charter of the
NYSE Regulation CFR. The charter for the NYSE Regulation CFR also
states that the CFR may provide general advice to the NYSE
Regulation board of directors in connection with disciplinary,
listing and other regulatory matters. The Exchange proposes to state
that the CFR can provide such general advice to the Exchange board
and to delineate the appellate and advisory powers of the proposed
CFR in Section 2.03(h)(iii) of the Operating Agreement. Further, as
discussed below, the Exchange proposes to conform Rules 475, 476,
476A, 20--Equities, 308--Equities and Sections 1201, 1204, 1205,
1206, 1211, and 1212T of the Company Guide governing review of
disciplinary and delisting appeals to the proposal.
    \12\ These powers are currently set forth in the charter of the
Committee on Securities and reflected in Section 1205 of the Company
Guide.
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    In connection with creation of the proposed CFR, the Exchange also
proposes to delete Rule 20, which provides that the Exchange establish
a Market Performance Committee and that NYSE Regulation establish a
Regulatory Advisory Committee to act in an advisory capacity regarding
trading rules and disciplinary matters and regulatory rules other than
trading rules, respectively. Historically, these advisory committees
have been composed of persons associated with member organizations and
representatives of both those member organizations doing business on
the Exchange's trading floor and those who do not do business on the
Floor.
    The Exchange notes that the same categories of members would be
represented on the proposed CFR, whose mandate as set forth in proposed
Section 2.03(h)(iii) would include acting in an advisory capacity to
the Board with respect to disciplinary matters, the listing and
delisting of securities, regulatory programs, rulemaking and regulatory
rules, including trading rules. The proposed CFR would therefore serve
in the same advisory capacity as the Market Performance and Regulatory
Advisory Committees. The Exchange accordingly believes that retaining
the Market Performance Committee or

Regulatory Advisory Committee would be redundant and unnecessary.
Moreover, the Exchange believes that member participation on the
proposed CFR would be sufficient to provide for the fair representation
of members in the administration of the affairs of the Exchange,
including rulemaking and the disciplinary process, consistent with
Section 6(b)(3) of the Exchange Act.\13\
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    \13\ See 15 U.S.C. 78f(b)(3).
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    Finally, the Exchange proposes to make conforming amendments to
475, 476, 476A and 308--Equities and Sections 1201, 1204, 1205, 1206,
1211, and 1212T of the Company Guide to replace references to the
current NYSE Regulation CFR \14\ and the current Committee on
Securities, with references to the ``Committee for Review.'' Rule
476(f) would also be amended to provide that the CFR may, but is not
required to, appoint an appeals panel to conduct a review thereunder
and make a recommendation to the CFR regarding the disposition of the
appeal. As proposed, appeals panels would have no other role in the
appellate process. An appeals panel appointed by the CFR would consist
of at least three and no more than five individuals. This is the same
composition of appeals panels constituted under the rules of the
Exchange's affiliate NYSE Arca, Inc.\15\ An appeals panel appointed by
the CFR for equity matters would be composed of at least one director
and one member or individual associated with an equities member
organization. An appeals panel appointed by the CFR for options matters
would be composed of at least one director and one member or individual
associated with an options member organization. The Exchange also
proposes to describe the CFR as a subcommittee of the Exchange's ROC in
Sections 1205 and 1212T(g) of the Company Guide.
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    \14\ The current CFR is referred to in the Rules as the
``committee of NYSE Regulation which is authorized to review
disciplinary decisions on behalf of the Exchange Board of Directors
and advise the Exchange Board of Directors thereon.'' The term CFR
is used in NYSE Regulation's bylaws. See note 5, supra.
    \15\ See NYSE Arca, Inc. Rule 3.3(a)(1)(B).
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    The Exchange believes that the proposed rule change is consistent
with the approach approved for the Exchange's affiliate, NYSE.\16\ The
proposed rule change is also consistent with the fair representation
requirement of Section 6(b)(3) of the Exchange Act,\17\ which is
intended to give members a voice in the selection of an exchange's
directors and the administration of its affairs. In particular, as is
the case with the current CFR, the proposed CFR would be composed of
persons associated with Exchange members and selected after appropriate
consultation with those members. The proposal would therefore continue
to provide for the fair representation of members in the
``administration of the affairs of the exchange'', including the
disciplinary process, consistent with Section 6(b)(3) of the Exchange
Act.\18\
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    \16\ See NYSE Approval Order, 80 FR at 59840.
    \17\ See 15 U.S.C. 78f(b)(3).
    \18\ See Securities Exchange Act Release No. 53382, 71 FR 11251
(February 27, 2006) (SR-NYSE-2005-77).
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Deletion of References to NYSE Regulation, Inc.
    In connection with the Exchange's termination of the intercompany
RSA pursuant to which NYSE Regulation provides regulatory services to
the Exchange,\19\ the Exchange proposes the following changes:
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    \19\ See note 4, supra.
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Operating Agreement
     The Exchange proposes to amend Section 4.05 of the
Operating Agreement to remove references to ``NYSE Regulation, Inc.''
and replace one reference with ``Exchange regulatory staff.'' The
Exchange also proposes to replace references to NYSE Regulation
``assets'' to reflect the proposed reintegration of the regulatory
function. The crux of the provision would continue to require the
Exchange to ensure that any fees, fines or penalties collected by
Exchange regulatory staff would not be used for commercial purposes or
distributed to NYSE Group, Inc. (which is the ``Member'' for purposes
of the Operating Agreement) or any other entity. The proposed revision
does not in any way alter previous commitments with respect to the use
of fine income. \20\
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    \20\ See Securities Exchange Act Release No. 58673 (September
29, 2008), 73 FR 57707, 57717 (October 3, 2008) (SR-NYSE-2008-60 and
SR-Amex-2008-62) (approving merger whereby the Exchange's
predecessor, the American Stock Exchange LLC, a subsidiary of The
Amex Membership Corporation, became a subsidiary of NYSE Euronext).
In particular, the Exchange reiterates its previous commitment,
reflected in Section 4.05 of the Operating Agreement, that it would
not use any regulatory fees, fines or penalties collected by NYSE
Regulation for commercial purposes. See id. The Exchange also
undertakes, consistent with the commitment made by its affiliate
NYSE and as reflected by the proposed language to Section 4.05 of
the Operating Agreement, not to distribute such assets, fees, fines
or penalties to the member or any other entity.
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General Rules
     The Exchange proposes to amend Rule 0 (Definitions of
Terms), which describes the regulatory services agreement between the
NYSE and FINRA, to remove references to ``NYSE Regulation, Inc., NYSE
Regulation staff or departments'', retaining the existing reference in
Rule 0 to Exchange staff, which reference would encompass the
Exchange's regulatory staff.
Office Rules
     The Exchange proposes to amend Rule 476A (Imposition of
Fines for Minor Violation(s) of Rules), which sets forth the Exchange's
Minor Rule Violation Plan, to replace the reference to ``NYSE
Regulation'' with ``Exchange regulatory staff'' in subpart (d)
identifying the parties that can contest a fine imposed under the Rule.
Equities Rules
     The Exchange proposes to amend Rule 1--Equities, which
defines the term the ``Exchange'', to replace references to ``officer
of NYSER'' and ``employee of NYSER'' with ``Exchange officer'' and
``Exchange employee'', respectively. The Exchange also proposes to
delete the definitions of NYSE Market, Inc.\21\ and NYSE Regulation as
well as the references to NYSE Regulation's market surveillance
division.
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    \21\ NYSE Market (DE) was formerly known as ``NYSE Market,
Inc.'' Accordingly, references to ``NYSE Market'' in the Exchange
Rules are references to NYSE Market (DE).
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     The Exchange proposes to amend Rule 22--Equities
(Disqualification Because of Personal Interest), which disqualifies
members of certain Exchange boards and committees from considering a
matter if there are certain types of indebtedness between the board or
committee member and a member organization's affiliate or other related
parties, to remove references to the ``NYSE Regulation'' board of
directors.
     The Exchange proposes to amend Supplementary Material .30
of Rule 36--Equities (Communications Between Exchange and Members'
Offices), which governs communications between the Exchange and member
offices and requires records to ``be maintained in the format
prescribed by NYSE Regulation'' to remove the reference to ``NYSE
Regulation'' and replace it with ``the Exchange.''
     The Exchange proposes to amend Supplementary Material .10
of Rule 46--Equities (Floor Officials--Appointment) to replace the
reference to ``employees of NYSE Regulation, Inc.'' with a reference to
``Exchange regulatory employees.''
     The Exchange proposes to amend Rule 48--Equities
(Exemptive Relief -- Extreme Market Volatility Condition), which sets
forth the procedures for invoking an extreme market volatility

condition, to replace the reference to ``officers of NYSE Market and
NYSE Regulation'' with ``Exchange regulatory and market operational
employees that are officers of the Exchange.''
     The Exchange proposes to amend Rule 49--Equities
(Emergency Powers), which addresses the Exchange's emergency powers, to
replace ``NYSE Regulation, Inc.'' with ``the Exchange'' in the
definition of ``qualified Exchange officer.'' The Exchange also
proposes to replace the outdated reference to ``NYSE Euronext'' with
``ICE.''
     The Exchange proposes to amend subpart (b) of Rule 54--
Equities (Dealings on Floor--Persons) to replace ``NYSE Regulation,
Inc. (``NYSER'')'' with ``Exchange regulatory staff.'' Rule 54(b)--
Equities permits approval of appropriately registered and supervised
booth staff of member organizations who are not ``members'' to process
orders sent to the booth in the same manner that a sales trader in an
``upstairs office'' is allowed to process orders.
     The Exchange proposes to amend the title and subparts (1)
& (7) of Supplementary Material .40 of Rule 70--Equities (Execution of
Floor Broker Interest), which provides that a member organization will
be permitted to operate a booth premise similar to the member
organization's ``upstairs'' office, to refer to ``Exchange regulatory
staff'' instead of ``NYSE Regulation, Inc. (``NYSER'')'' and ``NYSER.''
     The Exchange proposes to amend Rule 103--Equities
(Registration and Capital Requirements of DMMs and DMM Units), which
governs registration and capital requirements for DMMs, to refer to
``the Exchange'' instead of ``NYSE Regulation'' and ``Divisions of
Market Surveillance and Member Firm Regulation.''
     The Exchange proposes to amend Rule 103A--Equities (Member
Education), which governs the continuing education requirement for
members active on the Exchange trading Floor, to replace ``NYSE
Regulation, Inc.'' with ``the Exchange.''
     The Exchange proposes to amend Rule 103B--Equities
(Security Allocation and Reallocation), which governs the security
allocation and reallocation process, to replace ``staff of NYSE
Regulation'' with ``Exchange regulatory'' staff in Policy Note (G) and
to replace ``NYSE Regulation, Inc. (``NYSER'')'' and ``NYSER'' in
Supplementary Material .10 with ``Exchange regulatory staff'' and ``the
Exchange'', as appropriate.
     The Exchange proposes to amend Rule 422--Equities (Loans
of and to Directors, etc.), which prohibits unsecured loans between
members of the board of directors or any committee of ICE, ICE
Holdings, NYSE Holdings, the NYSE, NYSE Market, the Exchange and NYSE
Regulation or an officer or employee the foregoing without the prior
consent of the NYSE Board, to remove references to ``NYSE Regulation.''
     The Exchange proposes to amend Rule 497--Equities
(Additional Requirements for Listed Securities Issued by
Intercontinental Exchange, Inc. or its Affiliates), which imposes
certain pre-listing approvals and post-listing monitoring requirements
on Affiliated Securities (as defined therein) listed on the Exchange,
to remove the definition of NYSE Market in Rule 497(a)(4) and the
definition of NYSE Regulation in Rule 497(a)(5) and replace references
to each with ``Exchange regulatory staff'' or ``the Exchange.''
Trading of Options Contracts Rules
     The Exchange proposes to amend Rule 902NY, governing
admission and conduct on the Exchange options Trading Floor, to remove
the reference to an Officer of ``NYSE Regulation.''
Amendments to Rules 48--Equities, 49--Equities, and 86--Equities
    The Exchange also proposes to amend Rule 48--Equities (Exemptive
Relief -- Extreme Market Volatility Condition), Rule 49--Equities
(Emergency Powers) and Rule 86--Equities (NYSE Bonds) to replace
references to the Chief Executive Officer of NYSE Regulation with
references to the CRO of the Exchange.
    Rule 48--Equities currently provides that, for purposes of the
rule,\22\ a ``qualified Exchange officer'' means the NYSE Euronext
Chief Executive Officer,\23\ or his or her designee, or the Chief
Executive Officer of NYSE Regulation, Inc., or his or her designee.
Rule 49--Equities addresses the Exchange's emergency powers and defines
the term ``qualified Exchange officer'' as, inter alia, the ``NYSE
Regulation, Inc. Chief Executive Officer'' or his or her designee. Rule
86--Equities currently provides that Clearly Erroneous Execution panels
in connection with trades on NYSE MKT Bonds \24\ be comprised of the
Chief Executive Officer of NYSE Regulation or a designee and
representatives from two members or member organizations that are users
of NYSE Bonds.
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    \22\ Rule 48--Equities provides that the Exchange can invoke an
extreme market volatility condition at the open (or reopen of
trading following a market-wide halt of securities) during which
time the Exchange can suspend Rules 15--Equities and 123D(1)--
Equities regarding obtaining certain prior Floor Official approvals
and requirements for mandatory indications.
    \23\ The Exchange also proposes to replace this outdated
reference to ``NYSE Euronext'' with ``ICE.''
    \24\ NYSE MKT Bonds is the Exchange's electronic bond trading
platform. Rule 86--Equities prescribes what bonds are eligible to
trade on the NYSE Bonds platform and how bonds are traded on the
platform, including the receipt, execution and reporting of bond
transactions.
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    ``Chief Executive Officer'' of NYSE Regulation is used in these
four rules but CRO is used throughout the Exchange's rules to designate
the same position.\25\ In particular, CRO is used in Rule 128--Equities
(Clearly Erroneous Executions for NYSE Equities) to designate the
individual who can participate or designate participants on a CEE
panel. CRO is also used to identify the participant in various panels
adjudicating Exchange decisions affecting member organizations,
including panels convoked under Rule 13--Equities (Orders and
Modifiers) for member organizations to dispute an Exchange decision to
disqualify it from submitting ``retail'' orders; Rule 107B--Equities
(Supplemental Liquidity Providers) for member organizations to dispute
a determination by the Supplemental Liquidity Provider Liaison
Committee to impose a non-regulatory penalty under the Rule; and Rule
107C--Equities (Retail Liquidity Program) for member organizations to
dispute an Exchange decision to disapprove or disqualify it from the
participating in the Retail Liquidity Program. Accordingly, the
Exchange proposes to replace references to ``Chief Executive Officer''
of NYSE Regulation in Rules 48--Equities, 49--Equities and 86--Equities
with either the term ``Chief Regulatory Officer'' or ``CRO'', as
appropriate.
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    \25\ See, e.g., Rules 1-Equities, 13--Equities, 107B--Equities,
107C--Equities, and 128--Equities.
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Technical and Conforming Changes
    The Exchange proposes the following technical and conforming
changes.
Equities Rules
    Rule 1--Equities, which defines the term the ``Exchange'', would be
amended to replace single quotation marks with double quotation marks
in the heading and the first paragraph.
    Rules 48--Equities, which sets forth the procedures for invoking an
extreme market volatility condition, would be amended to replace single
quotation marks with double quotation marks around the term ``qualified
Exchange officer.''
    Rule 103B--Equities, which governs the security allocation and
reallocation process, would be amended to replace single quotation
marks with double quotation marks around the term

``Allocation Prohibition'' and to remove the comma from ``New York
Stock Exchange, LLC.''
Company Guide
    Section 350 of the Company Guide provides that a company no longer
intending to issue all or some securities for listing should cancel the
listing authority by notifying the Exchange by letter, and provides a
sample letter for use by listed companies. The Exchange proposes to
update the sample letter by changing the addressee from ``Office of
General Counsel'' to ``Legal Department'', updating the address to ``11
Wall Street'', and the salutation from ``Dear Sirs'' to ``Ladies and
Gentlemen.'' Similarly, the Exchange proposes to make conforming
changes in Sections 1204, 1205, 1206 and 1212T to replace references to
the ``Office of General Counsel'' with ``Legal Department.''
    The Exchange also proposes to amend Section 1212T(c) to replace the
outdated reference to ``American Stock Exchange'' with ``Exchange.''
    Finally, the Exchange proposes to update the Listing Forms Appendix
to update the address from ``30 Broad'' to ``11 Wall'' Street.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Exchange Act \26\ in general, and with Section
6(b)(1) \27\ in particular, in that it enables the Exchange to be so
organized as to have the capacity to be able to carry out the purposes
of the Exchange Act and to comply, and to enforce compliance by its
exchange members and persons associated with its exchange members, with
the provisions of the Exchange Act, the rules and regulations
thereunder, and the rules of the Exchange.
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    \26\ 15 U.S.C. 78f(b).
    \27\ 15 U.S.C. 78f(b)(1).
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    The proposal to amend the Exchange's Operating Agreement to
establish a CFR as a sub-committee of the recently approved ROC, which,
among other things, would be charged with hearing appeals of
disciplinary determinations, complies with the Exchange Act's
requirement to provide for a fair procedure for the disciplining of
member and persons associated with members. The Exchange's ROC [sic] is
composed of both Exchange directors that satisfy the independence
requirements (i.e., any Exchange director, other than the chief
executive officer) as well as persons who are not directors. The
Exchange accordingly proposes that a majority of the members of the CFR
voting on a matter subject to a vote of the CFR must be directors of
the Exchange.
    Further, the proposed CFR would include among the members who are
not directors representatives of member organizations that engage in a
business involving substantial direct contact with securities customers
(upstairs firms), DMMS, and floor brokers. Accordingly, the Exchange
believes the proposed creation of a ROC [sic] is consistent with
Section 6(b)(7) of the Exchange Act,\28\ which, among other things,
requires that the rules of a national securities exchange provide a
fair procedure for the disciplining of members and persons associated
with members.
---------------------------------------------------------------------------

    \28\ See 15 U.S.C. 78f(b)(7).
---------------------------------------------------------------------------

    The Exchange also believes that not having the fourth category of
proprietary floor-based traders in the proposed CFR would remove
references to obsolete categories in the Exchange's rules, thereby
reducing potential confusion.
    Further, the Exchange believes that permitting but not requiring
the CFR to appoint an appeals panel composed of at least three and no
more than five individuals to conduct a review and make a
recommendation to the CFR regarding the disposition of an appeal is
consistent with Section 6(b)(7) of the Exchange Act. An appeals panel
appointed by the CFR would be composed of at least one director and one
member or individual associated with an equities or options member
organization, as appropriate. The Exchange believes that the role of
the appeals panel, including that the CFR would retain authority to
determine the disposition of appeals, would ensure that the Exchange's
rules provide a fair procedure for the disciplining of members and
persons associated with members. In addition, for the reasons stated
below, the Exchange believes that participation on the proposed CFR and
appeals panels of members and persons associated with members would be
sufficient to provide for the fair representation of members in the
administration of the affairs of the Exchange, including rulemaking and
the disciplinary process, consistent with Section 6(b)(3) of the
Exchange Act.
    The Exchange believes that this filing furthers the objectives of
Section 6(b)(5) of the Exchange Act \29\ because the proposed rule
change would be consistent with and facilitate a governance and
regulatory structure that is designed to prevent fraudulent and
manipulative acts and practices, to promote just and equitable
principles of trade, to foster cooperation and coordination with
persons engaged in regulating, clearing, settling, processing
information with respect to, and facilitating transactions in
securities, to remove impediments to, and perfect the mechanism of a
free and open market and a national market system and, in general, to
protect investors and the public interest. As discussed above, the
Exchange believes that having the CFR serve in the advisory capacity of
the Market Performance Committee and Regulatory Advisory Committee is
consistent with and facilitates a governance and regulatory structure
that furthers the objectives of Section 6(b)(5) of the Exchange Act.
The Exchange believes that member participation on the proposed CFR and
appeals panels would be sufficient to provide for the fair
representation of members in the administration of the affairs of the
Exchange, including rulemaking and the disciplinary process, consistent
with Section 6(b)(3) of the Exchange Act.
---------------------------------------------------------------------------

    \29\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that eliminating references to ``Chief
Executive Officer'' of NYSE Regulation in Rules 48--Equities, 49--
Equities, and 86--Equities and replacing them with CRO, which is used
throughout the Exchange's rules, removes impediments to and perfects a
national market system because it would reduce potential confusion that
may result from retaining different designations for the same
individual in the Exchange's rulebook. Removing potentially confusing
conflicting designations would also further the goal of transparency
and add consistency to the Exchange's rules.
    Finally, making conforming amendments to Rules 475, 476, 476A, 20--
Equities, 308--Equities and Sections 1201, 1204, 1205, 1206, 1211, and
1212T of the Company Guide in connection with creation of the proposed
CFR removes impediments to and perfects the mechanism of a free and
open market by removing confusion that may result from having obsolete
references in the Exchange's rulebook. deleting references to ``NYSE
Regulation, Inc.'' and ``NYSE Regulation'' in Section 4.05 of the
Operating Agreement and Rules 0, 1--Equities, 22--Equities, 36--
Equities, 48--Equities, 49--Equities, 54--Equities, 70--Equities, 103--
Equities, 103A--Equities, 103B--Equities, 422--Equities, 497--Equities,
and 902NY removes impediments to and perfects the mechanism of a free
and open market by removing confusion that may result from having
obsolete references in the Exchange's rulebook. The Exchange further
believes that the proposal removes impediments to and perfects the
mechanism of a free and open

market by ensuring that persons subject to the Exchange's jurisdiction,
regulators, and the investing public can more easily navigate and
understand the Exchange's rulebook. The Exchange believes that
eliminating obsolete references would not be inconsistent with the
public interest and the protection of investors because investors will
not be harmed and in fact would benefit from increased transparency,
thereby reducing potential confusion. Removing such obsolete references
will also further the goal of transparency and add clarity to the
Exchange's rules.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Exchange Act. The proposed rule
change is not intended to address competitive issues but rather is
concerned solely with the administration and functioning of the
Exchange and its board of directors.

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

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

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

    Within 45 days of the date of publication of this notice in the
Federal Register or up to 90 days (i) as the Commission may designate
if it finds such longer period to be appropriate and publishes its
reasons for so finding or (ii) as to which the self-regulatory
organization consents, the Commission will:
    (A) By order approve or disapprove the proposed rule change, or
    (B) institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSEMKT-2015-106 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEMKT-2015-106. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing will also be available
for inspection and copying at the NYSE's principal office and on its
Internet Web site at www.nyse.com. All comments received will be posted
without change; the Commission does not edit personal identifying
information from submissions. You should submit only information that
you wish to make available publicly. All submissions should refer to
File Number SR-NYSEMKT-2015-106 and should be submitted on or before
January 8, 2016.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\30\
Robert W. Errett,
Deputy Secretary.
---------------------------------------------------------------------------

    \30\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

[FR Doc. 2015-31788 Filed 12-17-15; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 88, Number 164 (Friday, August 25, 2023)]
[Notices]
[Page 58263]
[FR Doc No: 2023-18334]

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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 and Oil Pipeline Rate and Refund Report filings:

Filings Instituting Proceedings

    Docket Numbers: RP23-970-000.
    Applicants: Equitrans, L.P.
    Description: Sec.  4(d) Rate Filing: Negotiated Rate Agreement--8/
19/2023 to be effective 8/19/2023.
    Filed Date: 8/18/23.
    Accession Number: 20230818-5153.
    Comment Date: 5 p.m. ET 8/30/23.

    Docket Numbers: RP23-971-000.
    Applicants: Double E Pipeline, LLC.
    Description: Annual System Balancing Adjustment Filing of Double E
Pipeline, LLC.
    Filed Date: 8/18/23.
    Accession Number: 20230818-5182.
    Comment Date: 5 p.m. ET 8/30/23.

    Docket Numbers: RP23-973-000.
    Applicants: Gulf Run Transmission, LLC.
    Description: Sec.  4(d) Rate Filing: Housekeeping Filing to be
effective 9/21/2023.
    Filed Date: 8/21/23.
    Accession Number: 20230821-5085.
    Comment Date: 5 p.m. ET 9/5/23.

    Docket Numbers: RP23-974-000.
    Applicants: Cheyenne Connector, LLC.
    Description: Sec.  4(d) Rate Filing: CC 2023-08-21 System Map URL
to be effective 9/21/2023.
    Filed Date: 8/21/23.
    Accession Number: 20230821-5092.
    Comment Date: 5 p.m. ET 9/5/23.

    Any person desiring to intervene, to protest, or to answer a
complaint in any of the above proceedings must file in accordance with
Rules 211, 214, or 206 of the Commission's Regulations (18 CFR 385.211,
385.214, or 385.206) on or before 5:00 p.m. Eastern time on the
specified comment date. Protests may be considered, but intervention is
necessary to become a party to the proceeding.
    The filings are accessible in the Commission's eLibrary system
(https://elibrary.ferc.gov/idmws/search/fercgensearch.asp) by querying
the docket number.
    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>.
    For other information, call<PHONE_NUMBER> (toll free). For TTY,
call<PHONE_NUMBER>. The Commission's Office of Public Participation
(OPP) supports meaningful public engagement and participation in
Commission proceedings. OPP can help members of the public, including
landowners, environmental justice communities, Tribal members and
others, access publicly available information and navigate Commission
processes. For public inquiries and assistance with making filings such
as interventions, comments, or requests for rehearing, the public is
encouraged to contact OPP at<PHONE_NUMBER> or [email protected].

    Dated: August 21, 2023.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2023-18334 Filed 8-24-23; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: November 15, 2006 (Volume 71, Number 220)]
[Notices]
[Page 66512]
[DOCID:fr15no06-47]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP01-245-020]

Transcontinental Gas Pipe Line Corporation; Notice of Compliance
Filing

November 7, 2006.
    Take notice that on November 2, 2006, Transcontinental Gas Pipe
Line Corporation (Transco) tendered for filing as part of its FERC Gas
Tariff, Third Revised Volume No. 1, the pro forma tariff sheets listed
in Appendix A to the filing.
    Transco states that copies of the filing were served on parties on
the official service list in the above-captioned proceeding.
    Any person desiring to protest this filing must file in accordance
with Rule 211 of the Commission's Rules of Practice and Procedure (18
CFR 385.211). Protests to this filing will be considered by the
Commission in determining the appropriate action to be taken, but will
not serve to make protestants parties to the proceeding. Such protests
must be filed in accordance with the provisions of Section 154.210 of
the Commission's regulations (18 CFR 154.210). Anyone filing a protest
must serve a copy of that document on all the parties to the
proceeding.
    The Commission encourages electronic submission of protests in lieu
of paper using the ``eFiling'' link at http://www.ferc.gov. Persons

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

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

TTY, call<PHONE_NUMBER>.

Magalie R. Salas,
Secretary.
 [FR Doc. E6-19220 Filed 11-14-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 76, Number 238 (Monday, December 12, 2011)]
[Notices]
[Pages 77224-77225]
[FR Doc No: 2011-31827]

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

 [EPA-HQ-OPPT-20003-0004; FRL-9329-3]

Access to Confidential Business Information by Primus Solutions,
Inc.

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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

SUMMARY: EPA has authorized its contractor, Primus Solutions, Inc.
(Primus) of Greenbelt, MD, to access information which has been
submitted to EPA under all sections of the Toxic Substances Control Act
(TSCA). Some of the information may be claimed or determined to be
Confidential Business Information (CBI).

DATES: Access to the confidential data will occur on or about November
23, 2011.

FOR FURTHER INFORMATION CONTACT: For technical information contact:
Pamela Moseley, Information Management Division (7407M), Office of
Pollution Prevention and Toxics, Environmental Protection Agency, 1200
Pennsylvania Ave. NW., Washington, DC 20460-0001; telephone number:
(202) 564-8956; fax number:<PHONE_NUMBER>; email address:
<EMAIL_ADDRESS>    For general information contact: The TSCA-Hotline, ABVI-Goodwill,
422 South Clinton Ave., Rochester, NY 14620; telephone number: (202)
554-1404; email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this notice apply to me?

    This action is directed to the public in general. This action may,
however, be of interest to all who manufacture, process, or distribute
industrial chemicals. Since other entities may also be interested, the
Agency has not attempted to describe all the specific entities that may
be affected by this action. If you have any questions regarding the
applicability of this action

to a particular entity, consult the technical person listed under FOR
FURTHER INFORMATION CONTACT.

B. How can I get copies of this document and other related information?

    EPA has established a docket for this action under docket
identification (ID) number EPA-HQ-OPPT-2003-0004. All documents in the
docket are listed in the docket index available at http://www.regulations.gov. Although listed in the index, some information is
not publicly available, e.g., CBI or other information whose disclosure
is restricted by statute. Certain other material, such as copyrighted
material, will be publicly available only in hard copy. Publicly
available docket materials are available electronically at http://www.regulations.gov, or, if only available in hard copy, at the OPPT
Docket. The OPPT Docket is located in the EPA Docket Center (EPA/DC) at
Rm. 3334, EPA West Bldg., 1301 Constitution Ave. NW., Washington, DC.
The EPA/DC Public Reading Room hours of operation are 8:30 a.m. to 4:30
p.m., Monday through Friday, excluding legal holidays. The telephone
number of the EPA/DC Public Reading Room is<PHONE_NUMBER>, and the
telephone number for the OPPT Docket is<PHONE_NUMBER>. Docket visitors
are required to show photographic identification, pass through a metal
detector, and sign the EPA visitor log. All visitor bags are processed
through an X-ray machine and subject to search. Visitors will be
provided an EPA/DC badge that must be visible at all times in the
building and returned upon departure.

II. What action is the agency taking?

    Under EPA Contract Number EP-W-11-024, Task Order Number 43,
contractor Primus of 6303 Ivy Lane, Suite 130, Greenbelt, MD will
assist the Office of Pollution Prevention and Toxics (OPPT) in managing
the Non-Confidential Business Information Center (NCIC). They will also
provide current and historical reports on all TSCA non-CBI submissions
received in compliance with TSCA; organize, distribute and prepare
records for permanent storage; and handle all docket-related records
for OPPT, in accordance with the TSCA CBI Protection Manual.
    In accordance with 40 CFR 2.306(j), EPA has determined that under
EPA Contract Number EP-W-11-024, Task Order Number 43, Primus will
require access to CBI submitted to EPA under all section(s) of TSCA to
perform successfully the duties specified under the contract. Primus'
personnel will be given access to information submitted to EPA under
all section(s) of TSCA. Some of the information may be claimed or
determined to be CBI.
    EPA is issuing this notice to inform all submitters of information
under all sections of TSCA that EPA may provide Primus access to these
CBI materials on a need-to-know basis only. All access to TSCA CBI
under this contract will take place at EPA Headquarters in accordance
with EPA's TSCA CBI Protection Manual.
    Access to TSCA data, including CBI, will continue until February
14, 2016. If the contract is extended, this access will also continue
for the duration of the extended contract without further notice.
    Primus' personnel will be required to sign nondisclosure agreements
and will be briefed on appropriate security procedures before they are
permitted access to TSCA CBI.

List of Subjects

    Environmental protection, Confidential business information.

    Dated: December 1, 2011.
Matthew G. Leopard,
Director, Information Management Division, Office of Pollution
Prevention and Toxics.
[FR Doc. 2011-31827 Filed 12-9-11; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register: June 18, 2009 (Volume 74, Number 116)]
[Rules and Regulations]
[Page 28874-28875]
[DOCID:fr18jn09-3]

=======================================================================
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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

21 CFR Part 520

[Docket No. FDA-2009-N-0665]

Oral Dosage Form New Animal Drugs; Toceranib

AGENCY: Food and Drug Administration, HHS.

ACTION: Final rule.

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

SUMMARY: The Food and Drug Administration (FDA) is amending the animal
drug regulations to reflect the original approval of a new animal drug
application (NADA) filed by Pharmacia & Upjohn Co., a Division of
Pfizer, Inc. The NADA provides for the veterinary prescription use of
toceranib phosphate tablets in dogs for treatment of recurrent,
cutaneous mast cell tumors.

DATES:  This rule is effective June 18, 2009.

FOR FURTHER INFORMATION CONTACT: Melanie R. Berson, Center for
Veterinary Medicine (HFV-110), Food and Drug Administration, 7500
Standish Pl., Rockville, MD 20855,<PHONE_NUMBER>, email:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Pharmacia & Upjohn Co., a Division of
Pfizer, Inc., 235 East 42d St., New York, NY 10017, filed NADA 141-295
that provides for veterinary prescription use of PALLADIA (toceranib
phosphate) Tablets in dogs for the treatment of Patnaik grade II or
III, recurrent, cutaneous mast cell tumors with or without regional
lymph node involvement. The NADA is approved as of May 22, 2009, and
the regulations are amended in 21 CFR part 520 to reflect the approval.
    In accordance with the freedom of information provisions of 21 CFR
part 20 and 21 CFR 514.11(e)(2)(ii), a summary of safety and
effectiveness data and information submitted to support approval of
this application may be seen in the Division of Dockets Management
(HFA-305), Food and Drug Administration, 5630 Fishers Lane, rm.

1061, Rockville, MD 20852, between 9 a.m. and 4 p.m., Monday through
Friday.
    Under section 512(c)(2)(F)(i) of the Federal Food, Drug, and
Cosmetic Act (21 U.S.C. 360b(c)(2)(F)(i)), this approval qualifies for
5 years of marketing exclusivity beginning on the date of approval.
    FDA has determined under 21 CFR 25.33 that this action is of a type
that does not individually or cumulatively have a significant effect on
the human environment. Therefore, neither an environmental assessment
nor an environmental impact statement is required.
    This rule does not meet the definition of ``rule'' in 5 U.S.C.
804(3)(A) because it is a rule of ``particular applicability.''
Therefore, it is not subject to the congressional review requirements
in 5 U.S.C. 801-808.

List of Subjects in 21 CFR Part 520

    Animal drugs.

0
Therefore, under the Federal Food, Drug, and Cosmetic Act and under
authority delegated to the Commissioner of Food and Drugs and
redelegated to the Center for Veterinary Medicine, 21 CFR part 520 is
amended as follows:

PART 520--ORAL DOSAGE FORM NEW ANIMAL DRUGS

0
1. The authority citation for 21 CFR part 520 continues to read as
follows:

    Authority: 21 U.S.C. 360b.

0
2. Add Sec.  520.2475 to read as follows:

Sec.  520.2475  Toceranib.

    (a) Specifications. Each tablet contains 10, 15, or 50 milligrams
(mg) toceranib as toceranib phosphate.
    (b) Sponsor. See No. 000009 in Sec.  510.600 of this chapter.
    (c) Conditions of use--(1) Dogs--(i) Amount. Administer an initial
dose of 3.25 mg per kilogram (1.48 mg per pound) body weight, orally
every other day.
    (ii) Indications for use. For the treatment of Patnaik grade II or
III, recurrent, cutaneous mast cell tumors with or without regional
lymph node involvement.
    (iii) Limitations. Federal law restricts this drug to use by or on
the order of a licensed veterinarian.
    (2) [Reserved].

    Dated: June 12, 2009.
Bernadette Dunham,
Director, Center for Veterinary Medicine.
[FR Doc. E9-14299 Filed 6-17-09; 8:45 am]

BILLING CODE 4160-01-S


[Federal Register Volume 88, Number 186 (Wednesday, September 27, 2023)]
[Notices]
[Page 66492]
[FR Doc No: 2023-20985]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-3595-EM; Docket ID FEMA-2023-0001]

Vermont; Emergency and Related Determinations

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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

SUMMARY: This is a notice of the Presidential declaration of an
emergency for the State of Vermont (FEMA-3595-EM), dated July 10, 2023,
and related determinations.

DATES: The declaration was issued July 10, 2023.

FOR FURTHER INFORMATION CONTACT: Dean Webster, Office of Response and
Recovery, Federal Emergency Management Agency, 500 C Street SW,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Notice is hereby given that, in a letter
dated July 10, 2023, the President issued an emergency declaration
under the authority of the Robert T. Stafford Disaster Relief and
Emergency Assistance Act, 42 U.S.C. 5121-5207 (the Stafford Act), as
follows:

    I have determined that the emergency conditions in certain areas
of the State of Vermont resulting from flooding beginning on July 9,
2023, and continuing, are of sufficient severity and magnitude to
warrant an emergency declaration under the Robert T. Stafford
Disaster Relief and Emergency Assistance Act, 42 U.S.C. 5121 et seq.
(``the Stafford Act''). Therefore, I declare that such an emergency
exists in the State of Vermont.
    You are authorized to provide appropriate assistance for
required emergency measures, authorized under Title V of the
Stafford Act, to save lives and to protect property and public
health and safety, and to lessen or avert the threat of a
catastrophe in the designated areas. Specifically, you are
authorized to provide assistance for emergency protective measures
(Category B), limited to direct Federal assistance and reimbursement
for mass care, including evacuation and sheltering support, under
the Public Assistance program.
    Consistent with the requirement that Federal assistance be
supplemental, any Federal funds provided under the Stafford Act for
Public Assistance will be limited to 75 percent of the total
eligible costs. In order to provide Federal assistance, you are
hereby authorized to allocate from funds available for these
purposes such amounts as you find necessary for Federal emergency
assistance and administrative expenses.
    Further, you are authorized to make changes to this declaration
for the approved assistance to the extent allowable under the
Stafford Act.

    The Federal Emergency Management Agency (FEMA) hereby gives notice
that pursuant to the authority vested in the Administrator, Department
of Homeland Security, under Executive Order 12148, as amended, William
F. Roy, of FEMA is appointed to act as the Federal Coordinating Officer
for this declared emergency.
    The following areas of the State of Vermont have been designated as
adversely affected by this declared emergency:

    Addison, Bennington, Caledonia, Chittenden, Essex, Franklin,
Grand Isle, Lamoille, Orange, Orleans, Rutland, Washington, Windham,
and Windsor Counties for emergency protective measures (Category B),
limited to direct Federal assistance and reimbursement for mass
care, including evacuation and sheltering support, under the Public
Assistance program.
    The following Catalog of Federal Domestic Assistance Numbers
(CFDA) are to be used for reporting and drawing funds: 97.030,
Community Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis
Counseling; 97.033, Disaster Legal Services; 97.034, Disaster
Unemployment Assistance (DUA); 97.046, Fire Management Assistance
Grant; 97.048, Disaster Housing Assistance to Individuals and
Households In Presidentially Declared Disaster Areas; 97.049,
Presidentially Declared Disaster Assistance--Disaster Housing
Operations for Individuals and Households; 97.050, Presidentially
Declared Disaster Assistance to Individuals and Households--Other
Needs; 97.036, Disaster Grants--Public Assistance (Presidentially
Declared Disasters); 97.039, Hazard Mitigation Grant.

Deanne Criswell,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2023-20985 Filed 9-26-23; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register Volume 86, Number 58 (Monday, March 29, 2021)]
[Notices]
[Page 16346]
[FR Doc No: 2021-06366]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. EL21-60-000]

Arcadia Solar, LLC; WGL Georgia Project Group, LLC; Notice of
Petition for Declaratory Order

    Take notice that on March 19, 2021, pursuant to Rule 207 of the
Federal Energy Regulatory Commission's (Commission) Rules of Practice
and Procedure, 18 CFR 385.207, Arcadia Solar, LLC and WGL Georgia
Project Group, LLC (Petitioners), filed a petition for declaratory
order (Petition) requesting that the Commission issue a declaratory
order providing partial waiver from the filing requirement of section
292.203(a)(3) of the Commission's regulations for four qualifying small
power production facilities, for varying time periods prior to February
9, 2021, as more fully explained in the petition.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211, 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed on or before the comment date.
Anyone filing a motion to intervene or protest must serve a copy of
that document on the Petitioner.
    In addition to publishing the full text of this document in the
Federal Register, the Commission provides all interested persons an
opportunity to view and/or print the contents of this document via the
internet through the Commission's Home Page (http://ferc.gov) using the
``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. At this time,
the Commission has suspended access to the Commission's Public
Reference Room, due to the proclamation declaring a National Emergency
concerning the Novel Coronavirus Disease (COVID-19), issued by the
President on March 13, 2020. For assistance, contact the Federal Energy
Regulatory Commission at<EMAIL_ADDRESS>or call toll-free,
(886) 208-3676 or TYY,<PHONE_NUMBER>.
    The Commission strongly encourages electronic filings of comments,
protests and interventions in lieu of paper using the ``eFiling'' link
at http://www.ferc.gov. Persons unable to file electronically may mail
similar pleadings to the Federal Energy Regulatory Commission, 888
First Street NE, Washington, DC 20426. Hand delivered submissions in
docketed proceedings should be delivered to Health and Human Services,
12225 Wilkins Avenue, Rockville, Maryland 20852.
    Comment Date: 5:00 p.m. Eastern time on April 19, 2021.

    Dated: March 22, 2021.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2021-06366 Filed 3-26-21; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 84, Number 149 (Friday, August 2, 2019)]
[Notices]
[Page 37920]
[FR Doc No: 2019-16521]

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SECURITIES AND EXCHANGE COMMISSION

Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736.

Extension:
    Schedule 13E-4F; SEC File No. 270-340, OMB Control No. 3235-0375

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collection of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget for extension and approval.
    Schedule 13E-4F (17 CFR 240.13e-102) may be used by an issuer that
is incorporated or organized under the laws of Canada to make a cash
tender or exchange offer for the issuer's own securities if less than
40 percent of the class of such issuer's securities outstanding that
are the subject of the tender offer is held by U.S. holders. The
information collected must be filed with the Commission and is publicly
available. We estimate that it takes approximately 2 hours per response
to prepare Schedule 13E-4F and that the information is filed by
approximately 3 respondents for a total annual reporting burden of 6
hours (2 hours per response x 3 responses).
    Written comments are invited on: (a) Whether this proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden imposed by the collection of information; (c) ways to
enhance the quality, utility, and clarity of the information collected;
and (d) ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
    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 control number.
    Please direct your written comment to Charles Riddle, Acting
Director/Chief Information Officer, Securities and Exchange Commission,
c/o Candace Kenner, 100 F Street NE, Washington, DC 20549 or send an
email to<EMAIL_ADDRESS>
    Dated: July 30, 2019.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019-16521 Filed 8-1-19; 8:45 am]
 BILLING CODE 8011-01-P