Mohegan Tribal Ordinance 2005 VZ The Mohegan Tribe Tribal Air Program Area wide NOx Emission Limitation Regulation Section l. Purpose.

The purpose of this Area Wide Limitation for NOx ( AWL) is to ensure the health, economic, esthetic and cultural well being of all people present, and residing upon, the Mohegan Indian Reservation and to establish a federally enforceable limitation on NOx emissions from specified stationary sources .

Section 2. Applicability.

These rules apply to all stationary sources of NOx emissions that: directly emit, or have the potential to emit, NOx via fuel combustion; are owned or operated by the Mohegan Tribal Gaming Authority; generate greater than, or equal to, 5 million Btu/ hour; and are located within the external boundaries of the Tribe's Reservation.

Section 3. Definitions .

For purposes of this Regulation, the terms defined in the Clean Air Act, as amended, 42 U. S. C. Sections 7401 et seq., and its implementing federal regulations shall apply unless otherwise defined or noted herein:

A. " Administrator" shall mean the Administrator of the Mohegan Environmental Protection Department.

B . " Department" shall mean the Mohegan Environmental Protection Department.

C. " Area Wide" or~" Facility" shall mean the geographic area within the external boundaries of the Tribe's Reservation and within which NOx emission units owned or operated by the Mohegan Tribal Gaming Authority are located.

D. " Clean Air Act" or " CAA" shall mean the federal Clean Air Act, as amended, 42 USCA Sections 7401 et seq.

E. " Diesel Generator," " Life Safety Generator" or " Emergency Diesel Generator" shall mean diesel generators located within the external boundaries of the Tribe's Reservation, owned or operated by the Mohegan Tribal Gaming Authority, and used to provide power 1 in the event of an emergency. A load shaving unit, peaking power production unit or a standby engine in an energy assistance program is not an emergency or life safety generator under this definition.

F. " Emergency" means any situation arising from sudden and reasonably unforeseeable events beyond the control of the MTGA that requires immediate and unavoidable corrective action to restore normal operation and may cause area wide emissions to exceed an emission limitation. An emergency shall not include any noncompliance arising from improperly designed equipment, lack of preventative maintenance, careless or improper operation, operation error, or a decision to continue operating despite knowledge of any of these circumstances .

G. " Emission unit" shall mean any source of NOx emissions described in Section 2 and to which this Regulation applies.

H. " Modification" shall mean any physical change or change in the method of operation of a NOx emission unit, including but not limited to the use of alternate fuels or changes to associated control equipment, resulting in the increase of the amount of NOx emitted into the atmosphere by such unit.

I. " Mohegan EPD" or " MEPD" shall mean the Mohegan Environmental Protection Department established pursuant to Mohegan Tribal Ordinance No. 2002 12 .

J. " Mohegan Tribe" or " Tribe" shall mean The Mohegan Indian Tribe of Indians of Connecticut, recognized by the United States government on March 15, 1994 ( 59 FR 12140).

K. " Mohegan Tribal Gaming Authority" or " MTGA" shall mean the Tribal entity established pursuant to Article NM of the Tribe's Constitution by Tribal Ordinance 95 2 ( July 1995) and empowered to regulate gaming, including all associated facilities, on tribal lands.

L. " Tribal Reservation" or " Reservation" shall mean all land within the exterior boundaries of the Mohegan Tribe Reservation.

M. Tribal Authority Rule or " TAR" shall mean the regulations issued by the USEPA as set forth in the Federal Register on February 12, 1998 ( Volume 63, Number 29, Page 7253 7274). '

N. " USEPA" shall mean the United States Environmental Protection Agency.

Section 4. Authority to Administer Program.

A. The Tribe has the authority to promulgate, implement, administer and enforce this Regulation pursuant to the Clean Air Act, the Tribal Authority Rule, and the Tribe's 2 inherent sovereign authority and jurisdiction over its land, water and air resources. B. The Administrator of the Mohegan Environmental Protection Department is authorized to take all necessary and appropriate steps to implement, administer and enforce the requirements of this Regulation.

Section 5. Area Wide Limitation for NOx.

The Diesel Generators shall not be used in conjunction with any voluntary demand reduction program ( e. g. electrical demand load shedding program).

B . The MTGA shall submit an Air Emissions Inventory, in such form as prescribed by the Administrator, to the Administrator within 30 days of the effective date of this Regulation. Such Inventory shall be submitted in conformity with Section 9. C. i of this Regulation.

C. The following requirements shall apply to all NOx emission units and associated control equipment:

i. The modification or installation of any NOx emission unit that causes the total NOx emissions in any 12 month rolling year to exceed the Area Wide Limitation established in Section 5 . E. i of this Regulation is prohibited.

ii . Prior to the modification of any NOx emission unit identified in the Air Emissions Inventory, the MTGA shall submit a written request to the Administrator in conformity with Section 9. B. iii of this Regulation. The Administrator shall approve a request for modification upon finding that the proposed modification will not cause total NOx emissions in a representative set of 12 month rolling years to exceed the Area Wide Limitation established in Section 5. E. i.

iii. Prior to the construction or installation of any new NOx emission unit not identified in the Air Emissions Inventory, the MTGA shall submit a written request to the Administrator in conformity with Section 9. B. iv of this Regulation. The Administrator shall approve a request for construction or installation upon finding that the proposed construction or installation will not cause total NOx emissions in a representative set of 12 month rolling years to exceed the Area Wide Limitation established in Section 511 D. The total NOx emissions from NOx emission units owned or operated by the MTGA shall not exceed the Area Wide Limitation established in Section 511 of this Regulation.

E. Determination of the Area Wide NOx Emissions.

i. The Area Wide Limitation for NOx emissions shall be 49 TPY for each 12 month rolling year. If the USEPA issues a final rulemaking allowing the revision of 3 major source thresholds in an implementation plan to correspond to the Area's classification under the eight hour ozone National Ambient Air Quality Standards, the Area Wide Limitation for NOx emissions shall be 99 TPY for each 12 month rolling year on and after the date on which such rulemaking is effective .

ii. The MTGA shall use the following formulas to verify compliance with the Area Wide Limitation :

Formula # 1 NOx( Boiler)

BG BO kgal MMCF NOx EF*

Formula # 2 NOx( EGen) Monthly NOx Emissions from Boilers( ton/ month)

= [( BG * NOx EF) + ( BO * NOx EF)) / ( 2000 Lb/ Ton)

= Actual boiler natural gas usage in MMCF per month = Actual boiler fuel oil usage in kgal per month = 1,000 gallons of fuel oil = Million cubic feet of natural gas = NOx emissions factor for boiler firing natural gas in Lb/ MMCF or fuel oil in Lb/ kgal Monthly NOx Emissions from Emergency Generators ( EG) ( ton/ month)

= ( EGO * HVac, el * Do; ese, * NOx EF) / ( 2000 Lb/ Ton)

EGO = Actual emergency generator fuel oil usage in gallons per month HVDiesel = Heating value of diesel at 0.0193 MMBTU/ Lb DDIese, = Density of diesel at 7.1 Lb/ gallon NOx EF*

Formula # 3 = NOx emissions factor for EG firing diesel fuel in Lb1MIvIBTU Monthly NOx Emissions from Fuel Cells ton/ month)

NOx( F elcelq = ( FCG * NOx EF) / ( 2000 Lb/ Ton)

FCG = Actual fuel cell natural gas usage in MMCF per month NOx EF*

Formula # 4 NOx( w. d) = NOx eniissions factor for fuel cell using iiatural gas in Lb/ MMCF Monthly NOx Emissions from Wood Burning Devices ( tons/ month)

= [( CW) * ( 2.85 tons/ cord) * NOx EFJ / ( 2000 Lb/ Ton)

CW = Actual wood usage in cords of dry wood burned per month NOx EF = NOx emissions factor for device burning wood at 2.8 Lb/ ton Formula # 5 Monthly Area Wide NOx Emissions ( tons/ month) NOX( Montfily)= [ NOX( Boilerl + 2 + . . n) + NOX( EGen I + 2 + . . . n) + NOX( FueICeIlI + 2 + . . . n) ' f" NOX( wood) J Formula # 6 Area Wide NOx Emissions for 12 Month Rolling Year NOX( Facility) = [ Sum of NOx( Mo thly) from the current and previous 11 months]

* See Section 5. E. iii for the appropriate NOx emissions factor.

Ill . Within 30 days of the effective date of this Regulation, the MTGA shall submit to the Administrator a proposed list of NOx emission factors for each NOx emission unit covered by this Regulation. The Administrator shall approve this proposed list, and subsequent requests to revise emission factors, only if each factor is based on emissions rates determined on the basis of the following data.

a. Data from continuous emissions monitoring equipment that is installed, operated, and certified in accordance with 40 CFR Part 60; or b. If continuous emissions monitoring data are unavailable, then data from stack testing conducted in accordance with Sections 7. A  7. D; or,

c. If continuous emissions monitoring and stack testing data are unavailable, data supplied by the manufacturer of the subject emissions unit, but only if the data were derived from USEPA approved emissions testing of such unit performed by or for the manufacturer; or d. If none of the data described above are available, data from " Compilation of Air Pollutant Emission Factors ( AP 42)" published by the USEPA.

iv. NOx emissions from all emission units operated by the MTGA shall be calculated on a monthly basis according to the method specified in Section 5. E. ii. The results of these calculations shall be included in the Monthly Report, in conformity with Section 9. D. i of this Regulation.

v. The Area Wide NOx emissions from all emission units operated by the MTGA shall be calculated on a 12 month rolling basis according to the method specified in Section 5. E. ii.

vi. The MTGA shall submit a Quarterly Report of the monthly emission totals to the Administrator in conformity with Section 9. C. ii of this Regulation.

Section 6. Compliance with Clean Air Act New Source Performance Standards, 40 C. F. R. Part 60, Subpart Dc.

Pursuant to its authority under the Clean Air Act and 40 C. F. R. Section 60.13( i), on January 2,

5 2001, the USEPA granted a waiver of the federal requirement that individual fuel meters must be used for monitoring each boiler ( 40 CFR Section 60.48c( g)) . This waiver is attached to this Regulation and incorporated herein by reference .

Section 7. Testing A. An initial stack test shall be performed by the MTGA on NOx emission units ( 1) within 90 days of the effective date of this regulation for each existing NOx emission unit ( if not previously performed) and ( 2) within 90 days of the initial start up of a NOx emission unit not identified in the Air Emissions Inventory required by Section 5.13;

B . A periodic stack test shall be performed on each NOx emission unit every three years after the date of the initial stack test. The periodic stack test requirement is waived for emission units equipped with a CEMS satisfying the requirements of 40 CFR 60 Subpart A.

C. The MEPD or the USEPA may require additional stack testing .

D. Before conducting any stack testing described in Section 7, the MTGA shall:

i. Submit to the Administrator and the USEPA a notice of intent to test, containing the items enumerated in Section 9. B. ii of this Regulation, at least 60 days prior to the anticipated test date.

ii. Conduct compliance stack testing in accordance with procedures set forth in Appendix A of 40 CFR part 60 or another method approved by the Administrator and the USEPA.

iii. Submit the emission test report to the Administrator and the USEPA within 60 days of the completion of the compliance stack testing, in conformity with Section 9. C. iv .

E. The MTGA shall perform an inspection and maintenance on each NOx emission unit in accordance with the manufacturer's requirements and test each unit for efficient operation at least once each calendar year. The results of said testing and the dates upon which it was performed shall be recorded in conformity with Section 9. D. iv. of this Regulation .

Section 8. Monitoring A. Upon completion of any initial stack tests, and prior to the operation of any NOx emission unit, the MTGA shall install an automatic data acquisition and reporting system to track and record fuel use and to calculate air emissions from all existing and planned NOx emission units. This automatic data acquisition and reporting system shall operate continuously. The data and acquisition system shall be calibrated, inspected and 6 maintained by MTGA in accordance with the manufacturer's and/ or the supplier's recommendations.

B. Upon completion of testing, and prior to the operation of any NOx emission unit, the MTGA shall install, at the fuel inlet line for each such unit, a gas flow meter or an oil flow meter. If the NOx emission unit can bum both gas and oil, the MTGA shall install both a gas and an oil flow meter on that unit. If a return flow fuel nozzle is installed on the unit, a supply and return flow meter shall also be installed on that unit.

C. The MTGA shall install an automatic energy tracking and control system . This energy tracking and control system shall track fuel use data, calculate part load efficiencies for each boiler and boiler combination, and identify the optimum boiler selection to reduce fuel use and emissions. The energy tracking and control system shall operate continuously . Prior to operating any NOx emission unit, the MTGA shall ensure such unit is connected to the automatic energy tracking and control system.

D. The MTGA shall install and operate automated boiler plant controls on the energy tracking and control system described in Section 8. C. of this Regulation. Such automatic controls shall be programmed to select and maintain optimum boiler operation combinations in order to minimize NOx emissions. Prior to operating any NOx emission unit, the MTGA shall ensure such unit is connected to the automated boiler plant controls of the energy tracking and control system E. The energy tracking and control system described in Sections 8. C. and D. of this Regulation shall track and record information in conformity with Section 9. D. iii. of this Regulation.

F. Flue gas oxygen sensors shall be installed on each boiler and monitored continuously.

Section 9. Recordkeeping and Reporting Requirements.

The MTGA shall follow the reporting and record keeping requirements related to this Regulation as follows:

A. . Verbal Notification by MTGA to Administrator:

i. If one or more diesel generators cumulatively operate( s) more than 24 hours, the MTGA shall verbally notify the Administrator within 4 hours. This verbal notification must be followed up with written notification within two business days to the Administrator of such event.

ii. If, during stack testing conducted pursuant to Section 7 of this Regulation, there are any changes in the emissions factors for the fuel combustion sources and 7 combustion efficiencies for each boiler, the MTGA shall verbally notify the Administrator within 24 hours. This verbal notification must be followed up with written notification within two business days to the Administrator of such event.

B . Written Notification by MTGA to Administrator :

i. In any month that Area Wide NOx Emissions for the associated 12 month rolling year ( NOx( Am Wide)) exceeds the Area Wide Limitation established in Section 5. E. i, the MTGA shall notify the Administrator, in writing, within 15 days of the end of that month.

ii . At least 60 days prior to any scheduled Performance Testing of the NOx emission units required under Section 7 of this Regulation, the MTGA shall submit to the Administrator and the USEPA a notice of intent to test. Such notice shall contain the test protocol/ test methodology to be utilized by the MTGA and all relevant information pertinent to conducting such performance testing. ( See Section 7. D) .

iii. Prior to the modification of any existing NOx emission unit, including the use of any alternate fuel other than natural gas or fuel oil, the MTGA shall submit a written request for review and approval by the Administrator of such modification. The written request shall contain a detailed description of the nature of the proposed modification, a description of the potential effect of the modification on the NOx emissions of the unit, the scheduled completion date of the modification and date of return to on line status of the unit, and any other supporting documentation showing that the proposed modification meets all applicable tribal and federal requirements . ( See Section 5. C. ii).

iv. Prior to the construction or installation of any new NOx emission unit, the MTGA shall submit a written request for review and approval by the Administrator of such construction or installation. The request shall contain a detailed description of the proposed construction or installation showing the potential effect on total NOx emissions and showing that the addition of such NOx emission unit meets all applicable tribal and federal requirements. ( See Section 5. C. iii).

v. If the MTGA, based on the results of performance testing, wishes to revise the NOx emissions factors approved of in Section 5. E. iii; the MTGA shall submit a request to the Administrator. The Administrator shall provide the MTGA with the necessary paperwork, including the required documentation necessary for submission of such request. Upon completion of a11 necessary documentation, the Administrator shall review the request for approval. The Administrator shall approve NOx emissions factors only if each factor is based on emission rates determined in accordance with Section 5. E. iii.

C. Required Reports from MTGA to Administrator:

8 i . Air Emissions Inventory The MTGA shall submit such inventory within 30 days of the effective date of this Regulation. The inventory shall identify each existing NOx emission unit and, for each existing unit, the yearly and monthly emissions of ( 1) NOx, ( 2) particulate matter ( PM), ( 3) volatile organic compounds, and ( 4) carbon monoxide. ( See Section 5. B.)

ii . Quarterly NOx Emissions Report The MTGA shall submit a quarterly report containing the previous 3 months' Monthly Reports, as described in Section 9. D. i of this Regulation, due no later than 30 calendar days following the end of each calendar quarter . ( See Section 5 . E. vi and Section 9. D. i)

iii. Quarterly NSPS Report  If the MTGA switches . fuel types from natural gas to distillate oil in any boiler monitored by the alternate plan in lieu of 40 C. F. R. Section 60.48c( g) [ individual fuel meters on each boiler], the MTGA shall submit quarterly reports to the Administrator of fuel sulfur content in accordance with 40 CFR Sections 60.48c( e)( 11) and 60.48c( f)( 1). ( See Section 6.)

iv. Performance Testing Report If the MTGA conducts stack testing pursuant to Section 7 of this Regulation, the Combustion and Emissions Test Forms and the Summary Reports shall be sent to the Administrator within 48 hours of completing the tests. The Summary Report shall include the test equipment used, most recent calibration test results, a11 Combustion and Emissions Test Forms, and narratives describing test procedures and observations . The final emission test report shall be submitted to the Administrator and the USEPA within 60 days of the completion of stack testing.

D. Records to be Maintained by the MTGA:

i. The Monthly Report shall contain the following information:

a. The Area Wide NOx Emissions for the 12 month rolling year ( NOx( F. jury)) ; b. The total monthly natural gas consumption in each Boiler and Fuel Cell ( in MMCF per month) ; c. The total monthly number two fuel oil consumption in each Boiler ( in gallons per month) ; d. The total monthly NOx emissions from each NOx emission unit calculated in accordance with Formula # 1= NOx( Bo; ta), Formula # 2= NOx(& m., O ) ; Formula # 3= NOx( F, elcaiq, and Formula # 4= NOx(,. omb n, i, g); e. The monthly actual fuel use for the diesel generators; and f. The running totals of Section D. i. b. e., above, for the previous 12 month rolling year. ii . The Combustion and Emissions Test Forms and Summary Reports created during performance testing shall be made available for inspection and securely stored for a period of at least five years by the MTGA. ( See Section 9. C. iv) .

iii. The MTGA shall track and record, as part of the Energy Tracking and Control System that shall operate continuously, the following information :

a. Natural Gas Use by each Boiler; b. Fuel Oil use by each Boiler; c. Fuel Use by Fuel Cells; d. Thermal Output from Fuel Cells; and e. Outdoor Air Temperature.

iv. The MTGA shall record the dates and results of the inspection and maintenance conducted on each NOx emission unit in accordance with the manufacturer's requirements. These records shall be made available for inspection and securely stored for a period of at least five years by the MTGA. ( See Section 7. E).

v. Daily Records The MTGA shall maintain a record of the following information on a 24 hour calendar day basis:

a. The total daily natural gas consumption in each Boiler. ( in MMCF per day); b. The total daily number 2 fuel oil consumption in each Boiler ( in gallons per day); c. All data recorded by the energy tracking and control system described in Section 9. D. iii of this Regulation; d. The running totals of the amounts specified in Section 9. D. iii. a c for the previous calendar month.

E. If the MTGA uses the alternate monitoring plan described in Section 6 in lieu of the requirements of 40 CFR Section 60.48c( g) [ individual fuel meters on each boiler], the MTGA shall record, on a daily basis, the information below.

i. The MTGA shall record the total natural gas usage daily from a single meter and will monitor and record on a daily basis the amount of feedwater flow to each boiler . The total fuel use and feedwater flow to each boiler shall be recorded each day on boiler log sheets. If # 2 fuel oil is combusted in any or all of the boilers a separate fuel metering system shall be used and the same formula shall be used to determine the daily fuel use for each boiler. The following formula shall be used to allocate the total natural gas, or # 2 fuel oil, used by each boiler:

Boiler # gas use = daily gas use x feedwater to boiler # / feedwater to all boilers.

10 This equation will be used for all 40 CFR 60 Subpart Dc boilers operated by MTGA . The total fuel use and feedwater flow to each boiler will be recorded each day on boiler log sheets . If # 2 fuel oil is combusted in any or all of the boilers, a separate fuel metering system shall be used and the same formula shall be used to determine the daily fuel use for each boiler .

ii. If during the use of the alternate monitoring plan, the MTGA uses any fuel other than natural gas or low sulfur distillate fuel oil in the 40 CFR 60 Subpart Dc boilers, the MTGA shall measure and record the fuel usage on a daily basis for each source.

iii. If during the use of the alternate monitoring plan, the MTGA switches fuel types from natural gas to distillate oil, the MTGA. shall record fuel sulfur content in accordance with NSPS Subpart Dc at Sections 60.42c( h)( 1) and 60.44c( h) .

F. The Administrator may, with sixty ( 60) days written notice, require the MTGA to monitor, record and report information in addition to those noted in this Regulation that the Administrator deems necessary to assure compliance with this Regulation and to protect human health, the environment, and the best interests of the Tribe. Such notice to the MTGA may be less than sixty ( 60) days, if the Administrator determines that it is reasonable to obtain such information in less than 60 days.

G. All records and reports required by this Regulation shall be securely maintained for a period of at least 5 years and shall be made available for inspection by the Administrator or USEPA and shall not be discarded after 5 years without prior approval of the Administrator.

Section 10. Inspections.

MEPD employees or USEPA are authorized to enter any building or structure within the exterior boundaries of the Reservation for the purpose of inspecting any air pollution source, investigate any condition it, believes may be causing air pollution, or to examine any records required to be maintained by tis Regulation or other directive by the Administrator.

Section 11. Enforcement.

A. The Administrator is hereby authorized to enforce this Regulation as specified below:

i. Judicial Enforcement a. The Administrator may issue a citation to any person that the Administrator reasonably believes to have violated the requirements of this Regulation.

11 b. A citation shall require the person cited to appear before the Gaming Disputes Court on a date specified for a hearing on the violation charged in the citation.

c. The date for the required appearance shall be at least five ( 5) days and no more that sixty ( 60) days from the date of the citation, unless the . Administrator and the person cited agree to another date or settle the matter, and so inform the Gaming Disputes Court.

d. The Administrator is authorized to propose a settlement of the violation alleged in the citation. Such settlement ( 1) may consist of a monetary civil penalty and other reasonable terms proposed by the Administrator that are in the best interest of the Tribe and the environment and ( 2) shall assure compliance with this regulation.

e. At any hearing before the Gaming Disputes Court, pursuant to this Section, the Administrator, or his or her designee, shall present evidence establishing the alleged violation of this Regulation and shall propose a judicial order specifying a certain civil penalty and/ or injunctive relief.

f. At any hearing before the Gaming Disputes Court, pursuant to this Section, the alleged violator shall be given an opportunity to be heard, to present witnesses, and to examine the Administrator and any witnesses presented by the Administrator .

9 If, after hearing, the Gaming Disputes Court finds that a violation has in fact occurred, it may issue a judicial order for ( a) the assessment of civil penalties and/ or ( b) appropriate injunctive relief.

h. Cease and Desist Orders .

( i) Whenever, on the basis of any information available to the  Administrator, the Administrator reasonably believes that an individual is in violation of any requirement or prohibition of this Regulation and that the continuing violation constitutes a serious and imminent threat to the environment or human health, safety, and welfare; the Administrator may petition, with contemporaneous notice to an alleged violator, the Gaming Disputes Court for a cease and desist order.

( ii) The Gaming Disputes Court may issue a cease and desist order if it finds that the continuing violation does constitute a serious and i imminent threat to the environment or human health, safety, and welfare.

12 ( iii) The cease and desist order shall require immediate compliance with this Regulation and notify the alleged violator of his right to appeal the order to the Gaming Disputes Court of Appeals .

( iv) The issuance of a compliance order shall not prevent the Tribe from seeking judicial relief pursuant to Section 11 . A. i above or undertaking any other enforcement actions described in this section .

i. Any person aggrieved by any judicial order issued by the Gaming Disputes Court pursuant to this Section may appeal such order to the Gaming Disputes Court of Appeals.

ii. General Provisions a. The Administrator, may, in his or her discretion, refer alleged violations to the USEPA for either civil or criminal enforcement.

b. The Administrator is authorized to establish a schedule of civil penalties to be assessed for violations of this Regulation, subject to approval by Tribal Council.

c. The Mohegan Tribal Police Department shall assist the Administrator, upon request, to deliver and enforce a cease and desist order or any order issued by the Gaming Disputes Court pursuant to Section 11 of this Regulation.

Section 12. Public Notice.

The Administrator shall take appropriate steps to notify the MTGA regarding the requirements of this Regulation and any other preliminary and final actions taken that directly affect consultants, agents or employees of the MTGA.

Section 13. Severability Clause If any provision of this Regulation or the application thereof to any person or circumstance is held invalid, the invalidity shall not affect other provisions or applications of the Regulation  which can be given effect without the invalid provisions or application, and, to this end, the provisions of this Regulation are severable.

Section 14. Effective Date.

This Regulation is effective upon enactment by the Mohegan Tribal Council and upon adoption 13 of this Regulation by the Management Board of the Mohegan Tribal Gaming Authority.

Dated this a1 ~'/* day of Attest: ' , 2005 at Uncasville, Connecticut S Shirley M. Walsh ~ Recording Secretary


[Federal Register: September 25, 2008 (Volume 73, Number 187)]
[Notices]
[Page 55577-55580]
[DOCID:fr25se08-94]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-58607 ; File No. SR-NYSE-2008-86]

Self-Regulatory Organizations; Notice of Filing and Immediate
Effectiveness of Proposed Rule Change by New York Stock Exchange LLC
Proposing To Temporarily Suspend the Requirements of NYSE Rule 311 and
Related NYSE Rules Concerning the Approval of New Member Organizations
in Order To Approve Barclays Capital Inc. as an NYSE Member
Organization

September 19, 2008.
    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 September 19, 2008, New York Stock Exchange LLC
(``NYSE'' or the ``Exchange'') filed with the Securities and Exchange
Commission (the ``Commission'') the proposed rule change as described
in Items I and II below, which Items have been prepared by the self-
regulatory organization. The Exchange filed the proposal as a ``non-
controversial'' proposed rule change pursuant to Section 19(b)(3)(A) of
the Act,\4\ and Rule 19b-4(f)(6) thereunder,\5\ which renders the
proposal effective upon filing with the Commission.\6\ 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.
    \4\ 15 U.S.C. 78s(b)(3)(A).
    \5\ 17 CFR 240.19b-4(f)(6).
    \6\ NYSE gave the Commission written notice of its intention to
file the proposed rule change on September 19, 2008. The Commission
reviewed the proposed rule change and gave NYSE permission to file
the proposed the rule change on the same day. NYSE asked the
Commission to waive the 30-day operative delay. See Rule 19b-
4(f)(6)(iii). 17 CFR 240.19b-4(f)(6)(iii).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange is proposing to temporarily suspend the requirements
of NYSE Rule 311 and related NYSE rules concerning the approval of new
member organizations in order to approve Barclays Capital Inc.
(``BCI'') as an NYSE member organization, subject to BCI's complying
with Exchange rules for a new member organization within 60 days of the
date that BCI is provisionally approved as an NYSE member organization.

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

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

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

1. Purpose
    The Exchange proposes this rule filing to temporarily suspend the
requirements of NYSE Rule 311 and related rules regarding the approval
of member organizations in order to immediately approve as an NYSE
member organization the entity that acquires the assets of Lehman
Brothers Inc. (``LBI''). The Exchange proposes this temporary
suspension on an emergency basis to ensure that the acquiring entity,
Barclays Capital Inc. (``BCI''), which is a U.S. registered broker
dealer and FINRA member, will be able to expeditiously complete its
proposed acquisition of certain LBI assets and begin operating former
LBI business lines, including its specialist operations, as early as
September 22, 2008. This proposed temporary suspension is contingent
upon BCI having applied for and been approved as a new member
organization pursuant to Exchange rules within 60 days of the date that
BCI is provisionally approved as an NYSE member organization pursuant
to this filing.
a. Background
A. Lehman Files for Bankruptcy
    On September 15, 2008, Lehman Brothers Holding Inc. (``Lehman'')
filed for bankruptcy protection in the United States Bankruptcy Court
for the Southern District of New York under Chapter 11 of the U.S.
Bankruptcy Code. Lehman is the parent holding company of LBI, which is
a registered broker dealer and NYSE member organization. Lehman filing
for Chapter 11 protection was just one of the many unprecedented events
that have affected our markets in the last two weeks.\7\
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    \7\ On September 8, 2008, the U.S. Treasury Department took over
the federally charted mortgage companies Freddie Mac and Fannie Mae
and replaced their executive teams. This week, in addition to the
Lehman bankruptcy, Bank of America agreed to acquire Merrill Lynch
in an all-stock transaction, the federal government bailed out
American International Group, Inc. with a $85 million loan and took
control of the company, Morgan Stanley and Goldman, Sachs & Co.--the
two remaining independent U.S. investment banks--experienced sharp
stock declines despite reporting positive earnings, and the
Securities and Exchange Commission (``SEC'' or the ``Commission'')
has issued multiple emergency orders amending the rules governing
short selling.
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    Although LBI did not file for bankruptcy protection at that time,
Lehman's Chapter 11 status impaired LBI's ability to continue
operations. For example, out of concern that Lehman Brothers
MarketMakers (``LBMM''), the division of LBI that is approved as a
specialist operation at the Exchange, might not have sufficient capital
to meet both federal and NYSE rule requirements governing specialists,
on September 15, 2008, pursuant to NYSE Rule 103.11, the Exchange
temporarily reallocated Lehman Brothers MarketMakers securities to
Spear, Leeds & Kellogg Specialists LLC (``Spear Leeds'').
    On September 17, 2008, Barclays Bank PLC (``Barclays''), a global
financial services provider, announced that it had agreed to acquire
the LBI investment banking and capital markets operations and
supporting infrastructure for $1.75 billion (the ``proposed
acquisition''). As part of the proposed acquisition, Barclays would be
acquiring the LBI fixed income and equities sales, trading and
research, and investment banking businesses, including LBMM (the ``LBI
businesses''). Barclays would also be acquiring approximately 10,000
LBI employees, the Lehman headquarters located at 745 Seventh Avenue in
New York City, and two data centers located in New Jersey.
    The proposed acquisition is subject to a number of conditions,
including approval by the United States Bankruptcy Court for the
Southern District of New York and other regulatory approvals and
antitrust review. Moreover, if the proposed acquisition is not
completed by September 24, 2008, Barclays may terminate the agreement
to acquire LBI businesses.
B. Barclays Will Transfer LBI Assets to BCI
    On September 19, 2008, Barclays announced that certain LBI assets,
including its employees and businesses, will be transferred to its
wholly-owned subsidiary, BCI. BCI is a registered U.S. broker dealer
and FINRA member. However, BCI is not currently approved as an NYSE
member organization.
    The Exchange understands that LBI will likely file for some form of
bankruptcy protection on Friday, September 19, 2008, and thus by the
close of business on Friday, LBI will be in the control of a trustee.
The Exchange further understands that, subject to approval by the
bankruptcy court, as part of the bankruptcy proceeding, LBI assets will
be sold to Barclays and transferred to BCI. Accordingly, as early as
September 19, 2008, BCI may own and control the LBI businesses.
b. Proposed Temporary Suspension of NYSE Rule 311 and Related Rules
A. Background
    NYSE Rule 311 requires any person who proposes to form a member
organization to notify the Exchange in writing and submit such
information as may be required by NYSE rules. Unlike the Act, when a
corporate acquisition concerns an asset transfer only, and not an
acquisition of the corporate entity, NYSE member organization status
cannot be transferred to the acquiring entity; the entity that proposes
to continue the business operations of the predecessor member
organization must be separately approved as an NYSE member
organization.
    Among other things, to be approved as an NYSE member organization,
the applicant must:
     Provide the Exchange with a written application with the
name and address of the applicant as well as a list of all proposed
parties required to be approved under NYSE Rules 304 and 311 (NYSE Rule
311.11).
     Ensure that all persons associated with the applicant,
including corporate directors or general partners, as applicable,
persons in control of the applicant, and any person who meets the
requirements of an approved person under NYSE Rule 304, is approved as
a member or approved person (NYSE Rule 311(b)).
     Submit to the Exchange partnership or corporate documents
as may be applicable, including certificate of incorporation, by-laws,
and other corporate documents (NYSE Rule 313.10 or .20).
     Provide the Exchange with an opinion of counsel that,
among other things, the corporation is duly organized and existing, its
stock is validly issued and outstanding, and that the restrictions and
provisions required by the Exchange on the transfer, issuance,
conversion, and redemption of its stock have been made legally
effective (NYSE Rule 313.20).

    In addition, the Exchange reviews whether the applicant meets
federal and NYSE capital requirements and whether it has adopted
controls and procedures to comply with Exchange rules. For example, an
applicant that seeks approval to operate a specialist business pursuant
to NYSE Rule 103 must demonstrate that it has policies and procedures
in compliance with the NYSE rules governing trading by specialists, and
if applicable, has been approved for an exemption for approved persons
under NYSE Rule 98 (Former) or been approved to operate a specialist
unit under NYSE Rule 98.
    Due to the amount of information an applicant is required to
provide and have completed prior to being approved as a member
organization, the member organization approval process generally takes
several months to complete. The length of the approval process varies
depending on the timing of the applicant's response to requests for
information and documentation.
B. A Temporary Suspension of NYSE Rule 311 and Related Rules for BCI is
Consistent with the Act
    As proposed, BCI will continue the business operations of LBI,
including the LBMM specialist operations, in the same manner that they
were operated by LBI. Because the bankruptcy proceeding for LBI will
likely be on September 19, 2008, BCI could be eligible to continue LBI
operations on Monday, September 22, 2008.
    To ensure that BCI can continue the LBI operations without
unnecessary interruption, including all operations that required LBI to
be a member organization of the NYSE, such as the specialist operations
and entering orders directly with the Exchange, the Exchange believes
that BCI should be approved immediately as an NYSE member organization.
The Exchange notes that BCI is already a registered broker dealer and
FINRA member, which are prerequisites to becoming an NYSE member
organization. See NYSE Rule 2(b).
    The Exchange therefore proposes providing BCI with a temporary
suspension of NYSE Rules 304, 311, 312, and 313, as they relate to
approval to operate an NYSE member organization and approval of a
proposed member organization's approved persons, and immediately
approve BCI as a member organization. As proposed, this temporary
suspension is contingent upon:
     BCI's providing the Exchange with sufficient information
to confirm that BCI will meet its capital requirements as an NYSE
member organization; and
     Within 60 days of BCI's approval as an NYSE member
organization under this proposed filing, BCI and its approved persons
will have applied for and complied with the Exchange's new member
organization requirements, as set forth in NYSE Rules 304, and 311-313.
    Moreover, the Exchange proposes that in addition to being approved
as an NYSE member organization, to ensure that the LBMM operations can
continue, BCI should also be deemed approved as a specialist under NYSE
Rule 103. This approval is contingent upon BCI's certifying in writing
to the Exchange that, for the period immediately following approval as
an NYSE member organization until such time that BCI is independently
approved as an NYSE member organization:
     BCI will maintain the existing LBMM technologies,
staffing, supervisory structure, and written supervisory procedures
with respect to the specialist operations;
     Both BCI and its approved persons, as defined under NYSE
Rule 304, will comply with LBI's existing written supervisory
procedures and information barriers between the LBMM specialist
operations and the rest of the firm and its approved persons, pursuant
to NYSE Rule 98 (Former); and
     BCI will maintain the minimum capital for specialists, as
required both by federal rules and NYSE Rule 104.20 and 104.21.
    Upon receipt of such written statement, the Exchange will approve
BCI as a successor entity to LBI's registration as a specialist and
will lift the current temporary allocation of LBMM's securities to
Spear Leeds and formally allocate those securities to BCI. In addition,
the Exchange will extend the Rule 98 (Former) exemption currently
granted to LBI and its approved persons to BCI and its approved
persons, including Barclays.
    As proposed, if BCI does not apply for and be approved as a new
NYSE member organization pursuant to Exchange rules within 60 days of
the effective date of this filing, BCI's status as an approved NYSE
member organization will no longer be effective.
2. Statutory Basis
    The Exchange believes the proposed rule change is consistent with
and furthers the objectives of Section 6(b)(5) of the Act,\8\ in that
it is designed to prevent fraudulent and manipulative practices, to
promote just and equitable principles of trade, to remove impediments
to, and perfect the mechanisms of, a free and open market and a
national market system, and, in general, to protect investors and the
public interest.
---------------------------------------------------------------------------

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

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

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

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

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

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

    Because the foregoing proposed rule change does not: (1)
Significantly affect the protection of investors or the public
interest; (2) impose any significant burden on competition; and (3)
become operative for 30 days from the date of filing, 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 \9\ and
Rule 19b-4(f)(6) thereunder.\10\
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate such rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in furtherance of the purposes of the Act.
    The NYSE has requested the Commission to waive the 30-day operative
delay. The Commission hereby grants NYSE's request.\11\ The Commission
notes that the Exchange is proposing that certain of its rules relating
to membership requirements be temporarily suspended so that BCI can be
provisionally approved as an NYSE member organization. The proposed
relief does not exempt BCI from Exchange rule requirements governing
member organizations. BCI would have a 60-day grace period within which
to apply for and be approved under relevant Exchange rules. Moreover,
the Commission believes that immediate

effectiveness is appropriate to ensure a smooth transition of the LBI
businesses to another entity. In particular, with respect to BCI, time
is of the essence as it has been announced that BCI may succeed to
LBI's assets as early as September 19, 2008. Therefore, the Commission
believes that waiving the 30-day operative delay is consistent with the
protection of investors and the public interest and designates the
proposed rule change as operative upon filing.
---------------------------------------------------------------------------

    \11\ For purposes of waiving the 30-day operative delay, the
Commission has considered the proposal'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-NYSE-2008-86 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 SR-NYSE-2008-86. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/
sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for inspection and
copying in the Commission's Public Reference Room on official business
days between the hours of 10 a.m. and 3 p.m. Copies of the filing will
also be available for inspection and copying at the NYSE's principal
office and on its Internet Web site at www.nyse.com. All comments
received will be posted without change; the Commission does not edit
personal identifying information from submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File Number SR-NYSE-2008-86 and should be
submitted on or before October 16, 2008.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
Jill M. Peterson,
Assistant Secretary.
---------------------------------------------------------------------------

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

[FR Doc. E8-22506 Filed 9-24-08; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 82, Number 93 (Tuesday, May 16, 2017)]
[Notices]
[Pages 22574-22576]
[FR Doc No: 2017-09819]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-80647; File No. SR-CHX-2017-07]

Self-Regulatory Organizations; Chicago Stock Exchange, Inc.;
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change
To Modify the Date of Appendix B Web Site Data Publication Pursuant to
the Regulation NMS Plan To Implement a Tick Size Pilot Program

May 10, 2017.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 \2\ thereunder, notice is hereby given
that on April 28, 2017, the Chicago Stock Exchange, Inc. (``CHX'' 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 comments on the
proposed rule change from interested persons.
---------------------------------------------------------------------------

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

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

    CHX proposes to amend Article 20, Rule 13(b) of the Rules of the
Exchange (``CHX Rules'') to modify the date of Appendix B Web site data
publication pursuant to the Regulation NMS Plan to Implement a Tick
Size Pilot Program (``Plan'').
    The text of this proposed rule change is available on the
Exchange's Web site at (www.chx.com) and in 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 CHX included statements
concerning the purpose of and basis for the proposed rule changes 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 CHX 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
    Article 20, Rule 13(b) (Compliance with Data Collection
Requirements) \3\ implements the data collection and Web site
publication requirements of the Plan.\4\ Paragraph .08 of Article 20,
Rule 13(b) currently provides, among other things, that with respect to
data for the Pre-Pilot Period \5\ and the Pilot Period, the Exchange
shall make certain Appendix C data available to FINRA for aggregation
and publication on the FINRA Web site pursuant to FINRA Rules and the
Exchange will publish Appendix B data on the Exchange Web site, which
shall commence on April 28, 2017.\6\ The Exchange is proposing to
further delay the Web site publication of Appendix B data until August
31, 2017 to permit additional time to consider a methodology to
mitigate concerns raised in connection with the publication of Appendix
B data.\7\
---------------------------------------------------------------------------

    \3\ See Securities Exchange Act Release No. 80227 (March 13,
2017), 82 FR 14263 (March 17, 2017) (SR-CHX-2017-05); see also
Securities Exchange Act Release No. 79538 (December 13, 2016), 81 FR
91979 (December 19, 2016) (SR-CHX-2016-21); see also Securities
Exchange Act Release No. 77469 (March 29, 2016), 81 FR 19275 (April
4, 2016) (SR-CHX-2016-02).
    \4\ The Plan Participants filed the Plan to comply with an order
issued by the Commission on June 24, 2014. See Letter from Brendon
J. Weiss, Vice President, Intercontinental Exchange, Inc., to
Secretary, Commission, dated August 25, 2014 (``SRO Tick Size Plan
Proposal''). See Securities Exchange Act Release No 72460 (June 24,
2014), 79 FR 36840 (June 30, 2014); see also Securities Exchange Act
Release No. 74892 (May 6, 2015), 80 FR 27513 (May 13, 2015).
    \5\ Unless otherwise defined herein, capitalized terms have the
meaning ascribed to them in CHX Article 20, Rule 13.
    \6\ See Exchange Act Release No. 80227 (March 13, 2017), 82 FR
14263 (March 17, 2017) (SR-CHX-2017-05). See also Letter from David
S. Shillman, Associate Director, Division of Trading and Markets,
Commission, to Robert L.D. Colby, Executive Vice President and Chief
Legal Officer, FINRA, dated February 28, 2017.
    \7\ On March 3, 2017, FINRA filed a proposed rule change to
implement an anonymous, grouped masking methodology for Appendix
B.I, B.II. and B.IV. data. The comment period ended on April 5,
2017, and the Commission received three comment letters. See
Securities Exchange Act Release No. 80193 (March 9, 2017) 82 FR
13901 (March 15, 2017). FINRA and the Exchange also submitted an
exemptive request to the SEC, which, if granted, would permit FINRA
to, among other things, publish on its Web site Appendix B.I., B.II.
and B.IV. data for over-the-counter activity with respect to Trading
Centers for which FINRA or the Exchange is the designated examining
authority, in a manner consistent with FINRA's proposed anonymous,
grouped masking methodology. See Letter from Marcia E. Asquith,
Executive Vice President, Board and External Relations, FINRA, to
Robert W. Errett, Deputy Secretary, SEC, dated March 2, 2017.
---------------------------------------------------------------------------

    Pursuant to this proposed amendment, the Exchange would publish the
required Appendix B data for the Pre-Pilot Period through April 30,
2017 by August 31, 2017. Thereafter, Appendix B data for a given month
would be published within 120 calendar days following month end.\8\
Thus, for example, Appendix B data for May 2017 would be made available
on the Exchange Web site by September 28, 2017, and data for the month
of June 2017 would be made available on the FINRA [sic] Web site by
October 28, 2017.
---------------------------------------------------------------------------

    \8\ FINRA, on behalf of the Participants, is submitting an
exemptive request to the SEC in connection with the instant filing.
---------------------------------------------------------------------------

    As noted in Item 2 of this filing, the Exchange has filed the
proposed rule change for immediate effectiveness. The operative date of
the proposed rule change will be the date of filing.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act \9\ in general, and furthers the objectives of Section
6(b)(5) of the Act \10\ in particular, in that it is designed to
promote just and equitable principles of

trade, to foster cooperation and coordination with persons engaged in
facilitating transactions in securities, to remove impediments to and
perfect the mechanism of a free and open market and a national market
system and, in general, to protect investors and the public interest;
and are not designed to permit unfair discrimination between customers,
issuers, brokers, or dealers.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78f(b).
    \10\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Plan is designed to allow the Commission, market participants,
and the public to study and assess the impact of increment conventions
on the liquidity and trading of the common stock of small-
capitalization companies. The Exchange believes that this proposal is
consistent with the Act because it is in furtherance of the objectives
of Section VII(A) of the Plan in that it is designed to provide the
Exchange with additional time to consider a methodology to mitigate
concerns raised in connection with the publication of Appendix B data.

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

    The Exchange 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. The Exchange
notes that the proposed rule change implements the provisions of the
Plan.

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

    No written comments were either solicited or received.

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \11\ and Rule 19b-
4(f)(6) thereunder.\12\
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78s(b)(3)(A).
    \12\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19(b)-4(f)(6) normally does
not become operative prior to 30 days after the date of the filing.
However, pursuant to Rule 19b-4(f)(6)(iii), the Commission may
designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has filed
the proposed rule change for immediate effectiveness and has requested
that the Commission waive the requirement that the proposed rule change
not become operative for 30 days after the date of the filing so that
it may become operative on the date of filing.
    The Exchange notes that the proposed rule change is intended to
mitigate confidentiality concerns raised in connection with Section
VII(A) of the Plan, which provides that the data made publicly
available will not identify the Trading Center that generated the data.
The Exchange states that the additional time would allow consideration
of a methodology to mitigate concerns related to the publication of
Appendix B data.\13\
---------------------------------------------------------------------------

    \13\ The Commission recently approved a FINRA proposal to
implement an aggregated, anonymous grouped masking methodology for
the publication of Appendix B data related to OTC trading activity.
See Securities Exchange Release No. 80551, (April 28, 2017), 82 FR
20948 (May 4, 2017). See also Letter from David S. Shillman,
Associate Director, Division of Trading and Markets, Commission, to
Marcia E. Asquith, Executive Vice President FINRA, dated April 28,
2017.
---------------------------------------------------------------------------

    The Commission believes that waiving the 30-day operative delay is
consistent with the protection of investors and the public interest
because it will synchronize the timing for publication of Appendix B
data for all Participants, which should enhance the consistency and
usefulness of the data.\14\ Therefore, the Commission hereby waives the
30-day operative delay and designates the proposed rule change to be
operative on the date of filing.\15\
---------------------------------------------------------------------------

    \14\ The Commission recently granted exemptive relief to the
Participants delay the publication of their Appendix B data until
August 31, 2017. See Letter from David S. Shillman, Associate
Director, Division of Trading and Markets, Commission, to Jennifer
Piorko Mitchell, Vice President and Deputy Corporate Secretary,
FINRA, dated April 28, 2017. The Commission notes that other
Participants have submitted proposed rule changes to delay the
publication of Appendix B data until August 31, 2017. See e.g., SR-
BatsBYX-2017-10; SR-BatsBZX-2017-31; SR-BatsEDGA-2017-10; SR-
BatsEDGX-2017-19; SR-BX-2017-022; SR-FINRA-2017-010; SR-IEX-2017-12;
SR-NASDAQ-2017-044; SR-Phlx-2017-33; SR-NYSE-2017-19; SR-NYSEArca-
2017-49; SR-NYSEMKT-2017-24.
    \15\ For purposes only of waiving the operative delay for this
proposal, the Commission has considered the proposed rule's impact
on efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-CHX-2017-07 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 SR-CHX-2017-07. 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 Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549 on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-CHX-2017-07 and should be
submitted on or before June 6, 2017.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\16\
---------------------------------------------------------------------------

    \16\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-09819 Filed 5-15-17; 8:45 am]
 BILLING CODE 8011-01-P


Memorandum

To:	Julius Banks

From:	Bill Noel, SAIC and Nimmi Damodaran and Beth Scherer, Stratus
Consulting Inc.

Date:	4/19/2007

Subject:	Data Collected Under California Rule 1415: Reduction of
Refrigerant Emissions from Stationary Refrigeration and Air Conditioning
Systems

Similar to the Environmental Protection Agency’s requirements under
Section 608 of the Clean Air Act Amendments of 1990 (CAAA), the purpose
of California’s South Coast Air Quality Management District’s
(SCAQMD’s) Rule 1415 is to reduce emissions of Class I and Class II
refrigerants from stationary refrigeration and air conditioning systems
by requiring any person within in SCAQMD’s jurisdiction who owns or
operates a refrigeration system to reclaim, recover, or recycle
refrigerant and to minimize refrigerant leakage. A refrigeration system,
is defined for the purposes of the rule as any non-vehicular equipment
used for cooling or freezing, which holds more than 50 pounds of, any
combination of Class I and/or Class II refrigerant, including, but not
limited to, refrigerators, freezers, or air conditioning equipment or
systems.

Under Rule 1415, SCAQMD collects the following information every two
years from owners and operators of stationary refrigeration systems
holding more than 50 pounds of an ozone depleting refrigerant through
the use of a standard registration form (  HYPERLINK
"http://www.aqmd.gov/prdas/forms/1415form2.doc"
http://www.aqmd.gov/prdas/forms/1415form2.doc ).

Number of refrigeration systems in operation

Type of refrigerant in each refrigeration system

Amount of refrigerant in each refrigeration system

Date of last annual audit or maintenance performed for each
refrigeration system

Amount of additional refrigerant charged every year. For the purposes of
the rule, additional refrigerant charge is defined the quantity of
refrigerant (in pounds) charged to a refrigeration system in order to
bring the system to a full-capacity charge and replace refrigerant that
has leaked.

SCAQMD provided EPA with completed registration forms spanning from 2000
to 2006. The majority of these forms are grouped into the following
usage years, 2000 and 2001, 2002 and 2003, and 2004 and 2005. The
sectors that are represented by these forms include the following:

Supermarkets

Office buildings

Schools

Hospitals

Food processing

Pharmaceutical manufacturing.

The following three tables, which summarize the SCAQMD data that was
analyzed for the analysis of average leak rates for comfort cooling and
refrigeration equipment and input to the regulatory impact analysis of
proposed changes leak repair requirements under Section 608 of the CAAA.
 The tables represent data from 2004 and 2005, and are divided by the
type of equipment used (i.e., commercial refrigeration, comfort cooling,
and industrial process refrigeration). They specify the number of pieces
of equipment represented in each sector and the percent of the total
number of each type of equipment represented in this sample.

Table 1 summarizes the commercial refrigeration equipment and North
American Industrial Classification System (NAICS) codes from the SCAQMD
data.

Table 1. Commercial Refrigeration.

NAICS	Type of Entity	Number of Pieces of Equipment	Percent of Total
Equipment

44511	Supermarkets and Other Grocery (except Convenience) Stores	1722
100%

Table 2 summarizes the comfort cooling equipment and NAICS codes from
the SCAQMD data.

Table 2. Comfort Cooling.

NAICS	Type of Entity	Number of Pieces of Equipment	Percent of Total
Equipment

71	Arts, Entertainment, & Recreation	19	0.7%

32	Building Products Manufacturing	26	1.0%

---	Colleges and Universities	167	6.2%

55	Company Management	2	0.1%

23	Construction	2	0.1%

52	Finance and Insurance	54	2.0%

31	Food Manufacturing	6	0.2%

11	Forestry, Fishing, Hunting, and Agriculture Support	4	0.1%

62	Health Care & Social Services	106	3.9%

51	Information	451	16.7%

72	Lodging & Food Services 	53	2.0%

33	Metal Manufacturing	458	17.0%

---	Multi-purpose	2	0.1%

---	Non-profit entities	17	0.6%

81	Other Services	17	0.6%

54	Professional Services	80	3.0%

53	Real Estate Rental & Leasing	481	17.8%

45	Retail Stores	176	6.5%

---	Schools, Public Administration or other Public Institutions	508
18.8%

48	Transpotration	42	1.6%

22	Utilities	30	1.1%

 	   Total:	2,701

Tale 3 summarizes the process refrigeration equipment by NAICS codes
from the data.

Table 3. Industrial Process Refrigeration.

NAICS	Type of Entity	Number of Pieces of Equipment	Percent of Total
Equipment

3364	Aerospace Product and Parts Manufacturing	13	3.72%

311111	Animal Food Manufacturing	4	1.15%

3116	Animal Slaughtering & Processing	22	6.30%

3118	Bakeries & Tortilla Manufacturing	7	2.01%

31212	Bottled Water Manufacturing	7	2.01%

813910	Business Associations	1	0.29%

327310	Cement Manufacturing	5	1.43%

812220	Cemeteries and Crematories	3	0.86%

325	Chemical Manufacturing	6	1.72%

334	Computer and Electronic Product Manufacturing	3	0.86%

3341	Computer and Peripheral Equipment Manufacturing	8	2.29%

3222	Converted Paper Product Manufacturing	14	4.01%

3115	Dairy Product Manufacturing	3	0.86%

22111	Electricity Generation	4	1.15%

332	Fabricated Metal Product Manufacturing	9	2.58%

311	Food Manufacturing	21	6.02%

3114	Fruit & Vegetable Preservation and Specialty Food Manufacturing	10
2.87%

31	General Manufacturing	11	3.15%

327213	Glass Container Manufacturing	7	2.01%

325120	Industrial Gas Manufacturing	32	9.17%

3391	Medical Equipment and Supplies Manufacturing	11	3.15%

332431	Metal Can Manufacturing	3	0.86%

332116	Metal Stamping	3	0.86%

339	Miscellaneous Manufacturing	1	0.29%

3363	Motor Vehicle Parts Manufacturing	3	0.86%

2212	Natural Gas Distribution	4	1.15%

211	Oil & Gas Extraction	6	1.72%

3119	Other Food Manufacturing	2	0.57%

32511	Petrochemical Manufacturing	2	0.57%

32411	Petroleum Refineries	23	6.59%

3254	Pharmaceutical and Medicine Manufacturing	29	8.31%

48691	Pipeline Transportation of Refined Petroleum Products	4	1.15%

326111	Plastics Bag Manufacturing	1	0.29%

32616	Plastics Bottle Manufacturing	9	2.58%

326140	Polystyrene Foam Product Manufacturing	2	0.57%

32311	Printing	25	7.16%

32521	Resin and Synthetic Rubber Manufacturing	18	5.16%

32562	Rubber Product Manufacturing	4	1.15%

3344	Semiconductor and Other Electronic Component Manufacturing	1	0.29%

3312	Steel Product Manufacturing from Purchased Steel	2	0.57%

339112	Surgical and Medical Instrument Manufacturing	3	0.86%

32562	Toilet Preparation Manufacturing	2	0.57%

3212	Veneer, Plywood, and Engineered Wood Product Manufacturing	1	0.29%

 	    Total:	349

Stratus Consulting		Memorandum (Draft, 4/19/2007)

Page   PAGE  4


[Federal Register Volume 82, Number 249 (Friday, December 29, 2017)]
[Notices]
[Page 61787]
[FR Doc No: 2017-28192]

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

DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-4339-DR; Docket ID FEMA-2017-0001]

Puerto Rico; Amendment No. 6 to Notice of a Major Disaster
Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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

SUMMARY: This notice amends the notice of a major disaster declaration
for the Commonwealth of Puerto Rico (FEMA-4339-DR), dated September 20,
2017, and related determinations.

DATES: This amendment was issued December 6, 2017.

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

SUPPLEMENTARY INFORMATION: Notice is hereby given that the incident
period for this disaster is closed effective November 15, 2017.

    The following Catalog of Federal Domestic Assistance Numbers
(CFDA) are to be used for reporting and drawing funds: 97.030,
Community Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis
Counseling; 97.033, Disaster Legal Services; 97.034, Disaster
Unemployment Assistance (DUA); 97.046, Fire Management Assistance
Grant; 97.048, Disaster Housing Assistance to Individuals and
Households In Presidentially Declared Disaster Areas; 97.049,
Presidentially Declared Disaster Assistance--Disaster Housing
Operations for Individuals and Households; 97.050 Presidentially
Declared Disaster Assistance to Individuals and Households--Other
Needs; 97.036, Disaster Grants--Public Assistance (Presidentially
Declared Disasters); 97.039, Hazard Mitigation Grant.

Brock Long,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2017-28192 Filed 12-28-17; 8:45 am]
 BILLING CODE 9111-23-P