[Federal Register Volume 84, Number 73 (Tuesday, April 16, 2019)]
[Notices]
[Pages 15654-15655]
[FR Doc No: 2019-07509]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-85584; File No. SR-NYSEAMER-2019-10]

Self-Regulatory Organizations; NYSE American LLC; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Amend the
NYSE American Options Fee Schedule

April 10, 2019.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on April 1, 2019, NYSE American LLC (the ``Exchange'' or
``NYSE American'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as described in Items I,
II, and III below, which Items have been prepared by the self-
regulatory organization. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend the NYSE American Options Fee
Schedule (``Fee Schedule''). The Exchange proposes to implement the fee
change effective April 1, 2019. The proposed rule change is available
on the Exchange's website at www.nyse.com, at the principal office of
the Exchange, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The purpose of this filing is to modify the Fee Schedule to expand
the types of transactions that may be included in the Firm Monthly Fee
Cap for ATP Holders that achieve a certain increase in Complex CUBE
Auction volume.\4\
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    \4\ See Rule 971.2NY (describing Complex CUBE Auction, which
offers price improvement opportunities to Complex Orders); see also
Fee Schedule, Section I.G, CUBE Auction Fees & Credits, infra note
5.
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    Currently, Section I.I. of the Fee Schedule sets forth a Firm
Monthly Fee Cap (``Fee Cap'') that limits, or caps, at $100,000 per
month the fees incurred by Firms trading though a Floor Broker in open
outcry (i.e., manual transactions).\5\ The Fee Cap may be lower than
$100,000 for ATP Holders that achieve Tier 2 or higher of the American
Customer Engagement (``ACE'') Program.\6\ Once a Firm has reached the
Fee Cap, an incremental service fee of $0.01 per contract for Firm
Manual transactions will apply, except for the execution of QCC orders,
which are not subject to the incremental service fee.\7\
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    \5\ See Fee Schedule, Section I. I. (Firm Monthly Fee Cap),
available here, https://www.nyse.com/publicdocs/nyse/markets/american-options/NYSE_American_Options_Fee_Schedule.pdf (providing
that an ATP Holder that achieves Tier 2, 3, 4 or 5 of the ACE
Program is entitled to a Fee Cap of $85,000, $75,000, $70,000 or
$65,000, respectively). The Fee Cap excludes volumes associated with
Strategy Executions described in Section I.J., (e.g., reversal and
conversion, box spread, short stock interest spread, merger spread
and jelly roll) and Firm Manual Facilitation trades (which are
always free). Royalty Fees described in Section I. K. still apply to
applicable transactions even once Fee Cap is reached. See id.
    \6\ See Fee Schedule, Section I.E. (describing ACE Program),
supra note 5.
    \7\ See supra note 5.
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    The Exchange proposes to include a broader range of Exchange
activity under the Fee Cap for any ATP Holder that achieves an increase
over January 2019 Initiating Complex CUBE volume by at least 0.20% of
TCADV (the ``Complex CUBE Cap Incentive''). ATP Holders that qualify
for the Complex CUBE Cap Incentive will continue to be eligible for a
reduced Monthly Fee Cap based on ACE Tier achieved,\8\ but will also be
able to aggregate the following transactions with their Firm Manual and
Firm QCC transactions:
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    \8\ See supra note 5 (regarding reduced Fee Caps associated with
ACE Tiers 2-5).
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     Broker Dealer Manual transactions; and
     Broker Dealer QCC transactions.\9\
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    \9\ See proposed Fee Schedule, Section I. I. (Firm Monthly Fee
Cap).
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    As proposed, ATP Holders that qualify for the Complex CUBE Cap
Incentive and attain the Firm Fee Cap would not be assessed transaction
fees on Firm or Broker Dealer Manual volume, including QCC
transactions. Further, an incremental service fee of $0.01 per contract
would apply to Broker Dealer Manual transactions \10\ and for Broker
Dealer QCC Transactions in excess of 25,000 contracts ADV, an
incremental service fee of $0.10 per contract would apply.\11\
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    \10\ See supra note 5 (regarding incremental service fee
applicable to Firm Manual transactions).
    \11\ See proposed Fee Schedule, Section I. I. (Firm Monthly Fee
Cap).
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    For example, an ATP Holder that executed 6,000 contracts per day
ADV via Complex CUBE during the month of January 2019 would have to
execute over 18,000 contracts a day ADV via Complex CUBE in April 2019
if the TCADV in April 2019 is 6 million contracts (i.e., 6,000 + (0.2%
* 6 million) = (6,000 + 12,000)). Thus, the qualifying ATP Holder would
be able to aggregate its Broker Dealer QCC transactions and Manual
transactions (together with its Firm QCC transactions and Manual
transactions) under the Fee Cap.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\12\ in general, and furthers the
objectives of Sections 6(b)(4) and (5) of the Act,\13\ in particular,
because it provides for the equitable allocation of reasonable dues,
fees, and other charges among its members, issuers and other persons
using its facilities and does not unfairly discriminate between
customers, issuers, brokers or dealers.
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    \12\ 15 U.S.C. 78f(b).
    \13\ 15 U.S.C. 78f(b)(4) and (5).
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    The Exchange believes that the proposed Complex CUBE Cap Incentive
is reasonable, equitable and not unfairly discriminatory for a number
of reasons. First, the proposal is based on the amount of business
transacted on the Exchange and ATP Holders can opt to try to achieve
the Incentive or not. Second, the proposal is designed encourage ATP
Holders to utilize (if they have not done so) or increase volume sent
to the Complex CUBE Auction, which was adopted earlier this year.
Further, ATP Holders that seek to or do achieve the Complex CUBE
Incentive likewise would be incented to increase its Broker Dealer
volume in Manual and QCC transaction in an effort

to meet the Fee Cap, which may, in turn, encourage more business to be
brought to the Floor, which may extend beyond Manual and QCC
transactions. To the extent that the proposed change attracts more
Broker Dealer Manual and QCC transactions to the Exchange, this
increased order flow would continue to make the Exchange a more
competitive venue for, among other things, order execution.
    Further, the proposed ten cent fee on Broker Dealer QCC
transactions over 25,000 contracts ADV is likewise reasonable,
equitable and not unfairly discriminatory. The Exchange assesses a QCC
Transaction fee of $0.20 per contract on Broker Dealer and Firm
volume.\14\ Today, Firms that achieve the Fee Cap are charged $0.00 for
Firm QCC volume beyond the Fee Cap, but are still charged $0.20 per
contract for Broker Dealer QCC volume. As proposed, Firms that achieve
the Complex CUBE Cap Incentive would more easily achieve the Fee Cap
because the proposal allows Broker Dealer Manual and QCC volume
(together with Firm Manual and QCC volume) to count towards the Fee
Cap. For Firms that achieve the Complex CUBE Incentive Cap and the Fee
Cap, Firm QCC volume beyond the Fee Cap will continue to be charged at
$0.00 and the rate for Broker Dealer QCC volume will be reduced to
$0.00 per contract for up to 25,000 contracts ADV and to $0.10 per
contract with the proposed service fee for volume in excess of 25,000
contracts ADV. The proposed service fee is not unreasonable because it
would apply to all similarly-situated firms. Moreover, the Exchange
believes the proposed service fee is reasonable given that it is still
a reduction in cost for Broker Dealer QCC volume (once the Complex CUBE
Cap Incentive and Fee Cap are achieved) and should encourage more such
volume to be directed to and executed on the Exchange.
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    \14\ See Fee Schedule, Section I. F. (QCC Fees & Credits)
(setting forth transaction fees for market participants, including
Non-Customers that are not Professional Customers or Specialists,
i.e., Firms and Broker Dealers).
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    Finally, the Exchange believes the proposed changes are consistent
with the Act because to the extent the modifications permit the
Exchange to continue to attract greater volume and liquidity (to the
Floor or otherwise), the proposed change would improve the Exchange's
overall competitiveness and strengthen its market quality for all
market participants.

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

    In accordance with Section 6(b)(8) of the Act, the Exchange does
not believe that the proposed rule change would impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Act. The Exchange believes that the proposed Complex
CUBE Cap Incentive is pro-competitive as it is designed to incentivize
increased volume and liquidity to the Exchange--for both Complex CUBE
and Manual and QCC transactions--which would benefit all Exchange
participants through increased opportunities to trade as well as
enhancing price discovery.
    Given the robust competition for volume among options markets, many
of which offer the same (or similar) products, implementing programs to
attract order flow, such as the proposed Complex CUBE Cap Incentive,
are consistent with the above-mentioned goals of the Act.

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

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

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

    The foregoing rule change is effective upon filing pursuant to
Section 19(b)(3)(A) \15\ of the Act and subparagraph (f)(2) of Rule
19b-4 \16\ thereunder, because it establishes a due, fee, or other
charge imposed by the Exchange.
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    \15\ 15 U.S.C. 78s(b)(3)(A).
    \16\ 17 CFR 240.19b-4(f)(2).
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    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \17\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
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    \17\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
File No. SR-NYSEAMER-2019-10 on the subject line.

Paper Comments

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

All submissions should refer to File No. SR-NYSEAMER-2019-10. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File No. SR-NYSEAMER-2019-10, and should be submitted
on or before May 7, 2019.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\18\
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    \18\ 17 CFR 200.30-3(a)(12).
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Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-07509 Filed 4-15-19; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 79, Number 52 (Tuesday, March 18, 2014)]
[Notices]
[Pages 15113-15115]
[FR Doc No: 2014-05978]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Sunshine Act Meeting Notice

    The following notice of meeting is published pursuant to section
3(a) of the government in the Sunshine Act (Pub. L. 94-409), 5 U.S.C.
552b:

AGENCY HOLDING MEETING:  Federal Energy Regulatory Commission.

DATE AND TIME:  March 20, 2014, 10:00 a.m.

PLACE: Room 2C, 888 First Street NE., Washington, DC 20426.

STATUS: Open.

MATTERS TO BE CONSIDERED:  Agenda.
    * NOTE--Items listed on the agenda may be deleted without further
notice.

CONTACT PERSON FOR MORE INFORMATION: Kimberly D. Bose, Secretary,
Telephone<PHONE_NUMBER>.
    For a recorded message listing items struck from or added to the
meeting, call<PHONE_NUMBER>.
    This is a list of matters to be considered by the Commission. It
does not include a listing of all documents relevant to the items on
the agenda. All public documents, however, may be viewed on line at the
Commission's Web site at http://www.ferc.gov using the eLibrary link,
or may be examined in the Commission's Public Reference Room.

1003RD--Meeting

Regular Meeting

March 20, 2014
    10:00 a.m.

----------------------------------------------------------------------------------------------------------------
         Item No                     Docket No.                                    Company
----------------------------------------------------------------------------------------------------------------
                                                 Administrative
----------------------------------------------------------------------------------------------------------------
A-1.....................  AD02-1-000......................  Agency Business Matters.
A-2.....................  AD02-7-000......................  Customer Matters, Reliability, Security and Market
                                                             Operations.
A-3.....................  AD06-3-000......................  Market Update.
----------------------------------------------------------------------------------------------------------------
                                                    Electric
----------------------------------------------------------------------------------------------------------------
E-1.....................  ER13-103-001....................  California Independent System Operator Corporation.
                          ER13-103-003....................
                          ER12-2709-001...................  Pacific Gas and Electric Company.
                          ER13-87-001.....................  San Diego Gas & Electric Company.
E-2.....................  OMITTED.........................
E-3.....................  OMITTED.........................
E-4.....................  RM13-16-000.....................  Generator Verification Reliability Standards.
E-5.....................  RM13-5-001......................  Version 5 Critical Infrastructure Protection
                                                             Reliability Standards.
E-6.....................  RM13-19-000.....................  Generator Relay Loadability and Revised.
                          RM14-3-000......................  Transmission Relay Loadability Reliability
                                                             Standards.
E-7.....................  RD14-2-000......................  North American Electric Reliability Corporation.
E-8.....................  ER14-385-000....................  New York Independent System Operator, Inc.
E-9.....................  ER14-375-000....................  ISO New England Inc. and New England Power Pool
                                                             Participants Committee.
E-10....................  ER13-2063-001...................  California Independent System Operator Corporation.
                          ER14-1004-000...................
E-11....................  QF12-135-000....................  Iowa Hydro, LLC.
E-12....................  EL13-60-001.....................  Otter Creek Solar LLC.
                          QF13-402-002....................
E-13....................  EL13-73-000.....................  Hydrodynamics Inc., Montana Marginal Energy, Inc.,
                                                             WINData, LLC.
                          QF85-212-001....................  Hydrodynamics, Inc.
                          QF08-556-001....................
                          QF08-557-001....................
                          QF08-558-001....................
                          QF08-559-001....................
                          QF08-598-001....................

                          QF03-36-001.....................  Montana Marginal Energy, LLC.
                          QF03-127-001....................  Two Dot Wind Energy, LLC.
                          QF04-87-001.....................
                          QF04-157-001....................  Two Dot Wind, LLC.
                          QF10-668-001....................  Two Dot Wind Farm, LLC.
                          QF05-140-001....................  Mo Wind, LLC.
                          QF11-449-002....................  Greenfield Wind, LLC.
                          QF11-450-003....................  Fairfield Wind LLC.
                          QF13-425-001....................  Greenfield Wind II, LLC.
                          QF13-421-001....................  Coyote Wind LLC.
E-14....................  ER14-480-000....................  California Independent System Operator Corporation.
E-15....................  ER14-495-000....................  California Independent System Operator Corporation.
E-16....................  EL12-35-001.....................  Midwest Independent Transmission System Operator,
                                                             Inc.
                                                            ALLETE, Inc.
                                                            Ameren Illinois Company.
                                                            Ameren Transmission Company of Illinois.
                                                            American Transmission Company, LLC.
                                                            Big Rivers Electric Corporation.
                                                            Board of Water, Electric and Communications.
                                                            Trustees of the City of Muscatine, Iowa.
                                                            Central Minnesota Municipal Power Agency.
                                                            City of Columbia, Missouri, Water & Light Company.
                                                            City Water, Light & Power (Springfield, Illinois).
                                                            Duke Energy Indiana, Inc.
                                                            Dairyland Power Cooperative.
                                                            Great River Energy.
                                                            Hoosier Energy Rural Electric Cooperative, Inc.
                                                            Indiana Municipal Power Agency.
                                                            Indianapolis Power & Light Company.
                                                            International Transmission Company.
                                                            ITC Midwest, LLC.
                                                            Michigan Electric Transmission Company, LLC.
                                                            Michigan Public Power Agency.
                                                            Michigan South Central Power Agency.
                                                            MidAmerican Energy Company.
                                                            Missouri River Energy Services.
                                                            Montana-Dakota Utilities Company.
                                                            Montezuma Municipal Light & Power.
                                                            Municipal Electric Utility of the City of Cedar
                                                             Falls, Iowa.
                                                            Muscatine Power and Water.
                                                            Northern Indiana Public Service Company.
                                                            Northern States Power Company, a Minnesota
                                                             Corporation.
                                                            Northern States Power Company, a Wisconsin
                                                             Corporation.
                                                            Northwestern Wisconsin Electric Company.
                                                            Otter Tail Power Company.
                                                            Southern Illinois Power Cooperative.
                                                            Southern Indiana Gas & Electric Company.
                                                            Southern Minnesota Municipal Power Agency.
                                                            Tipton Municipal Utilities.
                                                            Wabash Valley Power Association, Inc.
                                                            Wolverine Power Supply Cooperative, Inc.
E-17....................  ER13-2375-000...................  Midcontinent Independent System Operator, Inc. and
                                                             Southern Indiana Gas & Electric Company.
E-18....................  ER13-2376-000...................  Midcontinent Independent System Operator, Inc. and
                                                             Northern Indiana Public Service Company.
E-19....................  ER13-2379-000...................  Midcontinent Independent System Operator, Inc.
                          EL12-35-000.....................  Midwest Independent Transmission System Operator,
                                                             Inc.
                                                            ALLETE, Inc.
                                                            Ameren Illinois Company.
                                                            Ameren Transmission Company of Illinois.
                                                            American Transmission Company, LLC.
                                                            Big Rivers Electric Corporation.
                                                            Board of Water, Electric and Communications.
                                                            Trustees of the City of Muscatine, Iowa.
                                                            Central Minnesota Municipal Power Agency.
                                                            City of Columbia, Missouri, Water & Light Company.
                                                            City Water, Light & Power (Springfield, Illinois).
                                                            Duke Energy Indiana, Inc.
                                                            Dairyland Power Cooperative.
                                                            Entergy Services, Inc.
                                                            Great River Energy.
                                                            Hoosier Energy Rural Electric Cooperative, Inc.
                                                            Indiana Municipal Power Agency.
                                                            Indianapolis Power & Light Company.

                                                            International Transmission Company.
                                                            ITC Midwest, LLC.
                                                            Michigan Electric Transmission Company, LLC.
                                                            Michigan Public Power Agency.
                                                            Michigan South Central Power Agency.
                                                            MidAmerican Energy Company.
                                                            Missouri River Energy Services.
                                                            Montana-Dakota Utilities Company.
                                                            Montezuma Municipal Light & Power.
                                                            Municipal Electric Utility of the City of Cedar
                                                             Falls, Iowa.
                                                            Muscatine Power and Water.
                                                            Northern States Power Company, a Minnesota
                                                             Corporation.
                                                            Northern States Power Company, a Wisconsin,
                                                             Corporation.
                                                            Northwestern Wisconsin Electric Company.
                                                            Otter Tail Power Company.
                                                            Southern Illinois Power Cooperative.
                                                            Southern Minnesota Municipal Power Agency.
                                                            Tipton Municipal Utilities.
                                                            Wabash Valley Power Association, Inc.
                                                            Wolverine Power Supply Cooperative, Inc.
                          ER13-948-000....................  Entergy Services, Inc.
E-20....................  EC14-14-000.....................  NRG Energy Holdings, Inc. and Edison Mission Energy.
E-21....................  EC14-37-000.....................  Glacial Energy Holdings.
                                                            Glacial Energy of California, Inc.
                                                            Glacial Energy of Illinois, Inc.
                                                            Glacial Energy of New England, Inc.
                                                            Glacial Energy of New Jersey, Inc.
                                                            Glacial Energy of New York.
                                                            Voltage Energy Holdings, Inc.
E-22....................  EL10-49-000.....................  Old Dominion Electric Cooperative and North Carolina
                                                             Electric Membership Corporation v. Virginia
                                                             Electric and Power Company.
----------------------------------------------------------------------------------------------------------------
                                                  Miscellaneous
----------------------------------------------------------------------------------------------------------------
M-1.....................  RM14-2-000......................  Coordination of the Scheduling Processes of
                                                             Interstate Natural Gas Pipelines and Public
                                                             Utilities.
M-2.....................  EL14-22-000.....................  California Independent System Operator Corporation.
                          EL14-23-000.....................  ISO New England, Inc.
                          EL14-24-000.....................  PJM Interconnection, LLC.
                          EL14-25-000.....................  Midcontinent Independent System Operator, Inc.
                          EL14-26-000.....................  New York Independent System Operator, Inc.
                          EL14-27-000.....................  Southwest Power Pool, Inc.
M-3.....................  RP14-442-000....................  Posting of Offers to Purchase Capacity.
----------------------------------------------------------------------------------------------------------------
                                                       Gas
----------------------------------------------------------------------------------------------------------------
G-1.....................  OR14-8-000......................  Colonial Pipeline Company.
----------------------------------------------------------------------------------------------------------------
                                                      Hydro
----------------------------------------------------------------------------------------------------------------
H-1.....................  P-12690-005.....................  Public Utility District No. 1 of Snohomish County,
                                                             Washington.
----------------------------------------------------------------------------------------------------------------
                                                  Certificates
----------------------------------------------------------------------------------------------------------------
C-1.....................  CP13-528-000....................  Northern Natural Gas Company.
C-2.....................  CP14-13-000.....................  Houston Pipe Line Company LP.
----------------------------------------------------------------------------------------------------------------

    Issued March 13, 2014.
 Kimberly D. Bose,
Secretary.
    A free webcast of this event is available through www.ferc.gov.
Anyone with Internet access who desires to view this event can do so by
navigating to www.ferc.gov's Calendar of Events and locating this event
in the Calendar. The event will contain a link to its webcast. The
Capitol Connection provides technical support for the free webcasts. It
also offers access to this event via television in the DC area and via
phone bridge for a fee. If you have any questions, visit
www.CapitolConnection.org or contact Danelle Springer or David
Reininger at<PHONE_NUMBER>.
    Immediately following the conclusion of the Commission Meeting, a
press briefing will be held in the Commission Meeting Room. Members of
the public may view this briefing in the designated overflow room. This
statement is intended to notify the public that the press briefings
that follow Commission meetings may now be viewed remotely at
Commission headquarters, but will not be telecast through the Capitol
Connection service.

[FR Doc. 2014-05978 Filed 3-14-14; 11:15 am]
BILLING CODE 6717-01-P


[Federal Register Volume 79, Number 56 (Monday, March 24, 2014)]
[Notices]
[Page 16071]
[FR Doc No: 2014-06336]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 33-9562; 34-71742; IA-3799; File No. 4-673]

Cybersecurity Roundtable

AGENCY: Securities and Exchange Commission.

ACTION: Notice of roundtable discussion; request for comment.

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SUMMARY: The Securities and Exchange Commission will host a
cybersecurity roundtable. Roundtable panelists will discuss the
cybersecurity landscape and cybersecurity issues faced by exchanges and
other key market systems, broker-dealers, investment advisers, transfer
agents, and public companies. Panelists also will be invited to discuss
industry and public-private sector coordination efforts relating to
assessing and responding to cybersecurity issues.
    The roundtable discussion will be held in the auditorium of the
Securities and Exchange Commission headquarters at 100 F Street NE.,
Washington, DC on March 26, 2014 from 9:30 a.m. to approximately 3:00
p.m. The public is invited to observe the roundtable discussion.
Seating will be available on a first-come, first-serve basis. The
roundtable discussion will also be available via webcast on the
Commission's Web site at www.sec.gov.

DATES: The roundtable discussion will take place on March 26, 2014. The
Commission will accept comments regarding issues addressed at the
roundtable until May 2, 2014.

ADDRESSES: Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://sec.gov/rules/other.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number 4-673 on the subject line.

Paper Comments

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

All submissions should refer to File Number 4-673. This file number
should be included on the subject line if email is used. To help us
process and review your comments more efficiently, please only use one
method. The Commission will post all comments on the Commission's
Internet Web site (http://www.sec.gov/rules/other.shtml). Comments are
also 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.
All comments received will be posted without change; we do not edit
personal identifying information from submissions. You should submit
only information that you wish to make available publicly.

FOR FURTHER INFORMATION CONTACT: Cristie March, Senior Special Counsel,
Division of Trading and Markets, at<PHONE_NUMBER>, David Joire, Senior
Counsel, Division of Investment Management, at<PHONE_NUMBER>, or
Jennifer Riegel, Senior Special Counsel, Division of Corporation
Finance, at<PHONE_NUMBER>, Securities and Exchange Commission, 100 F
Street NE., Washington, DC 20549.

    By the Commission.

    Dated: March 19, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-06336 Filed 3-21-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 45 (Thursday, March 7, 2013)]
[Notices]
[Pages 14867-14870]
[FR Doc No: 2013-05238]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-69009; File No. SR-NSX-2013-07]

Self-Regulatory Organizations; National Stock Exchange, Inc.;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Adopt a New Order Type Called the Midpoint-Seeker Order and Amend Rule
11.3(c) Regarding Rounding of Sub-Penny Midpoint Executions

February 28, 2013.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on February 27, 2013, National Stock Exchange, Inc.
(``NSX[supreg]'' or the ``Exchange'') filed with the Securities and
Exchange Commission (``Commission'') the proposed rule change, as
described in Items I and II below, which Items have been prepared by
the Exchange. The Commission is publishing this notice to solicit
comment on the proposed rule change from interested persons.
---------------------------------------------------------------------------

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

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

    The Exchange is proposing to amend: (1) NSX Rule 11.3(c) to clarify
how the NSX System may execute certain types of undisplayed orders that
are pegged to the midpoint between the Protected BBO in subpennies; and
(2) NSX Rule 11.11(c), entitled ``Orders and Modifiers'' to adopt a new
order type called a Midpoint-Seeker Order. The text of the proposed
rule change is available on the Exchange's Web site at http://www.nsx.com, at the principal office of the Exchange, and at the
Commission's Public Reference Room.

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

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

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

1. Purpose
    The Exchange is proposing to amend: (1) NSX Rule 11.3(c) to clarify
how the NSX System may execute certain types of undisplayed orders that
are pegged to the midpoint between the Protected Best Bid or Offer
(``BBO'') \3\ in subpennies; and (2) NSX Rule 11.11(c), entitled
``Orders and Modifiers'' to adopt a new order type called a Midpoint-
Seeker Order.
---------------------------------------------------------------------------

    \3\ Exchange Rule 1.5. ``Protected BBO'' is defined as ``the
better of the following: (a) [t]he Protected NBBO or (b) [t]he
displayed Top of Book.''
---------------------------------------------------------------------------

Rounding of Midpoint Orders
    The Exchange proposes to amend NSX Rule 11.3(c) to clarify how the
NSX System may execute certain types of Zero Display Reserve Orders \4\
that are pegged to the midpoint between the Protected BBO in
subpennies. NSX Rule 11.3(c) provides that a Zero Display Reserve Order
that is pegged at the midpoint of the Protected BBO may be executed in
subpennies, if necessary, to obtain a midpoint price. The Exchange is
proposing to amend Rule 11.3(c) in order to clarify how the System
rounds executions in securities priced less than $1.00 per share
resulting from a Zero Display Reserve Order pegged at the midpoint to
the nearest permissible

trading increment.\5\ The System rounds the execution price up when the
Zero Display Reserve Order pegged at the midpoint posted to the NSX
Book is on the buy-side, and rounds the execution price down when the
Zero Display Reserve Order pegged at the midpoint posted on the NSX
Book is on the sell-side. For example, the Protected BBO is 0.8731 by
0.9998, and there is a buy order on the NSX Book which is a Zero
Display Reserve Order pegged at the midpoint, which is 0.93645, an
impermissible trading increment. An incoming order to sell will execute
against the Zero Display Reserve Order at 0.9365 because the System
will round the execution price from 0.93645 up to nearest permissible
trading increment.
---------------------------------------------------------------------------

    \4\ Under Exchange Rule 11.11(c)(2)(A), a ``Zero Display Reserve
Order'' is a ``Reserve Order with zero display quantity.''
    \5\ Under Exchange Rule 11.3(a), the minimum pricing increments
are to be no smaller than $0.01 if priced equal to or greater than
$1.00 per share or $0.0001 if priced less than $1.00 per share.
---------------------------------------------------------------------------

    This clarifying amendment will provide ETP Holders with additional
information on how the System rounds the execution price for Zero
Display Reserve Orders that are pegged to the midpoint between the
Protected BBO.
Proposed Midpoint-Seeker Order
    The proposed Midpoint-Seeker Order is an Immediate-or-Cancel
(``IOC'') \6\ order that would allow Equity Trading Permit (``ETP'')
\7\ Holders the ability to execute against undisplayed orders that are
posted on the NSX Book \8\ at a price equal to or better than the
midpoint between the Protected BBO. A Midpoint-Seeker Order will only
execute through the Exchange's automatic execution mode (``Auto-Ex'')
\9\ against undisplayed orders posted on the NSX Book priced equal to
or better than the midpoint between the Protected BBO. The undisplayed
orders against which the Midpoint-Seeker Order will execute include
the: (i) Zero Display Reserve Order \10\ entered with a limit price,
(ii) Market Peg Zero Display Reserve Order; \11\ and (iii) Midpoint Peg
Zero Display Reserve Order.\12\ A Midpoint Seeker order may include an
optional limit price cap beyond which the order shall not execute
(i.e., an execution at a price lower for an order to sell or higher for
an order to buy than a specified price). Under no circumstances will a
Midpoint-Seeker Order execute against a displayed order or an order
that is at a price which is inferior to the midpoint between the
Protected BBO.
---------------------------------------------------------------------------

    \6\ Under Exchange Rule 11.11(b)(1), an ``Immediate-or-Cancel
Order'' is a ``limit order that is to be executed in whole or in
part as soon as such order is received, and the portion not so
executed'' is to be cancelled.
    \7\ In sum, Exchange Rule 1.5 defines the term ``ETP'' as an
Equity Trading Permit issued by the Exchange for effecting approved
securities transactions on the Exchange's Trading Facilities.
    \8\ Exchange Rule 1.5. ``NSX Book'' is defined as ``System's
electronic file of orders.''
    \9\ NSX trading rules provide for a price-time priority market
with two modes of order interaction: (1) Auto-Ex, and (2) Order
Delivery. The Exchange's two modes of order interaction are
described in NSX Rule 11.13(b).
    \10\ Under Exchange Rule 11.11(c)(2), a ``Reserve Order'' is a
limit order with a portion of the quantity displayed with a reserve
portion of the quantity that is not displayed.'' Exchange Rule
11.11(c)(2)(A), defines a ``Zero Display Reserve Order'' as a
Reserve Order with zero display quantity.
    \11\ Under Exchange Rule 11.11(c)(2)(A), a ``Market Peg Zero
Display Reserve Order'' is a ``pegged Zero Display Reserve Order
which tracks the opposite side of the market'' (e.g., the buy-side
of the Protected BBO for a sell order or the sell-side of the
Protected BBO for a buy order).
    \12\ Under Exchange Rule 11.11(c)(2)(A), a ``Midpoint Peg Zero
Display Reserve Order'' is a ``pegged Zero Display Reserve Order
that tracks the midpoint'' of the Protected BBO.''
---------------------------------------------------------------------------

    The System will execute a Midpoint-Seeker Order at the midpoint
between the Protected BBO in $0.005 increments if the security is
priced at or above $1 \13\ and $0.0001 increments if the security is
priced below $1.\14\ As explained above under the proposed changes to
Rule 11.3(c), if interest resting on the NSX Book at the midpoint
between the Protected BBO is not at a tradable increment, the Exchange
will either round up for a Midpoint-Seeker Order to sell or round down
for a Midpoint-Seeker Order to buy to the nearest tradable increment.
The Midpoint-Seeker Order will execute against undisplayed posted
orders on the NSX Book that are priced at or better than the midpoint
between the Protected BBO. As an IOC order, the Midpoint-Seeker Order
will execute only against the number of shares of undisplayed liquidity
available on the NSX Book. Shares of an undisplayed posted order that
remain after interacting with a Midpoint-Seeker Order will remain on
the NSX Book. As an IOC order, any unexecuted portion of a Midpoint-
Seeker Order will be treated as cancelled (i) after interacting with
available undisplayed posted orders or (ii) when there are no
undisplayed posted orders priced equal to or better than the midpoint
between the Protected BBO.
---------------------------------------------------------------------------

    \13\ See Exchange Rule 11.3(a)(i) which prohibits, in sum,
minimum pricing increments smaller than $0.01 for bids, offers,
orders, or indications of interest priced equal to or greater than
$1.00 per share. Under 11.3(c), an undisplayed order that is pegged
to the midpoint of the Protected BBO in accordance with Rule
11.11(c)(2) may be executed in sub-pennies if necessary to obtain a
midpoint price.
    \14\ See Exchange Rule 11.3(a)(ii) which prohibits, in sum,
minimum pricing increments smaller than $0.0001 for bids, offers,
orders, or indications of interest priced less than $1.00 per share.
---------------------------------------------------------------------------

    Like other IOC orders, a Midpoint-Seeker Order will never be routed
to an away market. A Midpoint-Seeker Order will also be treated as
cancelled when the Protected BBO is locked or crossed. A Midpoint-
Seeker Order cannot be combined with any other order type or order type
modifier offered by the Exchange.
    The below examples illustrate the functionality of the Midpoint-
Seeker Order. All orders posted on the NSX Book are undisplayed.
Example 1
    The Protected NBBO \15\ is 10.00 by 11.00 and the Exchange has
received a Midpoint- Seeker Order to sell 300 shares. NSX Book contains
no undisplayed orders.
---------------------------------------------------------------------------

    \15\ Exchange Rule 1.5. ``Protected NBBO'' is defined as ``the
national best bid or offer that is a protected quotation.''
---------------------------------------------------------------------------

    Result: The System will cancel the incoming Midpoint-Seeker Order
to sell 300 shares in its entirety because there are no undisplayed
posted orders on the NSX Book priced equal to or better than the
midpoint between the Protected BBO.
Example 2
    The Protected BBO is 10.00 by 11.00 and the Exchange has received a
Midpoint-Seeker Order to sell 300 shares.

------------------------------------------------------------------------
     Buy orders resting on NSX book                 Order type
------------------------------------------------------------------------
11.00 (100 shares).....................  Market Peg Zero Display Reserve
                                          Order
10.70 (100 shares).....................  Zero Display Reserve Order with
                                          Limit Price
10.50 (100 shares).....................  Midpoint Peg Zero Display
                                          Reserve Order
------------------------------------------------------------------------

    There are no sell orders posted to the NSX Book priced at the
Protected BBO or better that could execute against the Market Peg Zero
Display Reserve Order at 11.00.

    Result: The incoming Midpoint-Seeker Order to sell 300 shares will
execute against the Market Peg Zero Display Order at 11.00, the Zero
Display Reserve Order at 10.70 and the Midpoint Peg Zero Display Order
at 10.50. These executions are subject to the Exchange Rule 11.14(a)
regarding price/time priority.
Example 3
    The Protected BBO is 10.00 by 11.00 and the Exchange has received a
Midpoint-Seeker Order to sell 300 shares.

------------------------------------------------------------------------
     Buy orders resting on NSX book                 Order type
------------------------------------------------------------------------
11.00 (100 shares).....................  Market Peg Zero Display Reserve
                                          Order
10.50 (100 shares).....................  Midpoint Peg Zero Display
                                          Reserve Order
10.40 (100 shares).....................  Zero Display Reserve Order with
                                          Limit Price
------------------------------------------------------------------------

    There are no sell orders posted to the NSX Book priced at the
Protected BBO or better that could execute against the Market Peg Zero
Display Reserve Order at 11.00.
    Result: The incoming Midpoint-Seeker Order to sell 300 shares will
execute against the Market Peg Zero Display Order at 11.00 and the
Midpoint Peg Zero Display Order at 10.50. The System will cancel the
remaining 100 shares of the Midpoint-Seeker because the Zero Display
Reserve order at 10.40 is at a price inferior to the midpoint between
the Protected BBO and last in price priority pursuant to Exchange Rule
11.14(a).
Example 4: Sub-Dollar Security
    The Protected BBO is 0.8731 by 0.9998. The midpoint between the
Protected BBO is 0.93645. For purposes of this example, the only
interest posted to the NSX Book is a Midpoint Peg Zero Display Order to
buy. A Midpoint-Seeker Order to sell is submitted. As discussed above
under the proposed changes to Exchange Rule 11.3(c), the System rounds
the price of the Midpoint Peg Zero Display Order to buy up to the
nearest permissible trading increment of 0.9365. The Midpoint-Seeker
Order will execute against the Midpoint Peg Zero Display order at
0.9365.
Example 5: Sub-Dollar Security
    The Protected BBO is 0.8731 by 0.9998. The midpoint between the
Protected BBO is 0.93645. For purposes of this example, the only
interest posted to the NSX Book is a Midpoint Peg Zero Display Order to
sell. A Midpoint-Seeker Order to buy is submitted. As discussed above
under the proposed changes to Exchange Rule 11.3(c), the System rounds
the Midpoint Peg Zero Display Order to sell down to the nearest
permissible trading increment of 0.9364. The Midpoint-Seeker Order
executes against the Midpoint Peg Zero Display Order at 0.9364.
2. Statutory Basis
    The Exchange believes that the proposed clarification to Exchange
Rule 11.3(c) is consistent with the provisions of Section 6(b) of the
Act,\16\ in general, and Section 6(b)(5) of the Act,\17\ in particular,
in that it is designed to promote just and equitable principles of
trade, remove impediments to, and perfect the mechanism of, a free and
open market and a national market system. The amendments to NSX Rule
11.3(c) do not alter the Exchange's current rounding methodology. They
simply clarify for ETP Holders how the Exchange's System may round an
execution price resulting from a Zero Display Reserve Order that is
pegged to the midpoint between the Protected BBO that results in an
impermissible trading increment, thereby enhancing market transparency
thereby promoting just and equitable principles of trade, removing
impediments to, and perfecting the mechanism of, a free and open market
and a national market system.
---------------------------------------------------------------------------

    \16\ 15 U.S.C. 78f(b).
    \17\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange also believes the proposed Midpoint-Seeker Order is
consistent with Section 6(b) of the Exchange Act \18\ and furthers the
objective of Section 6(b)(5) of the Exchange Act \19\ because it is to
designed promote just and equitable principles of trade, remove
impediments to and perfect the mechanisms of a free and open market and
a national market system and, in general, to protect investors and the
public interest. The Midpoint-Seeker Order will enable ETP Holders to
enter an order that is not displayed publicly but is to be executed at
the midpoint between the Protected BBO or better and only take
liquidity. The Exchange believes this order type will enhance order
execution opportunities on the NSX and help provide ETP Holders with
flexibility in executing transactions that meet the specific
requirements of the order type. The Midpoint-Seeker Order will allow
for additional opportunities for investors to interact with orders
priced at or better than the midpoint between the BBO which promotes
just and equitable principles of trade and removes impediments to and
perfects the mechanism of a free and open market and national market
system.
---------------------------------------------------------------------------

    \18\ 15 U.S.C. 78f(b).
    \19\ 15 U.S.C 78f(b)(5).
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Exchange Act. The Exchange
believes the proposed Midpoint-Seeker Order will enhance order
execution opportunities for ETP Holders on the NSX. The Exchange does
not believe the proposed rule change will impose a burden on
competition amongst ETP Holders that use Auto-Ex and those that use the
Exchange's Order Delivery mode of interaction (``Order Delivery
Users'').\20\ ETP Holders may use the Midpoint-Seeker Order to remove
liquidity on the NSX Book at the midpoint of the Protected BBO or
better. Orders entered via Auto-Ex that are posted to the NSX Book
execute immediately when matched against a marketable incoming contra-
side Midpoint-Seeker Orders entered via Auto-Ex. Conversely, Order
Delivery Users only add liquidity to the NSX Book though the use of
``Post Only'' orders, which is not a liquidity taker. The NSX System
rejects marketable ``Post Only'' orders, and will not route them away.
Therefore, an Order Delivery User would not utilize the proposed
Midpoint Seeker Order. In addition, an Order Delivery User is
prohibited from posting an undisplayed midpoint order on the NSX Book,
and, as a result, could not be matched against an incoming contra-side
Midpoint-Seeker Order entered via Auto-Ex. Nonetheless, an Order
Deliver User is able to submit orders via Auto-Ex, including the
proposed Midpoint-Seeker, but not in their capacity as an Order
Delivery User. Furthermore, the Exchange believes the Midpoint Seeker
order should enhance competition

between it and other exchanges that currently offer similar order types
by offer investors another option to access liquidity at the Midpoint
between the Protected BBO or better. Therefore, the Exchange does not
believe that the proposed rule change will impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Exchange Act.
---------------------------------------------------------------------------

    \20\ See NSX Rule 11.13(b).
---------------------------------------------------------------------------

    Lastly, the amendments to Exchange Rule 11.3(c) merely clarify for
ETP Holder the Exchange's current rounding methodology. Therefore, the
Exchange does not believe that the proposed rule change will impose any
burden on competition that is not necessary or in furtherance of the
Exchange Act.

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

    Written comments on the proposed rule change were neither solicited
nor received.

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

    Because the proposed rule change does not (i) Significantly affect
the protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative for 30
days from the date on which it was filed, or such shorter time as the
Commission may designate if consistent with the protection of investors
and the public interest, the proposed rule change has become effective
pursuant to Section 19(b)(3)(A) of the Act \21\ and Rule 19b-
4(f)(6)(iii) thereunder.\22\
---------------------------------------------------------------------------

    \21\ 15 U.S.C. 78s(b)(3)(A).
    \22\ 17 CFR 240.19b-4(f)(6)(iii). As required under Rule 19b-
4(f)(6)(iii), the Exchange provided the Commission with written
notice of its intent to file the proposed rule change, along with a
brief description and the text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission.
---------------------------------------------------------------------------

    The Exchange has asked the Commission to waive the 30-day operative
delay so that the proposal may become operative immediately upon
filing. The Commission believes that waiving the 30-day operative delay
is consistent with the protection of investors and the public interest.
Such waiver would allow the Exchange to offer an order type that is
similar to other exchanges without delay. The Commission notes that the
rule change to adopt the Midpoint-Seeker is based on and similar to
CBSX Rule 51.8(g)(13).\23\ For this reason, the Commission waives the
operative delay and designates the proposed rule change to be operative
upon filing.\24\
---------------------------------------------------------------------------

    \23\ See SR-NSX-2013-07, Item 7.
    \24\ For purposes only of waiving the 30-day operative delay,
the Commission has also considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \25\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \25\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NSX-2013-07 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-NSX-2013-07. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for Web site viewing and printing in
the Commission's Public Reference Room 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 principal
offices of the Exchange. All comments received will be posted without
change; the Commission does not edit personal identifying information
from submissions. You should submit only information that you wish to
make available publicly. All submissions should refer to File Number
SR-NSX-2013-07, and should be submitted on or before March 28, 2013.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\26\
---------------------------------------------------------------------------

    \26\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-05238 Filed 3-6-13; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: September 2, 2010 (Volume 75, Number 170)]
[Notices]
[Page 53961-53962]
[DOCID:fr02se10-46]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 2150-082]

Puget Sound Energy, Inc., Notice of Application for Amendment of
License and Soliciting Comments, Motions To Intervene, and Protests

August 27, 2010.
    Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection:
    a. Type of Application: Amendment of License.
    b. Project No.: 2150-082.
    c. Date Filed: August 5, 2010.
    d. Applicant: Puget Sound Energy, Inc.
    e. Name of Project: Baker River Hydroelectric Project.
    f. Location: The project is located on the Baker River in Skagit
and Whatcom Counties, Washington, and occupies federal lands within the
Mt. Baker-Snoqualmie National Forest.
    g. Pursuant to: Federal Power Act, 16 U.S.C. 791a-825r.
    h. Applicant Contact: Kim William Lane, P.E., Puget Sound Energy,
Inc., M/S PSE-09N, P.O. Box 90868, Bellevue, WA 98009-0868. Tel: (425)
462-3372.
    i. FERC Contact: Any questions on this notice should be addressed
to Vedula Sarma at<PHONE_NUMBER> or<EMAIL_ADDRESS>    j. Deadline for filing comments and/or motions: September 27, 2010.
    Comments, protests, and interventions may be filed electronically
via the Internet in lieu of paper. See 18 CFR 385.2001(a)(1)(iii) and
the instructions on the Commission's Web site (http://www.ferc.gov/
docs-filing/efiling.asp). Commenters can submit brief comments up to
6,000 characters, without prior registration, using the eComment system
(http://www.ferc.gov/docs-filing/ecomment.asp) and must include name
and contact information at the end of comments. The Commission strongly
encourages electronic filings.
    All documents (original and seven copies) filed by paper should be
sent to: Secretary, Federal Energy Regulatory Commission, 888 First
Street, NE., Washington, DC 20426. Please include the project number
(P-2150-082) on any comments or motions filed.
    The Commission's Rules of Practice and Procedure require all
interveners filing documents with the Commission to serve a copy of
that document on each person whose name appears on the

official service list for the project. Further, if an intervener files
comments or documents with the Commission relating to the merits of an
issue that may affect the responsibilities of a particular resource
agency, they must also serve a copy of the document on that resource
agency. A copy of any motion to intervene must also be served upon each
representative of the Applicant specified in the particular
application.
    k. Description of Application: In its amendment application, the
licensee proposes to: (1) Move the project's authorized (but
unconstructed) powerhouse to a location about 300 feet southwest of the
existing Lower Baker powerhouse, (2) install a single turbine-generator
unit (Unit 4) instead of the project's authorized (but unconstructed)
two turbine-generator units in the new powerhouse, (3) install a new
1,500 cubic foot per second (cfs) bypass valve in the powerhouse, (4)
construct a new penstock tunnel to connect the new powerhouse to the
existing surge tank, and (5) construct a new 300-foot-long single
circuit 115 kilovolt overhead transmission line to connect the new
powerhouse to the existing Lower Baker powerhouse. The proposed single
turbine-generator unit would have the same 1,500 cfs hydraulic capacity
and the same 30 megawatts installed capacity as the project's currently
authorized (but unconstructed) two generating units.
    l. Locations of the Application: A copy of the application is
available for inspection and reproduction at the Commission's Public
Reference Room, located at 888 First Street, NE., Room 2A, Washington,
DC 20426, or by calling<PHONE_NUMBER>. This filing may also be viewed
on the Commission's Web site using the ``eLibrary'' link at http://
elibrary.ferc.gov/idmws/search/fercgensearch.asp. Enter the docket
number excluding the last three digits (P-2150) in the docket number
field to access the document. You may also register online at http://
www.ferc.gov/docs-filing/esubscription.asp to be notified via e-mail of
new filings and issuances related to this or other pending projects.
For assistance, call 1-866-208-3676 or e-mail
<EMAIL_ADDRESS>for TTY, call<PHONE_NUMBER>. A copy is
also available for inspection and reproduction at the address in item
(h) above.
    m. Individuals desiring to be included on the Commission's mailing
list should so indicate by writing to the Secretary of the Commission.
    n. Comments, Protests, or Motions to Intervene: Anyone may submit
comments, a protest, or a motion to intervene in accordance with the
requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211,
.214. In determining the appropriate action to take, the Commission
will consider all protests or other comments filed, but only those who
file a motion to intervene in accordance with the Commission's Rules
may become a party to the proceeding. Any comments, protests, or
motions to intervene must be received on or before the specified
comment date for the particular application.
    o. Any filings must bear in all capital letters the title
``COMMENTS'', ``PROTEST'', or ``MOTION TO INTERVENE'', as applicable,
and the Project Number of the particular application to which the
filing refers.
    p. Agency Comments: Federal, state, and local agencies are invited
to file comments on the described application. A copy of the
application may be obtained by agencies directly from the Applicant. If
an agency does not file comments within the time specified for filing
comments, it will be presumed to have no comments. One copy of an
agency's comments must also be sent to the Applicant's representatives.

Kimberly D. Bose,
Secretary.
[FR Doc. 2010-21968 Filed 9-1-10; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 123 (Friday, June 26, 2015)]
[Notices]
[Pages 36808-36809]
[FR Doc No: 2015-15671]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OAR-2004-0501; FRL-9929-48-OEI]

Agency Information Collection Activities; Submission to OMB for
Review and Approval; Comment Request; Information Collection Request
for Green Power Partnership and Combined Heat and Power Partnership
(Renewal)

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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

SUMMARY: The Environmental Protection Agency has submitted an
information collection request (ICR), ``Information Collection Request
for Green Power Partnership and Combined Heat and Power Partnership''
(EPA ICR No. 2173.06, OMB Control No. 2060-0578) to the Office of
Management and Budget (OMB) for review and approval in accordance with
the Paperwork Reduction Act (44 U.S.C. 3501 et seq.). This is a
proposed extension of the ICR, which is currently approved through July
31, 2015. Public comments were previously requested via the Federal
Register (80 FR 8640) on February 18, 2015 during a 60-day comment
period. This notice allows for an additional 30 days for public
comments. A fuller description of the ICR is given below, including its
estimated burden and cost to the public. An Agency may not conduct or
sponsor and a person is not required to respond to a collection of
information unless it displays a currently valid OMB control number.

DATES: Additional comments may be submitted on or before July 27, 2015.

ADDRESSES: Submit your comments, referencing Docket ID Number EPA-HQ-
OAR-2004-0501, to (1) EPA online using www.regulations.gov (our
preferred method), by email to<EMAIL_ADDRESS>or by
mail to: EPA Docket Center, Environmental Protection Agency, Mail Code
28221T, 1200 Pennsylvania Ave. NW., Washington, DC 20460, and (2) OMB
via email to<EMAIL_ADDRESS>Address comments to OMB Desk
Officer for EPA.
    EPA's policy is that all comments received will be included in the
public docket without change including any personal information
provided, unless the comment includes profanity, threats, information
claimed to be Confidential Business Information (CBI) or other
information whose disclosure is restricted by statute.

FOR FURTHER INFORMATION CONTACT: Christopher Kent, Climate Protection
Partnerships Division, Office of Atmospheric Programs, MC 6202A,
Environmental Protection Agency, 1200 Pennsylvania Ave. NW.,
Washington, DC 20460; telephone number:<PHONE_NUMBER>; fax number: 202-
343-2208; email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Supporting documents which explain in detail
the information that the EPA will be collecting are available in the
public docket for this ICR. The docket can be viewed online at
www.regulations.gov or in person at the EPA Docket Center, WJC West,
Room 3334, 1301 Constitution Ave. NW., Washington, DC. The telephone
number for the Docket Center is<PHONE_NUMBER>. For additional
information about EPA's public docket, visit http://www.epa.gov/dockets.
    Abstract: In 2002, EPA launched two new partnership programs with
industry and other stakeholders: The Green Power Partnership (GPP) and
the Combined Heat and Power Partnership (CHPP). These voluntary
partnership programs encourage organizations to invest in clean,
efficient energy technologies, including renewable energy and combined
heat and power. To continue to be successful, it is critical that EPA
collect information from GPP and CHPP Partners to ensure these
organizations are meeting their renewable energy and CHP goals and to
assure the credibility of these voluntary partnership programs.
    EPA has developed this ICR to obtain authorization to collect
information from organizations participating in the GPP and CHPP.
Organizations that join these programs voluntarily agree to the
following respective actions: (1) Designating a Green Power or CHP
liaison and filling out a Partnership

Agreement or Letter of Intent (LOI) respectively, (2) for the GPP,
reporting to EPA, on an annual basis, their progress toward their green
power commitment via a 3-page reporting form; (3) for the CHP
Partnership, reporting to EPA information on their existing CHP
projects, new project development, and other CHP-related activities via
a one-page reporting form (for projects) or via an informal email or
phone call (for other CHP-related activities). GPP partners that wish
to receive additional recognition for their effort in green power use
and promotion may submit an application for the Green Power Leadership
Award. EPA uses the data obtained from its Partners to assess the
success of these programs in achieving their national energy and
greenhouse gas (GHG) reduction goals. Partners are organizational
entities that have volunteered to participate in either Partnership
program.
    Respondents/affected entities: Organizations participating in the
Green Power Partnership program and the Combined Heat and Power
Partnership program.
    Respondent's obligation to respond: Voluntary.
    Estimated number of respondents: 2,565 (total).
    Frequency of response: One time, annually, on occasion.
    Total estimated burden: 6,624 hours (per year). Burden is defined
at 5 CFR 1320.03(b).
    Total estimated cost: $822,459 (per year), includes $7,695
annualized capital or operation & maintenance costs.
    Changes in the Estimates: There is an increase of 801 hours in the
total estimated respondent burden compared with the ICR currently
approved by OMB. Since the last ICR renewal, both the Green Power
Partnership and CHP Partnership have introduced program efficiencies to
reduce program burden by encouraging the electronic submission of
documents. The average number of hours per Partners has increased
slightly from 3.25 to 3.58, the total hourly burden increased primarily
due to an increase in the number of Partners in both programs and for
the addition of the Green Power Leadership Award application.

Courtney Kerwin,
Acting Director, Collection Strategies Division.
[FR Doc. 2015-15671 Filed 6-25-15; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register: July 21, 2006 (Volume 71, Number 140)]
[Notices]
[Page 41490-41491]
[DOCID:fr21jy06-85]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-54146; File No. SR-ISE-2006-39]

Self-Regulatory Organizations; International Securities Exchange,
Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule
Change Relating to a One-Year Pilot Extension Until July 18, 2007 for
the Price Improvement Mechanism

July 14, 2006.

    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 July 12, 2006, the International Securities Exchange, Inc.
(``Exchange'' or ``ISE'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as described in
Items I and II below, which items have been prepared by the Exchange.
The Exchange filed the proposed rule change pursuant to Section
19(b)(3)(A) of the Act \3\ and Rule 19b-4(f)(6) thereunder,\4\ which
renders the proposed rule change effective upon filing with the
Commission. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 240.19b-4(f)(6).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to extend the Pilot Periods contained in
paragraphs .03 and .05 of the Supplemental Material to Exchange Rule
723. The text of the proposed rule change is available on the
Exchange's Web site (http://www.iseoptions.com), at the Exchange's

Office of the Secretary, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The pilot periods provided in paragraphs .03 and .05 of the
Supplementary Material to ISE Rule 723 expire on July 18, 2006.\5\
Paragraph .03 provides that there is no minimum size requirement for
orders to be eligible for the Price Improvement Mechanism.

Paragraph .05 concerns the termination of the exposure period by
unrelated orders. The Exchange proposes to extend these pilots for an
additional year to give the Exchange and the Commission additional time
to evaluate the effects of the provisions before requesting permanent
approval of the rules.
---------------------------------------------------------------------------

    \5\ See Securities Exchange Act Release Nos. 50819 (December 8,
2004), 69 FR 75093 (December 15, 2004); and 52027 (July 13, 2005),
70 FR 41804 (July 20, 2005).
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b)(5) of the Act \6\ in that it is designed to promote
just and equitable principles of trade, remove impediments to and
perfect the mechanisms of a free and open market and a national market
system and, in general, to protect investors and the public interest.
Since the Price Improvement Mechanism has only been operating for a
relatively short period of time, the Exchange believes it is
appropriate to extend the pilot periods to provide the Exchange and the
Commission more data upon which to evaluate the rules.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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

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

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

    The Exchange has not solicited, and does not intend to solicit,
comments on this proposed rule change. The Exchange has not received
any written comments from members or other interested parties.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
by its terms, become operative for 30 days from the date on which it
was filed, or such shorter time as the Commission may designate if
consistent with the protection of investors and the public interest, it
has become effective pursuant to Section 19(b)(3)(A) of the Act \7\ and
Rule 19b-4(f)(6) thereunder.\8\
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78s(b)(3)(A).
    \8\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) normally may
not become operative prior to 30 days after the date of filing.
However, Rule 19b-4(f)(6)(iii) \9\ permits the Commission to designate
a shorter time if such action is consistent with the protection of
investors and the public interest. The Exchange has requested that the
Commission waive the 30-day operative delay and designate the proposed
rule change immediately operative upon filing. The Commission believes
that waiver of the 30-day operative delay is consistent with the
protection of investors and the public interest because it would allow
the pilots to continue without interruption until July 18, 2007. For
this reason, the Commission designates the proposal to be effective and
operative upon filing with the Commission.\10\
---------------------------------------------------------------------------

    \9\ 17 CFR 240.19b-4(f)(6)(iii).
    \10\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. 15 U.S.C. 78c(f).
---------------------------------------------------------------------------

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml.
); or     Send an e-mail to<EMAIL_ADDRESS>Please include

File Number SR-ISE-2006-39 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-ISE-2006-39. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml
). Copies of the submission, all subsequent amendments, all

written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for inspection and
copying in the Commission's Public Reference Room. Copies of such
filing also will be available for inspection and copying at the
principal office of the Exchange. All comments received will be posted
without change; the Commission does not edit personal identifying
information from submissions. You should submit only information that
you wish to make available publicly. All submissions should refer to
File Number SR-ISE-2006-39 and should be submitted on or before August
11, 2006.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\11\
---------------------------------------------------------------------------

    \11\ 17 CFR 200.30-3(a)(12).
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Jill M. Peterson,
Assistant Secretary.
 [FR Doc. E6-11573 Filed 7-20-06; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 79, Number 10 (Wednesday, January 15, 2014)]
[Notices]
[Pages 2650-2651]
[FR Doc No: 2014-00540]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 2058-086]

Avista Corporation; Notice of Application To Amend License and
Accepted for Filing, Soliciting Comments, Motions To Intervene, and
Protests

    Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection:
    a. Type of Application: Amendment to License.
    b. Project No: 2058-086.
    c. Date Filed: December 12, 2013.
    d. Applicant: Avista Corporation.
    e. Name of Project: Clark Fork Hydroelectric Project.
    f. Location: On the Clark Fork River in Bonner County, Idaho and
Sanders County, Montana. The project occupies federal lands
administered by the US Forest Service.
    g. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791(a)-825(r).
    h. Applicant Contact: Avista, Attn: Timothy J. Swant, MSC-1, P.O.
Box 3727, Spokane, WA 99220-3727,<PHONE_NUMBER>.
    i. FERC Contact: Steven Sachs at<PHONE_NUMBER>; or
<EMAIL_ADDRESS>    j. Deadline for filing comments, motions to intervene, and
protests, is 30 days from the issuance date of this notice by the
Commission. The Commission strongly encourages electronic filing.
Please file any motion to intervene, protest, comments, and/or
recommendations using the Commission's eFiling system at http://www.ferc.gov/docs-filing/efiling.asp. Commenters can submit brief
comments up to 6,000 characters, without prior registration, using the
eComment system at http://www.ferc.gov/docs-filing/ecomment.asp. You
must include your name and contact information at the end of your
comments. For assistance, please contact FERC Online Support at
<EMAIL_ADDRESS>(866) 208-3676 (toll free), or (202) 502-
8659 (TTY). In lieu of electronic filing, please send a paper copy to:
Secretary, Federal Energy Regulatory Commission, 888 First Street, NE.,
Washington, DC 20426. The first page of any filing should include
docket number P-2058-086.
    k. Description of Request: The applicant proposes to modify the
Noxon Rapids development of the Clark Fork Project by removing three
900-foot-long, 230-kilovolt (kV) transmission lines and replacing them
with three new 3,800-foot-long, 230-kV transmission lines. Construction
of the new transmission lines would require the project boundary to be
expanded by 12 acres onto land owned by the applicant.
    l. Locations of the Application: This filing may be viewed on the
Commission's Web site at http://www.ferc.gov/docs-filing/elibrary.asp.
Enter the docket number P-2058 in the docket number field to access the
document. You may also register online at http://www.ferc.gov/docs-filing/esubscription.asp to be notified via email of new filings and
issuances related to this or other pending projects. For assistance,
call 1-866-208-3676 or email<EMAIL_ADDRESS>for TTY, call
(202) 502-8659. A copy is also available for inspection and
reproduction at the address in item (h) above and at the Commission's
Public Reference Room, located at 888 First Street, NE., Room 2A,
Washington, DC 20426, or by calling<PHONE_NUMBER>.
    m. Individuals desiring to be included on the Commission's mailing
list should so indicate by writing to the Secretary of the Commission.

    n. Comments, Protests, or Motions to Intervene: Anyone may submit
comments, a protest, or a motion to intervene in accordance with the
requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211,
.214. In determining the appropriate action to take, the Commission
will consider all protests or other comments filed, but only those who
file a motion to intervene in accordance with the Commission's Rules
may become a party to the proceeding. Any comments, protests, or
motions to intervene must be received on or before the specified
comment date for the particular application.
    o. Filing and Service of Responsive Documents: Any filing must (1)
bear in all capital letters the title ``COMMENTS'', ``PROTEST'', or
``MOTION TO INTERVENE'' as applicable; (2) set forth in the heading the
name of the applicant and the project number of the application to
which the filing responds; (3) furnish the name, address, and telephone
number of the person protesting or intervening; and (4) otherwise
comply with the requirements of 18 CFR 385.2001 through 385.2005. All
comments, motions to intervene, or protests must set forth their
evidentiary basis and otherwise comply with the requirements of 18 CFR
4.34(b). All comments, motions to intervene, or protests should relate
to project works which are the subject of the license amendment.
Agencies may obtain copies of the application directly from the
applicant. A copy of any protest or motion to intervene must be served
upon each representative of the applicant specified in the particular
application. If an intervener files comments or documents with the
Commission relating to the merits of an issue that may affect the
responsibilities of a particular resource agency, they must also serve
a copy of the document on that resource agency. A copy of all other
filings in reference to this application must be accompanied by proof
of service on all persons listed in the service list prepared by the
Commission in this proceeding, in accordance with 18 CFR 4.34(b) and
385.2010.

    Dated: January 8, 2014.
Kimberly D. Bose,
Secretary.
[FR Doc. 2014-00540 Filed 1-14-14; 8:45 am]
BILLING CODE 6717-01-P