[Federal Register Volume 76, Number 226 (Wednesday, November 23, 2011)]
[Notices]
[Pages 72405-72408]
[FR Doc No: 2011-29990]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPP-2009-1017; FRL--9327-2]

Notice of Receipt of Requests to Voluntarily Cancel Certain
Pesticide Registrations

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: In accordance with section 6(f)(1) of the Federal Insecticide,
Fungicide, and Rodenticide Act (FIFRA), as amended, EPA is issuing a
notice of receipt of requests by registrants to voluntarily cancel
certain pesticide registrations. EPA intends to grant these requests at
the close of the comment period for this announcement unless the Agency
receives substantive comments within the comment period that would
merit its further review of the requests, or unless the registrants
withdraw their requests. If these requests are granted, any sale,
distribution, or use of products listed in this notice will be
permitted after the registrations have been canceled only if such sale,
distribution, or use is consistent with the terms as described in the
final order.

DATES: Comments must be received on or before December 21, 2011.

ADDRESSES: Submit your comments, identified by docket identification
(ID) number EPA-HQ-OPP-2009-1017, by one of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov.
Follow the on-line instructions for submitting comments.
     Mail: Office of Pesticide Programs (OPP) Regulatory Public
Docket (7502P), Environmental Protection Agency, 1200 Pennsylvania Ave.
NW., Washington, DC 20460-0001.
    Submit written withdrawal request by mail to: Pesticide Re-
evaluation Division (7508P), Office of Pesticide Programs,
Environmental Protection Agency, 1200 Pennsylvania Ave. NW.,
Washington, DC 20460-0001. ATTN: Maia Tatinclaux.

     Delivery: OPP Regulatory Public Docket (7502P),
Environmental Protection Agency, Rm. S-4400, One Potomac Yard (South
Bldg.), 2777 S. Crystal Dr., Arlington, VA. Deliveries are only
accepted during the Docket Facility's normal hours of operation (8:30
a.m. to 4 p.m., Monday through Friday, excluding legal holidays).
Special arrangements should be made for deliveries of boxed
information. The Docket Facility telephone number is<PHONE_NUMBER>.
    Instructions: Direct your comments to docket ID number EPA-HQ-OPP-
2009-1017. EPA's policy is that all comments received will be included
in the docket without change and may be made available on-line at
http://www.regulations.gov, including any personal information
provided, unless the comment includes information claimed to be
Confidential Business Information (CBI) or other information whose
disclosure is restricted by statute. Do not submit information that you
consider to be CBI or otherwise protected through regulations.gov or
email. The regulations.gov Web site is an ``anonymous access'' system,
which means EPA will not know your identity or contact information
unless you provide it in the body of your comment. If you send an email
comment directly to EPA without going through regulations.gov, your
email address will be automatically captured and included as part of
the comment that is placed in the docket and made available on the
Internet. If you submit an electronic comment, EPA recommends that you
include your name and other contact information in the body of your
comment and with any disk or CD-ROM you submit. If EPA cannot read your
comment due to technical difficulties and cannot contact you for
clarification, EPA may not be able to consider your comment. Electronic
files should avoid the use of special characters, any form of
encryption, and be free of any defects or viruses.
    Docket: 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, is not placed on the Internet
and will be publicly available only in hard copy form. Publicly
available docket materials are available either in the electronic
docket at http://www.regulations.gov, or, if only available in hard
copy, at the OPP Regulatory Public Docket in Rm. S-4400, One Potomac
Yard (South Bldg.), 2777 S. Crystal Dr., Arlington, VA. The hours of
operation of this Docket Facility are from 8:30 a.m. to 4 p.m., Monday
through Friday, excluding legal holidays. The Docket Facility telephone
number is<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Maia Tatinclaux, Pesticide Re-
evaluation Division (7508P), Office of Pesticide Programs,
Environmental Protection Agency, 1200 Pennsylvania Ave. NW.,
Washington, DC 20460-0001; telephone number:<PHONE_NUMBER>; email
address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this action apply to me?

    This action is directed to the public in general, and may be of
interest to a wide range of stakeholders including environmental, human
health, and agricultural advocates; the chemical industry; pesticide
users; and members of the public interested in the sale, distribution,
or use of pesticides. If you have any questions regarding the
information in this notice, consult the person listed under FOR FURTHER
INFORMATION CONTACT.

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

    1. Submitting CBI. Do not submit this information to EPA through
regulations.gov or email. Clearly mark the part or all of the
information that you claim to be CBI. For CBI information in a disk or
CD-ROM that you mail to EPA, mark the outside of the disk or CD-ROM as
CBI and then identify electronically within the disk or CD-ROM the
specific information that is claimed as CBI. In addition to one
complete version of the comment that includes information claimed as
CBI, a copy of the comment that does not contain the information
claimed as CBI must be submitted for inclusion in the public docket.
Information so marked will not be disclosed except in accordance with
procedures set forth in 40 CFR part 2.
    2. Tips for preparing your comments. When submitting comments,
remember to:
    i. Identify the document by docket ID number and other identifying
information (subject heading, Federal Register date and page number).
    ii. Follow directions. The Agency may ask you to respond to
specific questions or organize comments by referencing a Code of
Federal Regulations (CFR) part or section number.
    iii. Explain why you agree or disagree; suggest alternatives and
substitute language for your requested changes.
    iv. Describe any assumptions and provide any technical information
and/or data that you used.
    v. If you estimate potential costs or burdens, explain how you
arrived at your estimate in sufficient detail to allow for it to be
reproduced.
    vi. Provide specific examples to illustrate your concerns and
suggest alternatives.
    vii. Explain your views as clearly as possible, avoiding the use of
profanity or personal threats.
    viii. Make sure to submit your comments by the comment period
deadline identified.

II. What action is the Agency taking?

    This notice announces receipt by the Agency of requests from
registrants to cancel 28 pesticide products registered under FIFRA
section 3 or 24(c). These registrations are listed in sequence by
registration number (or company number and 24(c) number) in Table 1 of
this unit. The cancellation of the two tralomethrin products, EPA Reg.
Nos.<PHONE_NUMBER>1 and<PHONE_NUMBER>1 will be effective December 15, 2014
and are the last registered products containing this active ingredient.
    Unless the Agency determines that there are substantive comments
that warrant further review of the requests or the registrants withdraw
their requests, EPA intends to issue an order in the Federal Register
canceling all of the affected registrations.

                          Table 1--Registrations With Pending Requests for Cancellation
----------------------------------------------------------------------------------------------------------------
            EPA Reg. No.                          Product name                       Active ingredients
----------------------------------------------------------------------------------------------------------------
000239-02626.......................  Ortho Home Defense Hi-Power Brand      MGK 264 Pyrethrins Permethrin.
                                      Indoor Insect Fogger.
000499-00504.......................  TC 235 Cold Fogger Concentrate.......  MGK 264 Pyrethrins Piperonyl
                                                                             butoxide 2, 4-Dodecadienoic acid,
                                                                             3,7,11-trimethyl-, ethyl ester, (S-
                                                                             (E,E))-.
000655-00308.......................  Prentox Pyrethrum Extract ``25''.....  Pyrethrins.

000769-00948.......................  Pratt Cygon 2-E Systemic Insecticide.  Dimethoate.
002724-00338.......................  Zoecon RF-275........................  MGK 264 Piperonyl butoxide
                                                                             Pyrethrins S-Methoprene.
002724-00607.......................  Farnam Pyrethrin Concentrate.........  Piperonyl butoxide Pyrethrins.
002724-00706.......................  Elite Flea and Tick Dip..............  MGK 264 Piperonyl butoxide
                                                                             Pyrethrins.
002724-00707.......................  Elite Extra-Strength Flea and Tick     MGK 264 Piperonyl butoxide
                                      Dip.                                   Pyrethrins.
005887-00041.......................  Black Leaf Tri-Basic Bordeaux Powder.  Basic copper sulfate.
010807-00446.......................  Purge II.............................  Pyrethrins Piperonyl butoxide.
010807-00448.......................  Country Vet Flea & Tick Fogger with    MGK 264 Pyrethrins Pyriproxyfen
                                      Growth Inhibitor.                      Permethrin.
013283-00025.......................  Rainbow Flying & Crawling Bug Killer   Bioallethrin.
                                      II.
028293-00212.......................  Unicorn Ear Miticide III.............  Pyrethrins Piperonyl butoxide.
028293-00348.......................  Unicorn Ear Miticide IV..............  Pyrethrins Piperonyl butoxide.
040849-00046.......................  Enforcer Four Hour Fogger V..........  Phenothrin Tetramethrin.
056156-00001.......................  X-100 Natural Seal Wood Preservative.  2-(Thiocyanomethylthio)
                                                                             benzothiazole Methylene bis
                                                                             (thiocyanate).
065092-00001.......................  ZE LIN Chen Chalk....................  Tralomethrin.
074965-00002.......................  Comet With Bleach Disinfectant         Sodium dichloroisocyanurate
                                      Cleanser.                              dihydrate.
075015-00001.......................  Dead-Fast Insecticide Chalk..........  Tralomethrin.
080697-00009.......................  Chlorpyrifos Technical...............  Chlorpyrifos.
CA010009...........................  Supracide 25W........................  Methidathion.
CO080005...........................  Dicofol 4E...........................  Dicofol.
FL760014...........................  Cythion Insecticide The Premium Grade  Malathion.
                                      Malathion.
ID070002...........................  Dicofol 4E...........................  Dicofol.
ID990018...........................  Kelthane MF Agricultural Miticide....  Dicofol.
ME960001...........................  Imidan 2.5 EC........................  Phosmet.
SD040004...........................  Princep Caliber 90...................  Simazine.
UT070005...........................  Dicofol 4E...........................  Dicofol.
----------------------------------------------------------------------------------------------------------------

    Table 2 of this unit includes the names and addresses of record for
all registrants of the products in Table 1 of this unit, in sequence by
EPA company number. This number corresponds to the first part of the
EPA registration numbers of the products listed in this unit.

         Table 2--Registrants Requesting Voluntary Cancellation
------------------------------------------------------------------------
         EPA company no.                  Company name and address
------------------------------------------------------------------------
239..............................  The Scotts Company, P.O. Box 190,
                                    Marysville, OH 43040.
499..............................  Whitmire Micro-Gen Research
                                    Laboratories, Inc. Agent: BASF
                                    CORP., 3568 Tree Court Industrial
                                    Blvd., St. Louis, MO 63122-6682.
655..............................  Prentiss, Inc., Agent: Pyxis
                                    Regulatory Consulting, Inc., 4110
                                    136th St. NW., Gig Harbor, WA 98332.
769..............................  Value Gardens Supply LLC, P.O. Box
                                    585, Saint Joseph, MO 64502.
2724.............................  Wellmark International, 1501 E.
                                    Woodfield Rd., Suite 200, West
                                    Schaumburg, IL 60173.
5887.............................  Value Gardens Supply, LLC, D/B/A
                                    Garden Value Supply, P.O. Box 585,
                                    Saint Joseph, MO 64502.
10807............................  Amrep, Inc., Agent: Lewis & Harrison
                                    LLC, 122 C St. NW., Washington, DC
                                    20001.
13283............................  Rainbow Technology Corporation,
                                    Agent: RegWest Company LLC, 8203
                                    West 20th St., Suite A, Greeley, CO
                                    80634-4696.
28293............................  Phaeton Corporation Agent
                                    Registrations By Design Inc., P.O.
                                    Box 1019, Salem, VA 24153.
40849............................  ZEP Commercial Sales & Service,
                                    Agent: Connie Welch and Associates,
                                    4196 Merchant Plaza 344,
                                    Lake Ridge, VA 22192.
56156............................  American Building Restoration
                                    Products Inc., 9720 South 60th
                                    Street, Franklin, WI 53132.
65092............................  Ze Lin Chen 137, Casuda Canyon Dr.
                                    A, Monterey Park, CA 91754.
74965............................  Spic And Span D/B/A Prestige Brands
                                    International, 90 North Broadway,
                                    Irvington, NY 10533.
75015............................  Bernard I. Segal, 2406 Vallecitos, La
                                    Jolla, CA 92037.
80697............................  Zhejian Tide Cropscience Co. LTD,
                                    Agent: Tide International, USA,
                                    Inc., 21 Hubble, Irvine, CA 92618.
CA010009; ME960001...............  Gowan Company, P.O. Box 5569, Yuma,
                                    AZ 85366-8844.
CO080005; ID070002; UT070005.....  Makhteshim-Agan of North America
                                    Inc., 4515 Falls of Neuse Rd., Suite
                                    300, Raleigh, NC 27069.
FL760014.........................  Lee County Mosquito Control District,
                                    P.O. Box 60005, Fort Myers, FL
                                    33906.
ID990018.........................  Dow Agrosciences LLC, 9330 Zionsville
                                    Rd. 308/2E, Indianapolis, IN 46268-
                                    1054.
SD040004.........................  Syngenta Crop Protection LLC, D/B/A
                                    Syngenta Crop Protection, Inc., P.O.
                                    Box 18300, Greensboro, NC 27149-
                                    8300.
------------------------------------------------------------------------

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

    Section 6(f)(1) of FIFRA provides that a registrant of a pesticide
product may at any time request that any of its pesticide registrations
be canceled. FIFRA further provides that, before acting on the request,
EPA must publish a notice of receipt of any such request in the Federal
Register.

    Section 6(f)(1)(B) of FIFRA requires that before acting on a
request for voluntary cancellation, EPA must provide a 30-day public
comment period on the request for voluntary cancellation or use
termination. In addition, FIFRA section 6(f)(1)(C) requires that EPA
provide a 180-day comment period on a request for voluntary
cancellation or termination of any minor agricultural use before
granting the request, unless:
    1. The registrants request a waiver of the comment period, or
    2. The EPA Administrator determines that continued use of the
pesticide would pose an unreasonable adverse effect on the environment.
    The registrants in Table 2 of Unit II have requested that EPA waive
the 180-day comment period. Accordingly, EPA will provide a 30-day
comment period on the proposed requests.

IV. Procedures for Withdrawal of Request

    Registrants who choose to withdraw a request for cancellation
should submit such withdrawal in writing to the person listed under FOR
FURTHER INFORMATION CONTACT. If the products have been subject to a
previous cancellation action, the effective date of cancellation and
all other provisions of any earlier cancellation action are
controlling.

V. Provisions for Disposition of Existing Stocks

    Existing stocks are those stocks of registered pesticide products
that are currently in the United States and that were packaged,
labeled, and released for shipment prior to the effective date of the
cancellation action.

A. Registrations Listed in Table 1 of Unit II Except EPA Reg. Nos.
065092-00001 and<PHONE_NUMBER>1

    EPA anticipates allowing registrants to sell and distribute
existing stocks of these products for 1 year after publication of the
Cancellation Order in the Federal Register. Thereafter, registrants
will be prohibited from selling or distributing the pesticides
identified in Table 1 of Unit II, except for export consistent with
FIFRA section 17 or for proper disposal. Persons other than registrants
will generally be allowed to sell, distribute, or use existing stocks
until such stocks are exhausted, provided that such sale, distribution,
or use is consistent with the terms of the previously approved labeling
on, or that accompanied, the canceled products.

B. EPA Registration Nos.<PHONE_NUMBER>1 and<PHONE_NUMBER>1

    The cancellation of these products will be effective December 15,
2014. Thereafter, registrants will be prohibited from selling or
distributing these two pesticide products, except for export consistent
with FIFRA section 17 or for proper disposal. Persons other than
registrants will generally be allowed to sell, distribute, or use
existing stocks until such stocks are exhausted, provided that such
sale, distribution, or use is consistent with the terms of the
previously approved labeling on, or that accompanied, the canceled
products.

List of Subjects

    Environmental protection, Pesticides and pests.

    Dated: November 10, 2011.
Peter Caulkins,
Acting Director, Pesticide Re-evaluation Division, Office of Pesticide
Programs.
[FR Doc. 2011-29990 Filed 11-22-11; 8:45 am]
BILLING CODE 6560-50-P


             EPA REGISTRATION DIVISION COMPANY NOTICE OF FILING FOR PESTICIDE PETITIONS PUBLISHED IN THE FEDERAL REGISTER

             EPA Registration Division contact: PV Shah, Branch Chief Inert Assessment Branch (IAB)<PHONE_NUMBER>.

       Clariant Corporation, 4000 Monroe Rd. Charlotte, NC 28205                              EPA has received a pesticide petition (IN-11126]) from Spring Trading Company on behalf of Clariant Corporation, 4000 Monroe Rd. Charlotte, NC 28205 proposing, pursuant to section 408(d) of the Federal Food, Drug, and Cosmetic Act (FFDCA), 21 U.S.C. 346a(d), to amend 40 CFR part180.

  To establish an exemption from the requirement of a tolerance for N,N-dimethylnonanamide (CAS No. 6225-08-7) : under 40 CFR 180.910, 180.920, and 180.930 to include CAS. Reg. No. 6225-08-7. EPA has determined that the petition contains data or information regarding the elements set forth in section 408 (d)(2) of FDDCA: however, EPA has not fully evaluated the sufficiency of the submitted data at this time or whether the data supports granting of the petition. Additional data may be needed before EPA rules on the petition.  Clariant believes that the chemistry described by the CAS. Reg. No. 6225-08-7 is described by the published tolerance exemption and therefore would fall under the published tolerance exemption in 40 CFR 180.910, 180.920, and 180.930. Since the current risk assessment was conducted on a range of chemistries to support the published descriptor range of chemistries and EPA has determined that this range of chemistries would be acceptable under this risk assessment Clariant believes this chemistry is supported by the current risk assessment.

 Residue Chemistry

  Since this request is for an exemption from the Establishment of a Tolerance, no additional residue studies are required.      	1.  Analytical method. An analytical method is not required for enforcement purposes since the Agency has established an exemption from the requirement of a tolerance without any numerical limitation.

             2. Magnitude of residues.  Clariant is petitioning the Agency to add an exemption from the requirement of a tolerance for food use.  Therefore, information regarding the nature and magnitude of chemical residues resulting from the use of this inert ingredient is not required.

             B. Toxicological Profile

             1. Acute toxicity. N,N-dimethylnonanamide has a relatively low degree of acute toxicity and is slightly toxic (Toxicity Category III) by the oral, dermal, and inhalation routes of exposure. The acute oral and dermal studies indicate an LD50 of >2000 mg/kg which was the highest dose tested. The acute inhalation LC50 was considered to be >3550.7 mg/m3. An eye irritation test done on the surrogate chemical, N,N-Dimethyldecanamide was found to be an eye irritant within the range of Toxicity category II according to EPA guidance. N,N-dimethylnonanamide is classified as a dermal irritant but is not classified as a skin sensitizer.

              Genotoxicity. N,N-dimethylnonanamide was not mutagenic in the Ames Salmonella assay and did not induce the incidence of chromosomal aberrations with or without metabolic activation in an In Vitro Mammalian Chromosomal Aberration Test. N,N-dimethylnonanamide was also found to be non-mutagenic in an In Vitro Mammalian Gene Mutation Test both in the presence and absence of metabolic activation.               Reproductive and developmental toxicity. In a Range-finding Study for a Reproduction/Developmental Toxicity Screening on N,N-dimethylnonanamide, no mortality or clinical signs of toxicity were observed.  No treatment-related changes in body weight, feed consumption or absolute and relative organ weights were observed.  The values for the reproductive and developmental parameters examined were similar across groups, including controls.  The NOAEL was 1000 mg/kg/day (the highest dose tested) for systemic, reproductive and developmental toxicity.              In a prenatal development toxicity study on a mixture of the surrogate chemicals N,N-Dimethyldecanamide and N, N-dimethyloctanamide, dams in the high dose group had severe clinical signs of toxicity, reduced body weight gain and reduced food consumption.  Also at the high dose, a slight increase in post-implantation loss, decreased fetal body weights, an increased incidence of the number of fetuses with "common" abnormal skeletal findings and retardations in skeletal development were seen.  The maternal and developmental toxicity NOAEL was considered to be 150 mg/kg/day based on the above findings.

             4. 	Subchronic toxicity. In a Repeated Dose 28-Day Oral Toxicity in Rodents study N,N-dimethylnonanamide, no mortality occurred during the study.  In addition, no clinical signs of toxicity were observed.  No statistically significant effects were observed on body weight, body weight gain or food consumption in males or on food consumption in females.  In females on day 22 only, body weights were statistically decreased at the mid and high dose.  The effects on body weight were considered incidental since statistical effects were not observed at any other time point in the study.  Percent change in body weight was statistically decreased at all time points reported for high dose females.  The effects on % body weight change at the high dose were considered incidental because they were not accompanied by any effects on food consumption.  Ophthalmoscopic examination revealed no treatment-related effects in the groups examined.  The only finding upon neurological/functional examination of the control and high dose main study animals was a statistically significant decrease in hind limb grip strength in high dose females.  In the absence of any other findings in the neurological/functional examination, this finding was considered incidental.  No effects considered to be treatment-related effects were observed on hematology, clinical chemistry or urinalysis parameters.  Various statistically significant findings were observed on absolute and relative organ weights in males and females.  However, in the absence of any histopathology in these organs or any other related effects, these findings were not considered to be toxicologically significant.  No treatment-related microscopic findings were observed.  The NOAEL was 1000 mg/kg/day, the highest dose tested.                             In a 90-Day Oral Toxicity in Nonrodents study on a mixture of the surrogate chemicals N,N-Dimethyldecanamide and N, N-dimethyloctanamide, uncoordinated movements, nasal discharge, lateral/prone position and trembling as well as mortality (2 deaths) were observed at 1000 mg/kg/day dose.  The deaths of the two dogs could have been due to unintentional intratracheal application of the test material which led to bronchopneumonia in one animals and acute edema in the other animals leading to premature sacrifice or death.  No effects were observed on body weight, body weight gain, food consumption, or ophthalmoscopic examinations.  Microsomal liver enzymes were increased in animals at the high dose (N-demethylase and cytochrome P-450).  Alkaline phosphatase was increased in two animals at the high dose.  No other clinical chemistry, hematology or clinical chemistry parameters were affected by treatment.  No treatment-related gross or microscopic findings were observed.  Absolute and relative liver weights were increased in high dose males.  The NOAEL was considered to be 200 mg/kg/day based on clinical signs of toxicity observed at 1000 mg/kg/day.

             5. Chronic toxicity. No Chronic studies were available on N,N-dimethylnonanamide. The open literature was carefully searched (TOXNET, PubMed, Google Scholar and the internet in general) for any information on the potential carcinogenicity of structurally similar compounds and none was located.

              Animal metabolism. The mammalian metabolism may be predicted based on either environmental or bacterial degradation or by analogy to documented studies.                                     Metabolite toxicology. The animal metabolism of this chemistry has not been investigated and metabolites have not been identified. However, based on the plausible metabolic pathways, no metabolites of toxicological concern are expected.

              Endocrine disruption. This class of chemistry does not belong to a class of chemicals known or suspected of having adverse effects on the estrogen receptor or endocrine system.

             C. Aggregate Exposure                            The Agency's previous assessment for N,N-dimethylnonanamide did not identify any concern for dietary (food and drinking water) or for non-dietary exposure. Clariant believes that the use of the requested CAS. Reg. No. under the current descriptor is not expected to increase the exposure profile.

             1. Dietary exposure. Clariant believes the assumptions used to estimate dietary exposures lead to an extremely conservative assessment of dietary risk due to a series of compounded conservatisms. First, assuming that the level of residue for an inert ingredient is equal to the level of residue for the active ingredient will overstate exposure.

             i. Food. In conducting the acute and chronic dietary exposure assessments, EPA used food consumption information from the United States Department of Agriculture (USDA) 1994-1996 and 1998 Nationwide Continuing Surveys of Food Intake by Individuals (CSFII). As to residue levels in food, no residue data was submitted for N,N-dimethylnonanamide.  In the absence of specific residue data, EPA has developed an approach which uses surrogate information to derive upper bound exposure estimates for the subject inert ingredients. Upper bound exposure estimates are based on the highest tolerance for a given commodity from a list of high-use insecticides, herbicides, and fungicides.

             ii. Drinking water. For the purpose of the screening level dietary risk assessment to support this request for an exemption from the requirement of a tolerance for N,N-dimethylnonanamide, a conservative drinking water concentration value of 100 ppb based on screening level modeling was used to assess the contribution to drinking water for both the acute and chronic dietary risk assessments. These values were directly entered into the dietary exposure model.

             2. Non-dietary exposure. A screening level residential exposure and risk assessment was completed for products containing N,N-dimethylnonanamide as inert ingredients. In this assessment, representative scenarios, based on end-use product application methods and labeled application rates, were selected. For each of the use scenarios, the Agency assessed residential handler (applicator) inhalation and dermal exposure for outdoor scenarios with high exposure potential (i.e., exposure scenarios with high end unit exposure values) to serve as a screening assessment for all potential residential pesticides containing N,N-dimethylnonanamide. Similarly, residential post-application dermal and oral exposure assessments were also performed utilizing high end outdoor exposure scenarios.

             D. Cumulative Effects                             		Clariant has not found N,N-dimethylnonanamide to share a common mechanism of toxicity with any other substances, and N,N-dimethylnonanamide does not appear to produce a toxic metabolite produced by other substances. For the purposes of this tolerance action, therefore, Clariant has assumed that N,N-dimethylnonanamide do not have a common mechanism of   toxicity with other substances.

             E. Safety Determination

             1. U.S. population. Determination of safety. Based on these risk assessments, Clariant concludes that there is a reasonable certainty that no harm will result to the general population.

             2. Infants and children. Clariant has determined that reliable data shows the safety of infants and children would be adequately protected.

             F. International Tolerances

             Clariant is not aware of any country requiring a tolerance for N,N-dimethylnonanamide nor have any CODEX Maximum Residue Levels been established for any food crops at this time.


[Federal Register Volume 84, Number 222 (Monday, November 18, 2019)]
[Notices]
[Page 63699]
[FR Doc No: 2019-24868]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-87505; File No. SR-CBOE-2019-040]

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of
Withdrawal of Proposed Rule Change To Amend the Cboe Exchange, Inc. Fee
Schedule To Modify the Options Regulatory Fee

November 12, 2019.
    On August 1, 2019, Cboe Exchange, Inc. (``Cboe'' or ``Exchange'')
filed with the Securities and Exchange Commission (the ``Commission''),
pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ a proposed rule change
(File No. SR-CBOE-2019-040) to modify the amount of its Options
Regulatory Fee (``ORF'').\3\ The proposed rule change was immediately
effective upon filing with the Commission pursuant to Section
19(b)(3)(A) of the Act.\4\ The proposed rule change was published for
comment in the Federal Register on August 14, 2019.\5\ The Commission
received one comment letter, which criticized the proposal.\6\ On
September 30, 2019, pursuant to Section 19(b)(3)(C) of the Act, the
Commission temporarily suspended the proposed rule change and
instituted proceedings under Section 19(b)(2)(B) of the Act to
determine whether to approve or disapprove the proposed rule change.\7\
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 86604 (August 8,
2019), 84 FR 40445 (August 14, 2019) (``Notice'').
    \4\ 15 U.S.C. 78s(b)(3)(A). A proposed rule change may take
effect upon filing with the Commission if it is designated by the
exchange as ``establishing or changing a due, fee, or other charge
imposed by the self-regulatory organization on any person, whether
or not the person is a member of the self-regulatory organization.''
15 U.S.C. 78s(b)(3)(A)(ii).
    \5\ See Notice, supra note 3.
    \6\ See Letter to Vanessa Countryman, Secretary, Commission,
from Ellen Greene, Managing Director, Securities Industry and
Financial Markets Association (``SIFMA''), dated August 27, 2019
(``SIFMA Letter'').
    \7\ See Securities Exchange Act Release No. 87170, 84 FR 53213
(October 4, 2019).
---------------------------------------------------------------------------

    On November 7, 2019, the Exchange withdrew the proposed rule change
(SR-CBOE-2019-040).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\8\
---------------------------------------------------------------------------

    \8\ 17 CFR 200.30-3(a)(12).
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Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019-24868 Filed 11-15-19; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 178 (Friday, September 13, 2013)]
[Notices]
[Pages 56695-56696]
[FR Doc No: 2013-22348]

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ENVIRONMENTAL PROTECTION AGENCY

[FRL-9900-95--Region 5]

Proposed Listing of Additional Waters To Be Included on Indiana's
2010 List of Impaired Waters Under the Clean Water Act

AGENCY: Environmental Protection Agency (EPA).

ACTION: Reopening of comment period.

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SUMMARY: EPA is reopening the comment period for its notice which
announces the availability of EPA's proposed decision identifying water
quality limited segments and associated pollutants in Indiana to be
listed pursuant to the Clean Water Act Section 303(d)(2), and requests
public comment. For additional information regarding this action,
please refer to EPA's original public notice published at 78 Federal
Register 35929 (June 14, 2013), which is available at https://federalregister.gov/a/2013-14192.

DATES: Comments on this document must be received in writing by October
15, 2013.

ADDRESSES: Written comments on this notice may be submitted to Tinka
Hyde, Director, Water Division, Attn: Indiana's 303(d) list, U.S.
Environmental Protection Agency, 77 West Jackson Boulevard, Chicago,
Illinois 60604. Alternatively, comments may be submitted electronically
to the following email address<EMAIL_ADDRESS>
FOR FURTHER INFORMATION CONTACT: Vilma Rivera-Carrero, Watersheds and
Wetlands Branch, at the EPA address noted above or by telephone at
(312) 886-7795.

SUPPLEMENTARY INFORMATION: Additional information related to this
notice can also be found at http://www.epa.gov/region5/water/impairedwatersin/index.html.

    Dated: August 29, 2013.
Tim Henry,
Acting Director, Water Division, EPA Region 5.
[FR Doc. 2013-22348 Filed 9-12-13; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 78, Number 57 (Monday, March 25, 2013)]
[Notices]
[Pages 17975-17982]
[FR Doc No: 2013-06718]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-69178; File No. SR-FINRA-2013-018]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to
FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and
Other Information)

March 19, 2013.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on March 5, 2013, Financial Industry Regulatory Authority, Inc.
(``FINRA'') filed with the Securities and Exchange Commission (``SEC''
or ``Commission'') the proposed rule change as described in Items I,
II, and III below, which Items have been prepared by FINRA. 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\ 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

    FINRA is proposing to amend FINRA Rule 8313 (Release of
Disciplinary Complaints, Decisions and Other Information), which
governs the release of disciplinary and other information by FINRA to
the public. In addition, the proposed rule change would make conforming
amendments to certain rules in the FINRA Rule 9000 Series (Code of
Procedure) and add a provision to FINRA Rule 9268 (Decision of Hearing
Panel or Extended Hearing Panel) regarding the effective date of
sanctions.
    The text of the proposed rule change is available on FINRA's Web
site at http://www.finra.org, at the principal office of FINRA 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, FINRA included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. FINRA has prepared summaries, set forth in sections A,
B, and C below, of the most significant aspects of such statements.

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

1. Purpose
    Rule 8313 (Release of Disciplinary Complaints, Decisions and Other
Information) governs the release of disciplinary and other information
by FINRA to the public. Among other things, the proposed rule change
would amend Rule 8313 to establish general standards for the release of
disciplinary information to the public to provide greater information
regarding FINRA's disciplinary actions, clarify the scope of
information subject to Rule 8313, and eliminate provisions that do not
address the release of information by FINRA to the public. In addition,
the proposed rule change would make conforming amendments to certain
rules in the FINRA Rule 9000 Series (Code of Procedure) and add a
provision to FINRA Rule 9268 (Decision of Hearing Panel or Extended
Hearing Panel) regarding the effective date of sanctions. The proposed
rule change is described in detail below.
A. Disciplinary Complaints and Disciplinary Decisions
    Rule 8313(a) currently provides that in response to a request,
FINRA shall release any identified disciplinary complaint or
disciplinary decision issued by FINRA (or any subsidiary or Committee
thereof) to the requesting party. Absent a specific request for an
identified complaint or decision, the rule provides publicity
thresholds for the release of information with respect

to disciplinary complaints and disciplinary decisions to the public.\3\
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    \3\ Rule 8313 provides for the release of ``information with
respect to'' disciplinary complaints and decisions in light of
FINRA's practice to issue, in addition to the complaints or
decisions themselves, information, for example, in press releases or
summaries of complaints and decisions that meet the current
publicity thresholds, or are otherwise permitted to be released
under the rule.
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    Under the publicity thresholds for disciplinary complaints in
current Rule 8313(b)(1), FINRA shall release to the public information
with respect to any disciplinary complaint that contains an allegation
of a violation of a ``designated'' statute, rule, or regulation of the
SEC, FINRA, or the Municipal Securities Rulemaking Board (``MSRB''), as
determined by the FINRA Regulation Board of Directors.\4\ In addition,
FINRA may release to the public information with respect to any
complaint or group of complaints that involves a significant policy or
enforcement determination where release of the information is deemed by
FINRA's Chief Executive Officer (``CEO'') (or such other senior officer
as the CEO may designate) to be in the public interest.
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    \4\ FINRA has identified such rules in Notice to Members 97-42
(July 1997).
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    Under the publicity thresholds for disciplinary decisions in
current Rule 8313(c)(1), FINRA shall release to the public information
with respect to any disciplinary decision that: (1) Imposes a
suspension, cancellation, or expulsion of a member; (2) imposes a
suspension or revocation of the registration of an associated person;
(3) imposes a suspension or bar of a member or associated person from
association with all members; (4) imposes monetary sanctions of $10,000
or more upon a member or associated person; or (5) contains an
allegation of a violation of a designated rule. As is the case with
disciplinary complaints, FINRA may release information with respect to
any disciplinary decision or group of decisions that involves a
significant policy or enforcement determination where its release is
deemed by FINRA's CEO, or his or her designee, to be in the public
interest. Rule 8313(c)(1) also currently contains an omnibus provision
that permits FINRA to release information on any disciplinary or other
decision issued pursuant to the Rule 9000 Series not specifically
enumerated, regardless of the sanctions imposed, with redacted names of
the parties and other identifying information. Rules 8313(c)(1)(A) and
(c)(1)(B) currently set forth redaction standards for the release of
information with respect to disciplinary decisions where only certain
respondents in a decision on appeal meet one or more of the publicity
thresholds, or where an underlying Office of Hearing Officers (``OHO'')
decision meets a publicity threshold, but a later National Adjudicatory
Council (``NAC'') decision on the matter does not meet a threshold.
    In May 2011, FINRA launched its FINRA Disciplinary Actions online
database (``FDA'') to provide interested parties with greater access to
information regarding FINRA's disciplinary actions.\5\ The FDA contains
copies of FINRA disciplinary actions (dating back to early 2005) that
are eligible for publication under Rule 8313. Interested parties may
access disciplinary complaints and disciplinary decisions in the FDA to
obtain copies of actions they may be interested in regarding a specific
firm or associated person as well as obtaining copies of actions that
involve a variety of different areas of interest, including specific
rule or statutory violations, products or business lines, or
supervisory and compliance practices. Interested parties may search the
database by entering search criteria, such as an individual's name,
firm name, case number, date range, document type, document text (e.g.,
such terms as rules citations, product types, sanction, etc.) or CRD
number.\6\ However, the disciplinary information available for
publication in the FDA (or otherwise available for release by FINRA)
currently is limited by the publicity thresholds in Rule 8313.
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    \5\ The FDA is available at http://www.finra.org/Industry/Enforcement/DisciplinaryActions/FDAS/.
    \6\ The FDA also includes decisions issued by the SEC and
federal appellate courts that relate to FINRA disciplinary actions
that have been appealed.
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    To further increase access to information regarding FINRA's
disciplinary actions, the proposed rule change would eliminate the
restrictions to publication of the specified actions by eliminating the
publicity thresholds in Rules 8313(b)(1) and (c)(1) as well as the
provision addressing the release of ``identified'' disciplinary
complaints and disciplinary decisions in Rule 8313(a).\7\ In their
place, the proposed rule change would adopt general standards for the
release of disciplinary complaints, disciplinary decisions, and other
information to the public.\8\ Specifically, proposed Rule 8313(a)(1)
would provide that FINRA shall release to the public a copy of, and at
FINRA's discretion information with respect to, any disciplinary
complaint or disciplinary decision issued by FINRA.\9\ Subject to
limited exceptions discussed below, FINRA would release such
information in unredacted form.
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    \7\ Notwithstanding the proposed elimination of the provision in
Rule 8313(a) addressing the release of identified complaints and
decisions to a requesting party, FINRA will continue to respond to
requests for, and provide access to, identified complaints and
decisions.
    \8\ In light of the elimination of the publicity thresholds, the
proposed rule change also would delete from Rule 8313 the redaction
standards made necessary by the publicity thresholds in current
paragraphs (c)(1)(A) and (c)(1)(B).
    \9\ The proposed rule change would eliminate as unnecessary
references to ``groups of'' disciplinary complaints and disciplinary
decisions. See Rule 8313(b)(1) and (c)(1). FINRA does not view the
proposed rule change as distinguishing between the release of
individual, versus groups of, disciplinary complaints and
disciplinary decisions.
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    In general, FINRA believes that greater access to information
regarding its disciplinary actions provides valuable guidance and
information to members, associated persons, other regulators, and
investors. Releasing detailed disciplinary information to the public
can serve to deter and prevent future misconduct and to improve overall
business standards in the securities industry. It also allows investors
to consider firms' and representatives' disciplinary histories when
considering whether to engage in business with them. In addition, firms
may use such information to educate their associated persons as to
compliance matters, highlighting potential violations and related
sanctions, as well as informing the firms' compliance procedures
involving similar business lines, products, or industry practices.
Further, any firm or individual facing allegations of rule violations
may access existing disciplinary decisions to gain greater insight on
related facts and sanctions.
    FINRA also believes that the current publicity thresholds in Rule
8313(c) have created an inconsistency in FINRA's release of information
given that information that may not be disclosed under the current rule
is often publicly available through other sources. For example, the
proposed rule change would allow FINRA to make available in the FDA (or
otherwise) disciplinary information that is available in BrokerCheck,
but is not eligible for publication by FINRA under the current
publicity thresholds.\10\ Specifically, the disclosure questions in
Section 14 of Form U4, among other things, require the reporting of
regulatory complaints alleging, and any findings of, a violation of
self-regulatory organization rules. As such, BrokerCheck reports may
include

unredacted summary information regarding a FINRA disciplinary action
that FINRA is not permitted to release in the monthly notice of
Disciplinary and Other FINRA Actions or in the FDA under the current
publicity thresholds.
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    \10\ The information about members and registered persons made
available through BrokerCheck is derived from the Central
Registration Depository (CRD[supreg]). Information in the CRD system
is obtained through the uniform registration forms (i.e., Forms U4,
U5, and U6, and Forms BD, BDW, and BR).
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    The proposed general standard for disciplinary complaints and
disciplinary decisions also would better align FINRA's publication
standards with the practices of the SEC and other regulators. The SEC
publishes on its Web site copies of enforcement actions, including
administrative proceedings and complaints filed in federal court,
regardless of the type or nature of sanctions imposed. FINRA believes
that to avoid confusion, the availability of disciplinary information
generally should not differ among regulators. Interested parties should
be able to review comparable disciplinary complaints and decisions
irrespective of the forum in which the case is brought or the type or
nature of sanctions imposed.
    FINRA notes that, in general, copies of and information with
respect to disciplinary complaints and disciplinary decisions would be
released to the public through the FDA and FINRA's monthly notice of
Disciplinary and Other FINRA Actions. If a disciplinary complaint
posted in the FDA is dismissed or withdrawn, the order dismissing or
withdrawing the complaint would accompany the complaint. With respect
to the issuance of press releases in connection with disciplinary
complaints, FINRA would retain its current practice of only issuing
press releases in those situations where there is a significant policy
or investor protection reason to do so.
    The proposed rule change also would clarify the scope of Rule 8313
by defining the terms ``disciplinary complaint'' and ``disciplinary
decision.'' \11\ For the purpose of the rule, the term ``disciplinary
complaint'' would mean any complaint issued pursuant to the Rule 9200
Series (Disciplinary Proceedings), and the term ``disciplinary
decision'' would mean any decision issued pursuant to the Rule 9000
Series, including decisions issued by the OHO, the NAC, or the FINRA
Board (``Board''), orders accepting offers of settlement, and Letters
of Acceptance, Waiver and Consent (``AWCs''). The term disciplinary
decision would not include decisions issued pursuant to the Rule 9550
Series (Expedited Proceedings), Rule 9600 Series (Procedures for
Exemptions), Rule 9700 Series (Procedures on Grievances Concerning the
Automated Systems), or Rule 9800 Series (Temporary Cease and Desist
Orders), or decisions, notifications, or notices issued pursuant to the
Rule 9520 Series (Eligibility Proceedings), which are addressed by
separate provisions in proposed Rule 8313.\12\ The proposed rule change
would clarify that consistent with current practice, minor rule
violation plan (``MRVP'') letters issued pursuant to Rule 9216
(Acceptance, Waiver, and Consent; Plan Pursuant to SEA Rule 19d-
1(c)(2)) and Rule 9217 (Violations Appropriate for Disposition Under
Plan Pursuant to SEA Rule 19d-1(c)(2)) are not subject to Rule 8313.
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    \11\ See proposed Rule 8313(e).
    \12\ See proposed Rules 8313(a)(2), (a)(3), and (a)(5).
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B. Temporary Cease and Desist Orders (``TCDOs'')
    Rule 8313(c)(1) currently states that FINRA shall release to the
public information with respect to any TCDO. The proposed rule change
would adopt this provision with minor changes in proposed Rule
8313(a)(2) to provide that FINRA shall release to the public a copy of,
and at FINRA's discretion information with respect to, any order or
decision issued by FINRA under the Rule 9800 Series, which addresses
TCDOs.
C. Statutory Disqualification Decisions
    Rule 8313 currently does not specifically address the release of
statutory disqualification decisions to the public. Pursuant to the
omnibus provision in Rule 8313(c)(1), discussed above, FINRA currently
releases information on statutory disqualification decisions issued by
the NAC pursuant to the Rule 9520 Series with the names of members and
associated persons redacted. Under proposed Rule 8313(a)(2), FINRA
would release to the public unredacted copies of, and at FINRA's
discretion information with respect to, statutory disqualification
decisions, notifications, and notices issued pursuant to the Rule 9520
Series by either the NAC or FINRA's Member Regulation Department
(``Member Regulation'') that will be filed with the SEC.\13\
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    \13\ All statutory disqualification decisions issued by the NAC
are filed with the SEC. In contrast, depending on the nature of the
disqualifying event, Member Regulation may or may not have to file a
notice of its approval of an application for relief (referred to as
a 19h-1 notice or notification) with the SEC. For example, Member
Regulation may approve the association of a person without filing a
19h-1 notice or notification with the SEC when the disqualifying
event consists of an injunction that was entered more than 10 years
ago. See also Exchange Act Rule 19h-1.
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    As discussed above in the context of disciplinary complaints and
disciplinary decisions, FINRA believes that subject to limited
exceptions, information should be released to the public in unredacted
form. Under the current publicity rule, FINRA releases information
regarding the underlying conduct that led to a statutory
disqualification, and the safeguards imposed, including restrictions on
permissible activities and heightened supervisory plans; however, FINRA
does not disclose the identity of the statutorily disqualified
individuals or member firms. The proposed rule change would provide for
the release of such identities because FINRA believes that it would
provide investors with valuable information about the individuals and
firms with whom they conduct business. Further, to the extent that
information regarding the underlying conduct that results in an
individual or firm being subject to a statutory disqualification
decision is reported to the CRD system, identifying information
regarding such individuals and firms is available in BrokerCheck.
D. Expedited Proceeding Decisions
    Rules 9552 through 9558\14\ provide a procedural mechanism for
FINRA to address certain types of misconduct (e.g., a failure to pay
fees or dues or a failure to meet eligibility or qualification
standards) more expeditiously than would be possible using the FINRA
disciplinary process. Rule 9559 (Hearing Procedures for Expedited
Proceedings Under the Rule 9550 Series) allows member firms and
associated persons to request a hearing regarding the action that often
results in a stay of the sanction or limitation. Rule 8313(c)(1)
currently states that FINRA may release to the public information with
respect to any expedited proceeding decision issued pursuant to the
Rule 9550 Series imposing a suspension or cancellation of a member, or
a suspension or bar of the association of a person with a member,
unless FINRA determines otherwise. Separately, the ``Notice to
Membership'' provisions in Rules 9552, 9553, 9554, 9555, 9556, 9558,
and 9559 currently

state that FINRA shall provide notice of any final FINRA action taken
under the rules in the next notice of Disciplinary and Other FINRA
Actions. The Notice to Membership provision in Rule 9557 requires
notice when FINRA imposes a suspension pursuant to the rule, but does
not reference final FINRA action because the procedural mechanisms in
Rule 9557 differ from the other rules in the expedited proceedings
series.
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    \14\ See Rule 9552 (Failure to Provide Information or Keep
Information Current), Rule 9553 (Failure to Pay FINRA Dues, Fees and
Other Charges), Rule 9554 (Failure to Comply with an Arbitration
Award or Related Settlement or an Order of Restitution or Settlement
Providing for Restitution), Rule 9555 (Failure to Meet the
Eligibility or Qualification Standards or Prerequisites for Access
to Services), Rule 9556 (Failure to Comply with Temporary and
Permanent Cease and Desist Orders), Rule 9557 (Procedures for
Regulating Activities Under Rules 4110, 4120 and 4130 Regarding a
Member Experiencing Financial or Operational Difficulties), and Rule
9558 (Summary Proceedings for Actions Authorized by Section
15A(h)(3) of the Exchange Act).
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    The proposed rule change would consolidate the publication
standards for expedited proceeding decisions in proposed Rule
8313(a)(3). Consistent with the current Rule 9550 Series and FINRA
practice, the proposed rule would provide that FINRA shall release to
the public information with respect to any suspension, cancellation,
expulsion, or bar that constitutes final FINRA action imposed pursuant
to Rules 9552, 9553, 9554, 9555, 9556, and 9558, and information with
respect to any suspension imposed pursuant to Rule 9557. FINRA also
shall release a copy of, and information with respect to, any decision
issued pursuant to Rule 9559 that constitutes final FINRA action.
Accordingly, the proposed rule change would delete the ``Notice to
Membership'' provisions in Rules 9552 through 9559. In general,
information with respect to expedited proceeding decisions would
continue to be published in FINRA's monthly notice of Disciplinary and
Other FINRA Actions.
E. Summary Actions
    Rule 8313 currently does not specifically address the release of
information regarding summary actions taken by FINRA pursuant to Rule
8320 (Payment of Fines, Other Monetary Sanctions, or Costs; Summary
Action for Failure to Pay); however, FINRA generally releases summary
information with respect to such actions in its monthly notice of
Disciplinary and Other FINRA Actions. To codify FINRA practice,
proposed Rule 8313(a)(3) would expressly provide that FINRA shall
release to the public information with respect to the summary
suspension or expulsion of a member or the summary revocation of the
registration of a person associated with a member for a failure to pay
fines, other monetary sanctions, or costs pursuant to Rule 8320. FINRA
believes that it is in the public interest to provide notice that a
member or a registered person is subject to sanctions by FINRA and may
not have the authority to conduct business with customers or the
public. In general, such information would continue to be published in
FINRA's monthly notice of Disciplinary and Other FINRA Actions.
F. Membership and Continuing Membership Application (``MAP'') Appeals
    Rule 8313(l) currently provides that FINRA shall release to the
public, in the form issued by the NAC, information with respect to any
MAP appeal decision issued by the NAC pursuant to NASD Rule 1015
(Review by National Adjudicatory Council). The NAC in its discretion
may redact certain information from such decisions prior to their
issuance.
    The proposed rule change would adopt this provision as proposed
Rule 8313(a)(4) with changes to, among other things, reflect FINRA's
practice with respect to the release of MAP appeal decisions in
redacted form. The proposed rule change also would clarify that the
release to the public of MAP appeal decisions issued by the Board
pursuant to NASD Rule 1016 (Discretionary Review by FINRA Board) are
governed by the publicity rule. Proposed Rule 8313(a)(4) would provide
that FINRA shall release to the public a copy of, and at FINRA's
discretion information with respect to, any MAP appeal decision issued
by FINRA pursuant to NASD Rules 1015 and 1016. Copies of, and
information with respect to, such decisions shall be released to the
public in redacted form; provided, however, the NAC or the Board, in
its discretion, may determine to release such decisions and information
in unredacted form.
    FINRA believes that continuing the practice of redacting MAP appeal
decisions is appropriate given that as part of the MAP process,
applicants typically are required to disclose, among other things,
proprietary information, including business plans, financial plans, and
commercial agreements. In addition, denials of MAP applications often
are related to firms' capacity limitations or similar operational
concerns. Thus, FINRA believes that, as a general matter, the potential
harm to firms in releasing denial decisions in unredacted form would
not be outweighed by any investor protection benefit.
G. Permissive Publication of Certain Decisions and Notices
    The proposed rule change would add a new provision in proposed Rule
8313(a)(5) that would permit FINRA to release to the public a copy of,
and information with respect to, any decision or notice issued pursuant
to Rule 6490 (Processing of Company-Related Actions),\15\ the Rule 9600
Series (Procedures for Exemptions),\16\ the Rule 9700 Series
(Procedures on Grievances Concerning the Automated Systems),\17\ and
any other decision appealable to the SEC under Exchange Act Section
19(d). FINRA is proposing permissive publication for items issued under
Rule 6490 and the Rule 9700 Series because FINRA does not publish these
decisions or notices on a wholesale basis; however, FINRA may determine
that there is public benefit to releasing a specific decision or notice
issued under these rules to provide guidance to other firms or to alert
the public to an investor protection issue.\18\
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    \15\ Under Rule 6490, FINRA's Operations Department reviews and
processes documents related to announcements for Exchange Act Rule
10b-17 Actions and Other Company-Related Actions to facilitate the
orderly trading and settlement of OTC securities.
    \16\ The Rule 9600 Series allows a member seeking exemptive
relief, as permitted under certain FINRA and NASD rules and MSRB
Rule G-37, to file a written application with the appropriate
department or staff of FINRA. The proposed rule change would make
conforming amendments to Rule 9620, which governs exemption
decisions issued under the Rule 9600 Series, to reflect the
permissive nature of proposed Rule 8313(a)(5).
    \17\ The Rule 9700 Series sets forth procedures for redress for
persons aggrieved by the operations of any automated quotation,
execution, or communication system owned or operated by FINRA, or
its subsidiaries, and approved by the SEC, not otherwise provided
for by the FINRA rules.
    \18\ In general, FINRA is not in the practice of releasing
copies of, or information with respect to, decisions or notices
addressing company-related actions or grievances concerning the
automated systems.
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    With respect to exemption decisions, the proposed rule change would
permit, but not require, exemption decisions issued under the Rule 9600
Series to be released to the public because Rule 9610, which governs
the application for exemptive relief, authorizes members to request
relief from a diverse set of member conduct rules that have differing
benefits to publication. Today, FINRA posts to its Web site exemption
decisions for several rules listed in Rule 9610, in large part, to
provide guidance to members, investors, and other interested parties to
assist them in understanding the rationale for the decisions to grant
or deny requests for exemptive relief.\19\
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    \19\ Consistent with current practice under the Rule 9600
Series, FINRA will continue to consider statements included by an
applicant to show good cause to treat a decision as confidential in
whole or in part.
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    The proposed rule change broadly would provide for the release of
``any other decision'' appealable to the SEC under Exchange Act Section
19(d) to avoid the need to make future amendments to Rule 8313 in the
event of additional rulemaking that results in FINRA issuing decisions
that may be

appealed to the SEC under Exchange Act Section 19(d).
H. Publication of Information Deemed by FINRA's CEO To Be in the Public
Interest
    As stated above, notwithstanding the existing publicity thresholds,
FINRA Rules 8313(b)(1) and (c)(1) currently allow FINRA to release
information with respect to any disciplinary complaint or disciplinary
decision that involves a significant policy or enforcement
determination where the release of such information is deemed by
FINRA's CEO to be in the public interest. Consistent with these
provisions, proposed Rule 8313(a)(6) would provide that FINRA may
release to the public a copy of, and information with respect to, any
complaint, decision, order, notification, or notice issued under FINRA
rules, where the release of such information is deemed by FINRA's CEO
(or such other senior officer as the CEO may designate) to be in the
public interest, in such format as he or she finds appropriate. FINRA
is proposing to retain the provision providing FINRA's CEO with
discretion to release additional information to address instances in
which publication is not otherwise permitted under Rule 8313, but the
release of information is deemed by the CEO to be in the public
interest. For example, this would allow the CEO to release notices
issued under the expedited proceedings rules that do not involve a
suspension, cancellation, expulsion, or bar, such as notices of
limitations imposed under FINRA's financial rules pursuant to Rule
9557.
I. Release Specifications
    Rule 8313 currently requires copies of, and information with
respect to, disciplinary complaints and disciplinary decisions released
to the public to be accompanied by certain disclosure statements
regarding their status. FINRA requires these disclosures so that
disciplinary complaints and disciplinary decisions released to the
public are viewed in an appropriate context and to provide adequate
protections to the parties named in the complaint or decision. Rules
8313(a)(1) and (b)(2) currently require that disciplinary complaints
and information with respect to disciplinary complaints released to the
public be accompanied by the following statement: ``The issuance of a
disciplinary complaint represents the initiation of a formal proceeding
by FINRA in which findings as to the allegations in the complaint have
not been made and does not represent a decision as to any of the
allegations contained in the complaint. Because this complaint is
unadjudicated, you may wish to contact the respondent before drawing
any conclusions regarding the allegations in the complaint.''
    The proposed rule change would retain in Rule 8313(b)(1) a modified
version of the disclosure statement for copies of, and information with
respect to, disciplinary complaints. Proposed Rule 8313(b)(1) would
provide that copies of, and information with respect to, any
disciplinary complaint released to the public pursuant to Rule 8313(a)
shall indicate that a disciplinary complaint represents the initiation
of a formal proceeding by FINRA in which findings as to the allegations
in the complaint have not been made and does not represent a decision
as to any of the allegations contained in the complaint. FINRA believes
that copies of, and information with respect to, disciplinary
complaints released to the public should continue to be accompanied by
a disclosure statement that alerts recipients that the alleged
violations contained in FINRA's complaint have not resulted in a
decision or finding against the respondent.
    Similarly, Rules 8313(a)(2) through (a)(4) and (c)(2) currently
require copies of, and information with respect to, disciplinary
decisions released to the public to be accompanied by disclosure
statements. Under the current rule, a disciplinary decision released
prior to the expiration of the time period provided under the Rule 9000
Series for appeal or call for review within FINRA or while such an
appeal or call for review is pending must be accompanied by a statement
that the findings and sanctions imposed in the decision may be
increased, decreased, modified, or reversed by FINRA. In addition, a
final decision of FINRA that is released prior to the time period
provided under the Exchange Act for appeal to the SEC or while such an
appeal is pending must be accompanied by a statement that the findings
and sanctions of FINRA are subject to review and modification by the
SEC. And, a final decision of FINRA that is released after the decision
is appealed to the SEC must be accompanied by a statement as to whether
the effectiveness of the sanctions has been stayed pending the outcome
of proceedings before the SEC.
    The proposed rule change would consolidate and streamline the
disclosure statements for copies of, and information with respect to,
disciplinary decisions and would expand the statement to cover other
items released to the public pursuant to proposed Rule 8313(a).
Proposed Rule 8313(b)(2) would provide that copies of, and information
with respect to, any disciplinary decision or other decision, order,
notification, or notice released to the public pursuant to Rule 8313(a)
prior to the expiration of the time period provided for an appeal or
call for review as permitted under FINRA rules or the Exchange Act, or
while such an appeal or call for review is pending, shall indicate that
the findings and sanctions imposed therein are subject to review and
modification by FINRA or the SEC. FINRA believes that accompanying
copies of, and information with respect to, disciplinary decisions
released to the public with a disclosure statement provides necessary
context to a non-final disciplinary action and alerts persons viewing
such information as to the status of these actions. In addition, FINRA
believes that the proposed consolidation and expansion of the
disclosure statements in Rule 8313 serve to facilitate the release of
disciplinary information to the public electronically in the FDA
because such disclosure will be clearly indicated in the FDA, but will
not accompany each complaint or decision.
J. Discretion To Redact Certain Information or Waive Publication
    As noted above, FINRA has determined that subject to limited
exceptions, disciplinary information should be released to the public
in unredacted form. However, FINRA believes it is necessary in
releasing information to the public to balance investor protection
benefits with the harm that may result if certain confidential customer
information or information that raises personal safety or privacy
concerns is released to the public. Accordingly, the proposed rule
change would add a new provision in proposed Rule 8313(c)(1) that would
permit FINRA, notwithstanding the requirements of proposed Rule
8313(a), to redact, on a case-by-case basis, information that contains
confidential customer information, including customer identities, or
information that raises significant identity theft, personal safety, or
privacy concerns that are not outweighed by investor protection
concerns. FINRA takes the same approach with respect to the release of
information in BrokerCheck.\20\ The proposed rule change aims to
broaden the types and, on balance, the amount

of information released by FINRA to the public to establish a
principled basis for disclosure that meets FINRA's investor protection
objectives, yet fairly addresses privacy interests.
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    \20\ See Rule 8312(d) (FINRA BrokerCheck Disclosure) (FINRA
reserves the right to exclude on a case-by-case basis, information
that contains confidential customer information, offensive or
potentially defamatory language or information that raises
significant identity theft, personal safety or privacy concerns that
are not outweighed by investor protection concerns).
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    Similarly, the proposed rule change would adopt with minor changes
a statement from current Rule 8313(c)(1) that provides FINRA with
discretion to waive the requirement to release a disciplinary or other
decision under those extraordinary circumstances where the release of
such information would violate fundamental notions of fairness or work
an injustice. The proposed rule change would expand this provision to
give FINRA discretion to waive the requirement to release any item
under paragraph (a) of the proposed rule. Accordingly, proposed Rule
8313(c)(2) would provide that notwithstanding paragraph (a) of the
proposed rule, FINRA may determine, in its discretion, to waive the
requirement to release a copy of, or information with respect to, any
disciplinary complaint, disciplinary decision or other decision, order,
notification, or notice under those extraordinary circumstances where
the release of such information would violate fundamental notions of
fairness or work an injustice.
    FINRA believes it should retain the discretion to waive the
requirement to release information under the proposed rule in the event
FINRA is presented with truly unique circumstances where the release of
information would violate fundamental notions of fairness or work an
injustice. FINRA does not believe that decisions should be treated
differently than other items that are required to be released under
paragraph (a) of the proposed rule.
K. Notification of Appeals of FINRA Decisions
    Rule 8313(g) currently requires FINRA to provide notice to the
membership and the press that a FINRA disciplinary decision that meets
certain publicity thresholds is appealed to the SEC. The notice must be
released as soon as possible after the SEC notifies FINRA of such
appeal and it must state whether the effectiveness of the Board's
decision has been stayed pending the outcome of proceedings before the
SEC. The proposed rule change would adopt this provision with minor
changes as proposed Rule 8313(d), eliminating the publicity thresholds
and the limitation on notification to the membership and the press.
    Proposed Rule 8313(d) would state that FINRA shall provide notice
to the public if a disciplinary decision of FINRA is appealed to the
SEC and the notice shall state whether the effectiveness of the
decision has been stayed pending the outcome of proceedings before the
SEC. FINRA provides notification of appeals to the SEC, including
information regarding whether sanctions imposed have been stayed during
the pendency of the appeal, in the monthly notice of Disciplinary and
Other FINRA Actions. FINRA also intends to indicate whether a
disciplinary decision available in the FDA has been appealed to the SEC
so that parties using the FDA are clear as to the status of the
disciplinary decision. In addition, FINRA notes that the FDA includes
decisions issued by the SEC that relate to FINRA disciplinary actions
that have been appealed.
    Rule 8313(h) currently requires FINRA to provide notice to the
membership in the event an appeal to the courts is filed from an SEC
disciplinary decision in a case previously appealed to it from a FINRA
decision that meets certain publicity thresholds. The notice must be
provided as soon as possible after FINRA receives a formal notice of
appeal and must include a statement whether the order of the SEC has
been stayed. The proposed rule change would delete Rule 8313(h) because
it limits notice to the membership based on the publicity thresholds
that would be eliminated under the proposed rule change, and
notification of an appeal to the courts from an SEC disciplinary
decision is best addressed by the SEC. FINRA notes that the FDA
includes decisions issued by federal appellate courts that relate to
FINRA disciplinary actions that have been appealed.
    Rule 8313(i) currently provides that any order issued by the SEC
imposing sanctions or fines on a member that meet certain publicity
thresholds must be released to the public through a notice containing
the effective date thereof. The order must be released to the public as
soon as possible after FINRA receives the SEC's order. The proposed
rule change would delete paragraph (i) because it limits notice based
on the publicity thresholds that would be eliminated under the proposed
rule change, and the release of SEC orders to the public is best
addressed by the SEC.
L. Provisions Outside the Scope of Rule 8313
    To clarify the scope of Rule 8313, the proposed rule change would
eliminate provisions that are outside the purview of the rule, which is
intended solely to address the release of disciplinary and other
information by FINRA to the public. Rules 8313(d) and (e) currently
address when certain disciplinary decisions become effective. Rule
8313(d) states, if a decision issued pursuant to the Rule 9000 Series
other than by the NAC is not appealed to or called for review by the
NAC, the decision shall become effective on a date set by FINRA but not
before the expiration of 45 days after the date of the decision. The
proposed rule change would delete Rule 8313(d) because it addresses the
effective date of certain disciplinary decisions rather than the
release of disciplinary information to the public.
    The proposed rule change would move the rule language regarding the
effectiveness of sanctions to Rule 9268 (Decision of Hearing Panel or
Extended Hearing Panel), which addresses hearing panel decisions,
including their content and to whom they are disseminated. Proposed
Rule 9268(f) (Effectiveness of Sanctions) would provide that unless
otherwise provided in the majority decision issued under Rule 9268(a):
(1) A sanction (other than a bar or an expulsion) specified in a
decision constituting final disciplinary action of FINRA for purposes
of Exchange Act Rule 19d-1(c)(1) shall become effective on a date to be
determined by FINRA; and (2) a bar or an expulsion specified in a
decision shall become effective immediately upon the decision becoming
the final disciplinary action of FINRA for purposes of Exchange Act
Rule 19d-1(c)(1).\21\
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    \21\ The proposed rule change would make conforming amendments
to Rule 9268(b)(6).
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    The proposed rule change would clarify the process for when
sanctions imposed in a hearing panel decision become effective in a
substantially similar format to the parallel provision for decisions
issued by the NAC or the FINRA Board in Rule 9360 (Effectiveness of
Sanctions). Although the language in proposed Rule 9268(f) differs
slightly from Rule 8313(d), the timing for the effectiveness of
sanctions would remain unchanged. When a hearing panel decision imposes
a bar or expulsion that sanction becomes effective if the case is not
appealed or called for review. A respondent or FINRA's Departments of
Enforcement or Market Regulation have [sic] 25 days after service of a
decision to appeal a decision issued pursuant to Rule 9268 or Rule 9269
(Default Decisions). The NAC has 45 days to call a case for review;
therefore, a bar imposed in a hearing panel decision that is not
appealed or called for review takes effect after 45 days from the date
the decision is issued. When a hearing

panel decision imposes any other sanction (and does not set a date for
the sanction to take effect), if there is no appeal or call for review,
the sanctions will take effect on a date determined by FINRA.
    Rule 8313(e) states that notwithstanding paragraph (d) of the rule,
expulsions and bars imposed in AWCs and settlements shall become
effective upon approval or acceptance by the NAC and information
regarding any sanctions imposed may be released to the public
immediately upon such approval or acceptance. The proposed rule change
would eliminate paragraph (e) as unnecessary because paragraph (a) of
the proposed rule would govern the publication of AWCs and settlements,
and AWC and settlement documents address the effective dates for the
sanctions imposed pursuant to such decisions.
    Rule 8313(f) currently provides that a decision called for review
by the Board shall be stayed pending a final determination by the
Board. The proposed rule change would delete paragraph (f) because it
does not address publication standards and whether a finding is stayed
pending a decision by the Board, or otherwise, is governed by the
appropriate provision(s) in the Rule 9000 Series.
    In addition, the proposed rule change would eliminate Rule 8313(j),
which states that cancellations of membership or registration pursuant
to the FINRA By-Laws and rules shall be released to the public as soon
after the effective date of the cancellation as possible. The proposed
rule change would delete paragraph (j) as unnecessary because decisions
regarding such sanctions would be released to the public pursuant to
paragraph (a) of the proposed rule, and it is standard FINRA practice
to release information in a timely and efficient manner.
    Finally, the proposed rule change would delete as unnecessary Rule
8313(k), which provides that information released to the public must
identify the rules violated, describe the conduct constituting such
violation, and may also identify the member with which an individual
was associated at the time the violations occurred if such
identification is determined by FINRA to be in the public interest.
FINRA notes that it is standard practice for this information to be
included in disciplinary items released to the public and FINRA intends
to continue this practice under the proposed rule.
    FINRA will announce the effective date of the proposed rule change
in a Regulatory Notice to be published no later than 60 days following
Commission approval. The effective date will be no later than 120 days
following publication of the Regulatory Notice announcing Commission
approval. The proposed rule change would apply prospectively beginning
on the effective date established by FINRA following Commission
approval. Once effective, the proposed rule change will govern the
release of disciplinary and other information for all new and pending
matters.\22\
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    \22\ Offers of settlement and AWCs are entered into with the
express agreement that the publication of such items will be
pursuant to Rule 8313. Accordingly, publication of any order
accepting an offer of settlement or AWC entered into prior to the
effective date of the proposed rule change would be governed by the
version of the rule in effect as of the date of such offer or AWC.
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2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\23\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. The proposed amendments aim to provide clarity and
consistency regarding the release by FINRA of disciplinary and other
information to the public. To that end, the proposed rule change would
establish general standards for the release of disciplinary information
to the public to provide greater access to information regarding
FINRA's disciplinary actions, clarify the scope of information subject
to Rule 8313, and eliminate provisions that do not address the release
of information by FINRA to the public. FINRA believes that greater
access to information regarding its disciplinary actions provides
valuable guidance and information to members, associated persons, other
regulators, and the investing public.
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    \23\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------

    FINRA also believes that the current publicity thresholds have
created an inconsistency in FINRA's release of information given that
information that may not be disclosed under the current rule is often
publicly available through other sources. For example, the proposed
rule change would allow FINRA to make available in the FDA (or
otherwise) disciplinary information that is available in BrokerCheck,
but is not eligible for publication by FINRA under the current
publicity thresholds, and would better align FINRA's publication
standards with the practices of the SEC and other regulators.

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

    FINRA does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act. FINRA does not believe that the
proposed rule change will have a significant negative impact on members
and associated persons or impose new costs. Rather, FINRA believes that
the proposed rule change may have a positive impact on members,
associated persons, other regulators, and investors because greater
access to information regarding FINRA's disciplinary actions provides
valuable guidance and information to all parties.
    Among other things, FINRA is proposing to eliminate the
restrictions to publication in the current rule by eliminating the
publicity thresholds because releasing detailed disciplinary
information to the public can serve to deter and prevent future
misconduct and to improve overall business standards in the securities
industry. It also allows investors to consider firms' and
representatives' disciplinary histories when considering whether to
engage in business with them. In addition, firms may use such
information to educate their associated persons as to compliance
matters, highlighting potential violations and related sanctions and
inform their own compliance procedures. Further, any firm or individual
facing allegations of rule violations may access existing disciplinary
decisions to gain greater insight on related facts and sanctions.
Moreover, FINRA does not anticipate that the proposed rule change will
negatively impact members, associated persons, or investors because
information that may not be disclosed under the current rule is often
already publicly available through other sources such as BrokerCheck.
    FINRA considered continuing its current practice of redacting
identifying information regarding statutorily disqualified individuals
and member firms in statutory disqualification decisions released to
the public. However, FINRA is proposing to release such information
unredacted because it determined that access to information regarding
the identity of statutorily disqualified individuals and member firms,
in addition to the underlying conduct that led to a statutory
disqualification, and the safeguards imposed, including restrictions on
permissible activities and heightened supervisory plans, provides
investors with valuable information about the individuals and firms
with whom they

conduct business. Further, to the extent that information regarding the
underlying conduct that results in an individual or firm being subject
to a statutory disqualification decision is reported to the CRD system,
identifying information regarding such individuals and firms is
available in BrokerCheck. In contrast, FINRA considered releasing MAP
decisions unredacted and determined that the potential harm to firms in
releasing such decisions in unredacted form would not be outweighed by
any investor protection benefit. In this regard, applicants typically
are required to disclose proprietary information, including, among
other things, business plans, financial plans, and commercial
agreements. Moreover, denials of MAP often are related solely to
operational concerns. As such, FINRA is proposing to continue releasing
such decisions in redacted form.
    An alternative to the proposed rule change would be to maintain the
publication standards in the current rule. FINRA believes that the
current rule lacks clarity and consistency and does not serve the
public interest because members, associated persons, other regulators,
and investors would all benefit from greater access to information
relating to FINRA's disciplinary actions, and information that is
limited for publication under the current rule is often available from
other sources.

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

    Written comments were neither solicited nor received.

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

    Within 45 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date 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 such 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-FINRA-2013-018 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-FINRA-2013-018. 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 such filing also will be available
for inspection and copying at the FINRA's principal office. 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-FINRA-2013-018, and should
be submitted on or before April 15, 2013.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\24\
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    \24\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-06718 Filed 3-22-13; 8:45 am]
BILLING CODE 8011-01-P