[Federal Register: May 20, 2009 (Volume 74, Number 96)]
[Notices]
[Page 23701-23704]
[DOCID:fr20my09-47]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPPT-2009-0309; FRL-8413-8]

Certain New Chemicals; Receipt and Status Information

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: Section 5 of the Toxic Substances Control Act (TSCA) requires
any person who intends to manufacture (defined by statute to include
import) a new chemical (i.e., a chemical not on the TSCA Inventory) to
notify EPA and comply with the statutory provisions pertaining to the
manufacture of new chemicals. Under sections 5(d)(2) and 5(d)(3) of
TSCA, EPA is required to publish a notice of receipt of a
premanufacture notice (PMN) or an application for a test marketing
exemption (TME), and to publish periodic status reports on the
chemicals under review and the receipt of notices of commencement to
manufacture those chemicals. This status report, which covers the
period from April 13, 2009 through April 24, 2009, consists of the PMNs
and pending or expired, and the notices of commencement to manufacture
a new chemical that the Agency has received under TSCA section 5 during
this time period.

DATES: Comments identified by the specific PMN number or TME number,
must be received on or before June 19, 2009.

ADDRESSES: Submit your comments, identified by docket identification
(ID) number EPA-HQ-OPPT-2009-0309, by one of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov.
Follow the on-line instructions for submitting comments.
     Mail: Document Control Office (7407M), Office of Pollution
Prevention and Toxics (OPPT), Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460-0001.
     Hand Delivery: OPPT Document Control Office (DCO), EPA
East Bldg., Rm. 6428, 1201 Constitution Ave., NW., Washington, DC.
Attention: Docket ID Number EPA-HQ-OPPT-2009-0309. The DCO is open from
8 a.m. to 4 p.m., Monday through Friday, excluding legal holidays. The
telephone number for the DCO is<PHONE_NUMBER>. Such deliveries are
only accepted during the DCO's normal hours of operation, and special
arrangements should be made for deliveries of boxed information.
    Instructions: Direct your comments to docket ID number EPA-HQ-OPPT-
2009-0309. EPA's policy is that all comments received will be included
in the docket without change and may be made available on-line at
http://www.regulations.gov, including any personal information
provided, unless the comment includes information claimed to be
Confidential Business Information (CBI) or other information whose
disclosure is restricted by statute. Do not submit information that you
consider to be CBI or otherwise protected through regulations.gov or e-
mail. The regulations.gov website is an ``anonymous access'' system,
which means EPA will not know your identity or contact information
unless you provide it in the body of your comment. If you send an e-
mail comment directly to EPA without going through regulations.gov,
your e-mail address will be automatically captured and included as part
of the comment that is placed in the docket and made available on the
Internet. If you submit an electronic comment, EPA recommends that you
include your name and other contact information in the body of your
comment and with any disk or CD-ROM you submit. If EPA cannot read your
comment due to technical difficulties and cannot contact you for
clarification, EPA may not be able to consider your comment. Electronic
files should avoid the use of special characters, any form of
encryption, and be free of any defects or viruses. For additional
information about EPA's public docket, visit the EPA Docket Center
homepage at http://www.epa.gov/epahome/dockets.htm.
    Docket: All documents in the docket are listed in the docket index
available in regulations.gov. To access the

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

FOR FURTHER INFORMATION CONTACT: Colby Lintner, Regulatory Coordinator,
Environmental Assistance Division, Office of Pollution Prevention and
Toxics (7408M), Environmental Protection Agency, 1200 Pennsylvania
Ave., NW., Washington, DC 20460-0001; telephone number:<PHONE_NUMBER>;
e-mail address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this Action Apply to Me?

    This action is directed to the public in general. As such, the
Agency has not attempted to describe the specific entities that this
action may apply to. Although others may be affected, this action
applies directly to the submitter of the premanufacture notices
addressed in the action. If you have any questions regarding the
applicability of this action to a particular entity, consult the person
listed under FOR FURTHER INFORMATION CONTACT.

B. What Should I Consider as I Prepare My Comments for EPA?

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

II. Why is EPA Taking this Action?

    Section 5 of TSCA requires any person who intends to manufacture
(defined by statute to include import) a new chemical (i.e., a chemical
not on the TSCA Inventory to notify EPA and comply with the statutory
provisions pertaining to the manufacture of new chemicals. Under
sections 5(d)(2) and 5(d)(3) of TSCA, EPA is required to publish a
notice of receipt of a PMN or an application for a TME and to publish
periodic status reports on the chemicals under review and the receipt
of notices of commencement to manufacture those chemicals. This status
report, which covers the period from April 13, 2009 through April 24,
2009, consists of the PMNs, pending or expired, and the notices of
commencement to manufacture a new chemical that the Agency has received
under TSCA section 5 during this time period.

III. Receipt and Status Report for PMNs

    This status report identifies the PMNs pending or expired, and the
notices of commencement to manufacture a new chemical that the Agency
has received under TSCA section 5 during this time period. If you are
interested in information that is not included in the following tables,
you may contact EPA as described in Unit I. to access additional non-
CBI information that may be available.
    In Table I of this unit, EPA provides the following information (to
the extent that such information is not claimed as CBI) on the PMNs
received by EPA during this period: the EPA case number assigned to the
PMN; the date the PMN was received by EPA; the projected end date for
EPA's review of the PMN; the submitting manufacturer; the potential
uses identified by the manufacturer in the PMN; and the chemical
identity.

                                             I. 25 Premanufacture Notices Received From: 4/13/09 to 4/24/09
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                                                              Projected Notice End
              Case No.                    Received Date               Date           Manufacturer/Importer           Use                  Chemical
--------------------------------------------------------------------------------------------------------------------------------------------------------
P-09-0307                            04/10/09                07/08/09                CBI                    (S) Raw material used  (G) Amine acrylate co-
                                                                                in ultra violet        initiator
                                                                                curable inks and
                                                                                coatings
P-09-0308                            04/10/09                07/08/09                CBI                    (S) Raw material used  (G) Amine modified
                                                                                in ultra violet        polyester acrylate
                                                                                curable inks and
                                                                                coatings
P-09-0309                            04/10/09                07/08/09                CBI                    (G) Open, non-         (G) Unsaturated
                                                                                dispersive use         polyester polymer
P-09-0310                            04/10/09                07/08/09                CBI                    (G) Open, non-         (G) Unsaturated
                                                                                dispersive use         polyester polymer

P-09-0311                            04/10/09                07/08/09                CBI                    (G) Open, non-         (G) Unsaturated
                                                                                dispersive use         polyester polymer
P-09-0312                            04/10/09                07/08/09                CBI                    (G) Open, non-         (G) Unsaturated
                                                                                dispersive use         polyester polymer
P-09-0313                            04/10/09                07/08/09                CBI                    (G) Open, dispersive   (G) Unsaturated
                                                                                use                    polyester polymer
P-09-0314                            04/15/09                07/13/09                Interfacial Solutions  (S) Interior building  (G) Modified (poly)
                                                                                materials; injection   lactic acid
                                                                                molded goods
                                                                                electronic housing
P-09-0315                            04/15/09                07/13/09                Interfacial Solutions  (S) Interior building  (G) Modified (poly)
                                                                                materials; injection   lactic acid
                                                                                molded hard goods /
                                                                                electronics housings
P-09-0316                            04/15/09                07/13/09                Eastman Kodak Company  (G) Raw material       (G) Disubstituted
                                                                                phenol
P-09-0317                            04/17/09                07/15/09                Autoliv ASP, Inc.      (S) Fuel used in       (S) Copper (2+),
                                                                                pyrotechnic            bis[N-[amino(imino-
                                                                                composition for        kn)methyl]urea-ko]-,
                                                                                automotive inflators   nitrate (1:2)
P-09-0318                            04/17/09                07/15/09                CBI                    (G) Coating material   (G) Polyester of
                                                                                aromatic / aliphatic
                                                                                dicarboxylic acid
                                                                                polymer with
                                                                                alkanepolyols and
                                                                                alkyl alkenoates
P-09-0319                            04/17/09                07/15/09                CBI                    (G) Pigment            (G) Polyester
                                                                                dispersant
P-09-0320                            04/17/09                07/15/09                CBI                    (S) Resin coating for  (G) Silsesquioxanes
                                                                                electronic parts
P-09-0321                            04/17/09                07/15/09                CBI                    (G) Coating material   (G) Polyester of
                                                                                aromatic / aliphatic
                                                                                / alkenoic
                                                                                dicarboxylic acid
                                                                                polymer with
                                                                                alkanepolyols
P-09-0322                            04/17/09                07/15/09                CBI                    (G) Adhesive           (G) Adipic acid,
                                                                                component              polymer with
                                                                                methylenebis
                                                                                [carbomonocyclic
                                                                                isocyanate],
                                                                                polyether polyols
                                                                                and a polyester
                                                                                polyol
P-09-0323                            04/21/09                07/19/09                CBI                    (G) Component of       (G) Complex organic
                                                                                industrial cleaning    magnesium sulfate
                                                                                products               compound
P-09-0324                            04/21/09                07/19/09                CBI                    (G) Component of       (G) Complex organic
                                                                                industrial cleaning    magnesium acetate
                                                                                products               compound
P-09-0325                            04/23/09                07/21/09                CBI                    (S) Synthetic          (G) Aromatic
                                                                                intermediate           hydrocarbon
P-09-0326                            04/23/09                07/21/09                CBI                    (S) Synthetic          (G) Aromatic bromide
                                                                                intermediate
P-09-0327                            04/22/09                07/20/09                CBI                    (G) Destructive use    (G) Surface modified
                                                                                aluminum hydroxide
P-09-0328                            04/23/09                07/21/09                CBI                    (G) Additive, open,    (G) (2-
                                                                                non-dispersive use     methacryloyloxyethyl
                                                                                )
                                                                                benzyldimethylammoni
                                                                                um chloride, polymer
                                                                                with alkyl-
                                                                                substituted methyl-2-
                                                                                propanoate and aryl-
                                                                                substituted methyl-2-
                                                                                propanoate,
P-09-0329                            04/23/09                07/21/09                CBI                    (G) Silicone           (G) Alkyl siliconate
                                                                                treatment
P-09-0330                            04/24/09                07/22/09                Diamond Polymers,      (S) Finished articles  (G) Substituted
                                                                                Inc.                   substrate as pure      butyric propionic
                                                                                substance or blended   acid copolymer
                                                                                with other polymers;
                                                                                primarily for use in
                                                                                electronics and
                                                                                automotive
                                                                                components.
P-09-0331                            04/24/09                07/22/09                Nanotech Industries,   (S) Flooring; top      (G) Urethane
                                                                                Inc.                   clear coating          containing polyamine
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    In Table II of this unit, EPA provides the following information
(to the extent that such information is not claimed as CBI) on the
Notices of Commencement to manufacture received:

                             II. 9 Notices of Commencement From: 4/13/09 to 4/24/09
----------------------------------------------------------------------------------------------------------------
                                                                Commencement Notice
              Case No.                     Received Date             End Date                  Chemical
----------------------------------------------------------------------------------------------------------------
P-08-0259                             04/16/09                04/09/09                (G) 2,5-dihydro-3,6-bis[4-
                                                                                (alkylthio) aryl] -
                                                                                substituted pyrroledione
P-08-0447                             04/14/09                03/16/09                (G) Silica alumino
                                                                                phosphate
P-08-0496                             04/17/09                03/30/09                (G) Alkene-carboxylic acid
                                                                                copolymer alkanolamine
                                                                                salt
P-08-0674                             04/17/09                03/30/09                (G) Mixed metal oxides
P-09-0021                             04/21/09                04/06/09                (G) Polyurethane
                                                                                thermoplastic
P-09-0031                             04/20/09                03/18/09                (G) Methacrylic polymer
P-09-0064                             04/21/09                04/13/09                (G) Substituted sulfonated
                                                                                phenylazo naphthalene
                                                                                sulfonic acid salt
P-09-0067                             04/10/09                03/23/09                (G) Polyester resin amine
                                                                                salt
P-09-0097                             04/14/09                03/30/09                (S) Amines, C36-alkylenedi-
                                                                                , polymers with
                                                                                pyromellitic dianhydride,
                                                                                maleated
----------------------------------------------------------------------------------------------------------------

List of Subjects

    Environmental protection, Chemicals, Premanufacturer notices.

    Dated: May 4, 2009.
Darryl S. Ballard
Acting Director, Information Management Division, Office of Pollution
Prevention and Toxics.
[FR Doc. E9-11749 Filed 5-19-09; 8:45 am]

BILLING CODE 6560-50-S


[Federal Register Volume 82, Number 176 (Wednesday, September 13, 2017)]
[Notices]
[Pages 43057-43058]
[FR Doc No: 2017-19377]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-81548; File No. SR-NYSE-2017-44]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Change To
Amend Its Rules To Make Technical and Conforming Updates, in Connection
With the Merger of NYSE Arca Equities, Inc. With and Into the
Exchange's Affiliate NYSE Arca, Inc. and the Name Change of NYSE
National, Inc.

September 7, 2017.
    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 August 25, 2017, 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 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 its rules to make technical and
conforming updates in connection with (a) the merger of NYSE Arca
Equities, Inc. with and into the Exchange's affiliate NYSE Arca, Inc.
and (b) the name change of NYSE National, Inc. The proposed change is
available on the Exchange's Web site at www.nyse.com, at the principal
office of the Exchange, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The Exchange proposes to amend its rules to make technical and
conforming updates in connection with (a) the merger of NYSE Arca
Equities, Inc. (``NYSE Arca Equities'') with and into the Exchange's
affiliate NYSE Arca, Inc. (``NYSE Arca''), and (b) the name change of
NYSE National, Inc.
Background
    On June 2, 2017, the Exchange's affiliate, NYSE Arca, filed rule
changes with the Commission in connection with the proposed merger of
NYSE Arca's wholly-owned subsidiary, NYSE Arca Equities, with and into
NYSE Arca (the ``Merger'').\4\ The proposed changes were approved by
the Commission on August 17, 2017, and the Merger occurred on that same
date.\5\
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    \4\ See Securities Exchange Act Release No. 80929 (June 14,
2017), 82 FR 28157 (June 20, 2017) (SR-NYSEArca-2017-40).
    \5\ See Securities Exchange Act Release No. 81419 (August 17,
2017), 82 FR 40044 (August 23, 2017) (SR-NYSEArca-2017-40).
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    Prior to the Merger, NYSE Arca had two rulebooks: the NYSE Arca
rules for its options market and the NYSE Arca Equities rules for its
equities market. At the Merger, the NYSE Arca Equities rules were
integrated into the NYSE Arca rules, so that there is now one NYSE Arca
rulebook.\6\ As part of such integration, some of the NYSE Arca rules
were renumbered. Accordingly, the Exchange proposes to amend certain of
its rules, as detailed below, to make technical and conforming updates
to its rules that cross reference the NYSE Arca rules and delete
references to the NYSE Arca Equities.
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    \6\ See id. at 40044.
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    In January 2017, the Exchange's parent NYSE Group, Inc. acquired
all the capital stock of National Stock Exchange, Inc., which was
renamed ``NYSE National, Inc.'' \7\ The Exchange proposes to update a
reference to National Stock Exchange, Inc. found in the Exchange's
rules to reflect the new name of such entity, NYSE National, Inc.
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    \7\ See Securities Exchange Act Release No. 79902 (January 30,
2017), 82 FR 9258 (February 3, 2017) (SR-NSX-2016-16).
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Proposed Rule Changes
     In Exchange Rule 5.2(j) (Exchange Traded Products), the
Exchange proposes to update the cross references to NYSE Arca Equities
Rule 5.2(j)(1) by deleting the word ``Equities'' from the term ``NYSE
Arca Equities Rule'' and appending an ``-E'' to the end of the rule
number. The new cross reference would be to ``NYSE Arca Rule 5.2-
E(j)(1).'' Similarly, the Exchange proposes to update the cross
references to subsections of NYSE Arca Options Rule 5.13 and to NYSE
Arca Options Rule 5.3 by deleting the word ``Options'' form the term
``NYSE Arca Options Rule'' and appending an ``-O'' to the end of the
rules number. The new cross references would be to ``NYSE Arca Rule
5.13-O'' and ``NYSE Arca Rule 5.3-O,'' respectively, followed by any
relevant subsection of the rule.
     In Exchange Rules 8.4 (Account Approval), 8.5
(Suitability), 8.6 (Discretionary Accounts), 8.7 (Supervision of
Accounts), 8.8 (Customer Complaints), the Exchange proposes to update
the references to NYSE Arca Equities Rules 9.18 by deleting the word
``Equities'' from the term ``NYSE Arca Equities Rules'' and appending
an ``-E'' to the end of the rule number. The new cross references would
be to ``NYSE Arca Rule 9.18-E,'' followed by any relevant subsection of
the rule.
     In Exchange Rule 8.9 (Prior Approval of Certain
Communications to Customers) the Exchange proposes to update the cross
references to NYSE Arca Equities Rule 9.28 by deleting the

word ``Equities'' from the term ``NYSE Arca Equities Rule'' and
appending an ``-E'' to the end of the rule number. The new cross
reference would be to ``NYSE Arca Rule 9.28-E.''
     Finally, in Exchange Rule 19, Supplementary Material .01
(Locking or Crossing Protected Quotations in NMS Stocks), the Exchange
proposes to replace ``NYSE Arca Equities, Inc.'' with ``NYSE Arca,
Inc.'' and replace ``National Stock Exchange, Inc.'' with ``NYSE
National, Inc.''.
    None of the foregoing changes are substantive.

2. Statutory Basis

    The Exchange believes that the proposed rule change is consistent
with section 6(b) of the Exchange Act,\8\ in general, and with section
6(b)(1) \9\ in particular, in that it enables the Exchange to be so
organized as to have the capacity to be able to carry out the purposes
of the Exchange Act and to comply, and to enforce compliance by its
exchange members and persons associated with its exchange members, with
the provisions of the Exchange Act, the rules and regulations
thereunder, and the rules of the Exchange.
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    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(1).
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    The proposed rule change is a non-substantive change and does not
impact the governance or ownership of the Exchange. The Exchange
believes that the proposed rule change would enable the Exchange to
continue to be so organized as to have the capacity to carry out the
purposes of the Exchange Act and comply and enforce compliance with the
provisions of the Exchange Act by its members and persons associated
with its members, because ensuring that the rules accurately cross
reference the rules of NYSE Arca and the name of NYSE National, Inc.
would contribute to the orderly operation of the Exchange by adding
clarity and transparency to its rules.
    For similar reasons, the Exchange also believes that the proposed
rule change is consistent with section 6(b)(5) of the Act,\10\ in that
it is designed to prevent fraudulent and manipulative acts and
practices, to promote just and equitable principles of trade, to foster
cooperation and coordination with persons engaged in 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.
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    \10\ 15 U.S.C. 78f(b)(5).
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    The Exchange believes that the proposed rule change would remove
impediments to and perfect the mechanism of a free and open market and
a national market system by ensuring that market participants can more
easily navigate, understand and comply with its rules. The Exchange
believes that, by ensuring that such rules accurately cross-reference
the rules of NYSE Arca and the name of NYSE National, Inc., the
proposed rule change would reduce potential investor or market
participant confusion.

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. The proposed rule change is
not intended to address competitive issues but rather is concerned
solely with updating the rules to reflect its affiliate's merger and
integrated rulebook.

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 proposed rule change has become effective pursuant to section
19(b)(3)(A) of the Act \11\ and Rule 19b-4(f)(3) \12\ thereunder.
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    \11\ 15 U.S.C. 78s(b)(3)(A).
    \12\ 17 CFR 240.19b-4(f)(3).
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    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) \13\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
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    \13\ 15 U.S.C. 78s(b)(2)(B).
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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-NYSE-2017-44 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-2017-44. 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-NYSE-2017-44 and should be
submitted on or before October 4, 2017.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\14\
---------------------------------------------------------------------------

    \14\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-19377 Filed 9-12-17; 8:45 am]
 BILLING CODE 8011-01-P


Index for Initial Input Data Sets for the Proposed/ NODA Option Baseline Closures ( baseclos. sd2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37679 Pollutant Code Match to CAS Number ( poll2cas. sd2) . . . . . . . . . . . . . . . . . . . 37680 Facility, POTW, and Reach Information ( fac_ info. sd2) . . . . . . . . . . . . . . . . . . 37681 Facility Size ( facsize. sd2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37682 POTW Removals Rates and Pollutant Toxic Weights ( twf_ remr. sd2) . . . . . . . . 37683 Original Pollutant Data from ERG for Marine Waters ( prop2. wk4) . . . . . . . . . . 37684 Original Pollutant Data from ERG for Fresh Waters ( backup2. wk4) . . . . . . . . . 37685 Pollutant Data ( chemdata. sd2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37686 Fishing Licenses ( fish_ lic. sd2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37687 U. S. Shore Miles ( shoremi. sd2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37688 Fish Advisories ( fishadv1. sd2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37689 River Miles by County ( us_ rchmi. sd2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37690 Reach State ( rchstate. sd2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37691 Average Number of Fishing Days ( avgdfish. sd2) . . . . . . . . . . . . . . . . . . . . . . . . 37692 County Populations ( cntypop. sd2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37693 Recreational Participation Percentages ( recpcts. sd2) . . . . . . . . . . . . . . . . . . . . 37694 POTW Sludge Criteria ( sldg_ cri. sd2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37695 Lead Concentration in Fish Tissue ( ublook4. sd2) . . . . . . . . . . . . . . . . . . . . . . . 37696


[Federal Register Volume 83, Number 82 (Friday, April 27, 2018)]
[Notices]
[Pages 18647-18648]
[FR Doc No: 2018-08910]

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

DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2018-0027]

Qualification of Drivers; Exemption Applications; Diabetes

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

ACTION: Notice of denials.

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

SUMMARY: FMCSA announces its decision to deny applications from 17
individuals who requested an exemption from the Federal Motor Carrier
Safety Regulations (FMCSRs) prohibiting persons with insulin-treated
diabetes mellitus (ITDM) from operating a commercial motor vehicle
(CMV) in interstate commerce.

FOR FURTHER INFORMATION CONTACT: Ms. Christine A. Hydock, Chief,
Medical Programs Division,<PHONE_NUMBER>, [email protected], FMCSA,
Department of Transportation, 1200 New Jersey Avenue SE, Room W64-224,
Washington, DC 20590-0001. Office hours are from 8:30 a.m. to 5 p.m.,
e.t., Monday through Friday, except Federal holidays. If you have
questions regarding viewing or submitting material to the docket,
contact Docket Services, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Electronic Access

    You may see all the comments online through the Federal Document
Management System (FDMS) at: http://www.regulations.gov.
    Docket: For access to the docket to read background documents or
comments, go to http://www.regulations.gov and/or Room W12-140 on the
ground level of the West Building, 1200 New Jersey Avenue SE,
Washington, DC, between 9 a.m. and 5 p.m., e.t., Monday through Friday,
except Federal holidays.
    Privacy Act: In accordance with 5 U.S.C. 553(c), DOT solicits
comments from the public to better inform its rulemaking process. DOT
posts these comments, without edit, including any personal information
the commenter provides, to http://www.regulations.gov, as described in
the system of records notice (DOT/ALL-14 FDMS), which can be reviewed
at http://www.dot.gov/privacy.

II. Background

    FMCSA received applications from 17 individuals who requested an
exemption from the FMCSRs prohibiting persons with ITDM from operating
a CMV in interstate commerce.
    FMCSA has evaluated the eligibility of these applicants and
concluded that granting these exemptions would not provide a level of
safety that would be equivalent to or greater than, the level of safety
that would be obtained by complying with the regulation 49 CFR
391.41(b)(3).

III. Basis for Exemption Determination

    Under 49 U.S.C. 31136(e) and 31315, FMCSA may grant an exemption if
it finds such an exemption would likely achieve a level of safety that
is equivalent to, or greater than, the level that would be achieved
absent such an exemption.
    The Agency's decision regarding these exemption applications is
based on the eligibility criteria, the terms and conditions for Federal
exemptions, and an individualized assessment of each applicant's
medical information provided by the applicant.

IV. Conclusion

    The Agency has determined that these applicants do not satisfy the
criteria eligibility or meet the terms and conditions of the Federal
exemption and granting these exemptions would not

provide a level of safety that would be equivalent to or greater than,
the level of safety that would be obtained by complying with the
regulation 49 CFR 391.41(b)(3). Therefore, the 17 applicants in this
notice have been denied exemptions from the physical qualification
standards in 49 CFR 391.41(b)(3).
    Each applicant has, prior to this notice, received a letter of
final disposition regarding his/her exemption request. Those decision
letters fully outlined the basis for the denial and constitutes final
action by the Agency. This notice summarizes the Agency's recent
denials as required under 49 U.S.C. 31315(b)(4) by periodically
publishing names and reasons for denial.
    The following six applicants have had more than one hypoglycemic
episode requiring hospitalization or the assistance of others, or has
had one such episode but has not had one year of stability following
the episode:

Michael W. Boyll (IN)
Robert T. Mitchell (CA)
Todd E. Bakner (PA)
Donald J. Glass (AR)
Cameron C. Kenyon (WA)
Mark E. Jordan (IN)

    The following two applicants had other medical conditions making
the applicant otherwise unqualified under the Federal Motor Carrier
Safety Regulations: Rodney Purcell (NY); Bruce A. Hammond (GA).
    The following seven applicants did not have endocrinologists
willing to make statements that they are able to operate CMVs from a
diabetes standpoint:

John W. Ringbloom (PA)
Travis L. Reese (MA)
Ronald J. Marchewka (PA)
Gregory W. Bell (NJ)
David W. DeGraw (NJ)
John A. Bright (PA)
Dennis F. Comp (PA)

    The following applicant, Peter E. Halter (NJ), is unable or has not
demonstrated willingness to properly monitor and manage his diabetes,
whether by a personal decision or medical inability.
    The following applicant, Gerald D. Tower, Jr. (MI), has peripheral
neuropathy or circulatory insufficiency of the extremities likely to
interfere with the ability to operate a CMV.

     Issued on: April 23, 2018.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2018-08910 Filed 4-26-18; 8:45 am]
 BILLING CODE 4910-EX-P


[Federal Register: October 28, 2005 (Volume 70, Number 208)]
[Notices]
[Page 62146-62147]
[DOCID:fr28oc05-75]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-52649; File No. SR-Amex-2005-063]

Self-Regulatory Organizations; American Stock Exchange LLC; Order
Approving Proposed Rule Change Relating to the Elimination of Position
and Exercise Limits on NDX Options

October 21, 2005.

I. Introduction

    On June 9, 2005, the American Stock Exchange LLC (``Amex'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ a
proposed rule change to eliminate position and exercise limits for
options on the Nasdaq 100 Index (``NDX''). The Commission published the
proposed rule change for comment in the Federal Register on August 26,
2005.\3\ The Commission received no comments on the proposal. This
order approves the proposed rule change.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ Securities Exchange Act Release No. 52312 (August 22, 2005),
70 FR 50431 (``Notice'').
---------------------------------------------------------------------------

II. Description of the Proposal

    The Amex proposes to amend its rules to eliminate position and
exercise limits for options on the NDX. In connection with this change,
options on the NDX would be subject to specific reporting requirements
and additional margin provisions imposed by the Amex with respect to
options on the Major Market Index (``XMI'') and the Institutional Index
(``XII''), the two broad-based index options that, under the Exchange's
current rules, are not subject to position and exercise limits.\4\
---------------------------------------------------------------------------

    \4\ According to the Amex, options on the XII are no longer
listed and traded on the Exchange.
---------------------------------------------------------------------------

    The Exchange noted that in approving the elimination of position
limits for XMI and XII options, the Commission considered the enormous
capitalization of each of these indexes and the deep and liquid markets
for the securities underlying each index significantly reduced concerns
of market manipulation or disruption in the underlying markets.\5\ The
Amex noted that the market capitalization of NDX, as of June 1, 2005,
was $1.86 trillion and the average daily trading volume (``ADTV''), in
the aggregate, for the component securities of the NDX, for the period
from January 1, 2005 through May 31, 2005 was 425.8 million shares. For
the same period, the ADTV for options on the NDX was 45,820 contracts.
---------------------------------------------------------------------------

    \5\ See Securities Exchange Act Release No. 46393 (August 21,
2002), 67 FR 55289 (August 28, 2002) (order granting permanent
approval to the elimination of position and exercise limits on the
Major Market index and the Institutional Index) (``XMI/XII Permanent
Approval Order'').
---------------------------------------------------------------------------

    The Exchange also stated that in the XMI/XII Permanent Approval
Order, the Commission noted that the financial requirements imposed by
both the Exchange and the Commission serve to address any concerns that
an Exchange member or its customer(s) may try to maintain an
inordinately large unhedged position in XMI/XII options. The Amex noted
that these same financial requirements would apply equally to NDX
options. The Exchange further noted that it has the authority to impose
additional margin upon accounts maintaining underhedged positions, and
is further able to monitor accounts to determine when such action is
warranted. As noted in the Exchange's rules, the clearing firm carrying
such an account would be subject to capital charges under Rule 15c3-1
under the Act \6\ to the extent of any resulting margin deficiency.\7\
---------------------------------------------------------------------------

    \6\ 17 CFR 240.15c3-1.
    \7\ See Commentary .03 to Amex Rule 904C. Clarified as per
telephone conversation between Ira Brandriss, Special Counsel, and
Theodore Venuti, Attorney, Division of Market Regulation,
Commission, and Jeffery P. Burns, Associate General Counsel, Amex,
on August 16, 2005.
---------------------------------------------------------------------------

    The Amex indicated that the Commission, in the XMI/XII Permanent
Approval Order, relied substantially on the Exchange's ability to
provide surveillance and reporting safeguards to detect and deter
trading abuses arising from the elimination of position and exercise
limits on XMI and XII options. The Exchange represents that it monitors
the trading in NDX options in the same manner as trading in XMI options
and that the current Amex surveillance procedures are adequate to
continue monitoring NDX options. In addition, the Exchange intends to
impose a reporting requirement on Amex members (other than Amex
specialists and registered options traders) or member organizations who
trade NDX options. This reporting requirement, which is currently
imposed on members who trade XMI options, would require members or
member organizations who maintain in excess of 100,000 NDX option
contracts on the same side of the market, for their own accounts or for
the account of customers, to report information as to whether the
positions are hedged and provide documentation as to how such contracts
are hedged, in a manner and form required by the Exchange's Regulation
Department. The Exchange also would be permitted to specify other
reporting requirements, as well as the limit at which the reporting
requirement may be triggered.\8\
---------------------------------------------------------------------------

    \8\ Pursuant to Amex Rule 906, as referenced in Amex Rule
906C(a). Telephone conversation between Ira Brandriss, Special
Counsel, and Theodore Venuti, Attorney, Division of Market
Regulation, Commission, and Jeffery P. Burns, Associate General
Counsel, Amex, on August 18, 2005.
---------------------------------------------------------------------------

    Finally, the Amex proposes to amend Exchange rules relating to the
trading of FLEX broad-based index options to eliminate position and
exercise limits on FLEX NDX options, and to adopt for NDX FLEX options
the same 100,000 contract reporting requirement and additional margin
provisions that apply for XMI FLEX options.
    The Exchange believes that eliminating position and exercise limits

for NDX options and FLEX options is consistent with Amex rules relating
to similar broad-based indexes and would also allow Amex members and
their customers greater hedging and investment opportunities.

III. Discussion

    After careful review, the Commission finds that the proposed rule
change is consistent with the requirements of the Act and the rules and
regulations thereunder applicable to a national securities exchange.\9\
The Commission believes the proposed rule change is consistent with
Section 6(b)(5) of the Act, which requires that the rules of a national
securities exchange be designed to prevent fraudulent and manipulative
acts and practices, to promote just and equitable principles of trade,
to foster cooperation and coordination with persons engaged in
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.\10\
---------------------------------------------------------------------------

    \9\ In approving this rule proposal, the Commission notes that
it has considered the proposed rule's impact on efficiency,
competition, and capital formation. 15 U.S.C. 78c(f).
    \10\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    Since the inception of standardized options trading, the options
exchanges have had rules imposing limits on the aggregate number of
options contracts that a member or customer could hold or exercise.
These rules are intended to prevent the establishment of options
positions that can be used or might create incentives to manipulate or
disrupt the underlying market so as to benefit the options position.
    The Commission notes that it continues to believe that the
fundamental purposes of position and exercise limits remain valid.
Nevertheless, the Commission believes that experience with the trading
of index options as well as enhanced reporting requirements and the
Exchange's surveillance capabilities have made it possible to approve
the elimination of position and exercise limits on certain broad-based
index options. Thus, in 2002, the Commission approved an Amex proposal
to eliminate permanently position and exercise limits for options on
the XMI and XII.\11\
---------------------------------------------------------------------------

    \11\ See XMI/XII Permanent Approval Order, supra note 5.
---------------------------------------------------------------------------

    The Commission believes that the considerations upon which it
relied in approving the elimination of position and exercise limits for
XMI and XII options equally apply with respect to options on the NDX.
    As noted by the Amex, the market capitalization of the NDX as of
the date of filing of the proposal was $1.86 trillion. The ADTV for the
period from January 1, 2005 through May 31, 2005 for all underlying
components of the index was 425.8 million shares. The Commission
believes that the enormous market capitalization of the NDX and the
deep, liquid market for the underlying component securities
significantly reduce concerns regarding market manipulation or
disruption in the underlying market. Removing position and exercise
limits for NDX options may also bring additional depth and liquidity,
in terms of both volume and open interest, to NDX options without
significantly increasing concerns regarding intermarket manipulation or
disruption of the options or the underlying securities.
    In addition, the Commission believes that financial requirements
imposed by both the Exchange and the Commission adequately address
concerns that an Amex member or its customer may try to maintain an
inordinately large unhedged position in NDX options. Current risk-based
haircut and margin methodologies serve to limit the size of positions
maintained by any one account by increasing the margin and/or capital
that a member must maintain for a large position held by itself or by
its customer.\12\ Under the proposal, the Amex also would have the
authority under its rules to impose a higher margin requirement upon an
account maintaining an under-hedged position when it determines a
higher requirement is warranted. As noted in the Amex rules, the
clearing firm carrying the account would be subject to capital charges
under Rule 15c3-1 under the Act to the extent of any margin deficiency
resulting from the higher margin requirement.
---------------------------------------------------------------------------

    \12\ See Securities Exchange Act Release No. 41011 (February 1,
1999), 64 FR 6405 (February 9, 1999) (notice of filing and order
granting accelerated approval to proposed rule change implementing
pilot program to eliminated position and exercise limits for XMI and
XII options) (``XMI/XII Pilot Approval Order'').
---------------------------------------------------------------------------

    Finally, in approving the elimination of position and exercise
limits for options on the XMI and XII, the Commission took note of the
enhanced surveillance and reporting safeguards that the Amex had
adopted to allow it to detect and deter trading abuses that might arise
as a result.\13\ The Amex represents that it monitors trading in NDX
options in the same manner as trading in XMI options. These safeguards,
including the 100,000-contract reporting requirement described above,
would allow the Amex to monitor large positions in order to identify
instances of potential risk and to assess and respond to any market
concerns at an early stage. In this regard, the Commission expects the
Amex to take prompt action, including timely communication with the
Commission and other marketplace self-regulatory organizations
responsible for oversight of trading in component stocks, should any
unanticipated adverse market effects develop. Moreover, as previously
noted, the Exchange has the flexibility to specify other reporting
requirements, as well as to vary the limit at which the reporting
requirements may be triggered.
---------------------------------------------------------------------------

    \13\ See, in particular, XMI/XII Pilot Approval Order, supra
note 12.
---------------------------------------------------------------------------

    The Commission further notes that in eliminating position and
exercise limits for FLEX NDX options, the Amex is adopting the same
additional rules for these options as for FLEX XMI options.

IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\14\ that the proposed rule change (SR-Amex-2005-063) be, and it
hereby is, approved.
---------------------------------------------------------------------------

    \14\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\15\
---------------------------------------------------------------------------

    \15\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Jonathan G. Katz,
Secretary.
[FR Doc. E5-5974 Filed 10-27-05; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 84, Number 175 (Tuesday, September 10, 2019)]
[Notices]
[Pages 47627-47628]
[FR Doc No: 2019-19459]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-86861; File No. SR-CBOE-2019-035]

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of
Designation of Longer Period for Commission Action on a Proposed Rule
Change To Amend Rule 6.49A Concerning Off-Floor Position Transfers

September 4, 2019.
    On July 3, 2019, Cboe Exchange, Inc. (the ``Exchange'' or ``Cboe
Options'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ a
proposal to amend Rule 6.49A concerning off-floor position transfers.
The proposed rule change was published for comment in the Federal
Register on July 23, 2019.\3\ The Exchange submitted Amendment No. 1 to
its filing on August 6, 2019.\4\ The

Commission received one comment letter on the proposed rule change.\5\
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 86400 (July 17,
2019), 84 FR 35438.
    \4\ In Amendment No. 1, the Exchange removed the proposed change
to permit off-floor risk-weighted assets (``RWA'') transfers. The
exchange then filed that material as a separate proposed rule change
filing. See Securities Exchange Act Release No. 86603 (August 8,
2019), 84 FR 40460 (August 14, 2019) (SR-CBOE-2019-044). When the
Exchange filed Amendment No. 1 to CBOE-2019-035, it also submitted
the text of the amendment as a comment letter to the filing, which
is available at https://www.sec.gov/comments/sr-cboe-2019-035/srcboe2019035-5917170-189047.pdf.
    \5\ See Letter from Gerald D. O'Connell, SIG--Compliance
Coordinator, dated August 19, 2019, available at https://www.sec.gov/comments/sr-cboe-2019-035/srcboe2019035.htm.
---------------------------------------------------------------------------

    Section 19(b)(2) of the Act \6\ provides that, within 45 days of
publication of the notice of the filing of a proposed rule change, or
within such longer period up to 90 days as the Commission may designate
if it finds such longer period to be appropriate and publishes its
reasons for so finding or as to which the self-regulatory organization
consents, the Commission shall either approve the proposed rule change,
disapprove the proposed rule change, or institute proceedings to
determine whether the proposed rule change should be disapproved. The
45th day after publication of the notice for this proposed rule change
is September 6, 2019.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78s(b)(2).
---------------------------------------------------------------------------

    The Commission hereby is extending the 45-day time period for
Commission action on the proposed rule change. The Commission finds
that it is appropriate to designate a longer period within which to
take action on the proposed rule change so that it has sufficient time
to consider the proposed rule change, including the comment letter
received on the filing.
    Accordingly, pursuant to Section 19(b)(2) of the Act,\7\ the
Commission designates October 21, 2019 as the date by which the
Commission shall either approve, disapprove, or institute proceedings
to determine whether to disapprove, the proposed rule change (File No.
SR-CBOE-2019-035).
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78s(b)(2)(A)(ii)(I).
    \8\ 17 CFR 200.30-3(a)(31).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\8\
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019-19459 Filed 9-9-19; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register: October 3, 2007 (Volume 72, Number 191)]
[Notices]
[Page 56421-56422]
[DOCID:fr03oc07-114]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-56556; File No. SR-NYSE-2007-86]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change
To Extend the Moratorium on the Qualification and Registration of New
Registered Competitive Market Makers and New Competitive Traders,
Governed by Rules 107A and 110, Respectively, for an Additional Three
Months

September 27, 2007.
    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 September 27, 2007, the New York Stock Exchange LLC (``NYSE'' or
``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 substantially 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

    The NYSE proposes to extend for three months the moratorium related
to the qualification and registration of Registered Competitive Market
Makers (``RCMMs'') pursuant to Exchange Rule 107A and Competitive
Traders (``CTs'') pursuant to Exchange Rule 110. The text of the
proposed rule change is available on the NYSE's Web site (http://www.nyse.com
), at the NYSE, 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. 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 Exchange proposes to extend for three months the current
moratorium related to the qualification and registration of RCMMs
pursuant to Exchange Rule 107A and CTs pursuant to Exchange Rule 110.
    On September 22, 2005, the Exchange filed SR-NYSE-2005-63 \3\ with
the Commission proposing to implement a moratorium on the qualification
and registration of new RCMMs and CTs (``Moratorium''). The purpose of
the Moratorium was to allow the Exchange an opportunity to review the
viability of RCMMs and CTs in the NYSE HYBRID MARKETSM
(``Hybrid Market'').\4\
---------------------------------------------------------------------------

    \3\ See Securities Exchange Act Release No. 52648 (October 21,
2005), 70 FR 62155 (October 28, 2005) (SR-NYSE-2005-63).
    \4\ See Securities Exchange Act Release No. 53539 (March 22,
2006), 71 FR 16353 (March 31, 2006) (SR-NYSE-2004-05) (establishing
the Hybrid Market).
---------------------------------------------------------------------------

    The phased-in implementation of the Hybrid Market required the
Exchange to extend the Moratorium an additional three times over the
next fifteen (15) months.\5\ During each phase of the Hybrid Market,
new system functionality was included in the operation of Exchange
systems and new data was generated. As a result, the Exchange was
unable to make an informed decision as to the viability of RCMMs and
CTs in the Hybrid Market.
---------------------------------------------------------------------------

    \5\ See Securities Exchange Act Release Nos. 54140 (July 13,
2006), 71 FR 41491 (July 21, 2006) (SR-NYSE-2006-48); 54985
(December 21, 2006), 72 FR 171 (January 3, 2007) (SR-NYSE-2006-113);
and 55992 (June 29, 2007), 72 FR 37289 (July 9, 2007) (SR-NYSE-2007-
57).
---------------------------------------------------------------------------

    The Exchange continued to review the data related to RCMMs and CTs
generated during the phasing-in of the Hybrid Market. Based on its
review, the Exchange believes that it now has the requisite data to
decide what roles, if any, RCMMs and CTs should perform in the current
Hybrid Market.
    The Exchange now proposes to extend the Moratorium, as amended,\6\
for an additional three months to December 31, 2007 in order to
finalize its determination as to the roles of RCMMs and CTs in the
Exchange's Hybrid Market and to formally submit a proposal to the
Commission outlining these roles.
---------------------------------------------------------------------------

    \6\ See Securities Exchange Act Release No.53549 (2006), 71 FR
16388 (March 31, 2006) (SR-NYSE-2006-11) (making certain amendments
to the Moratorium).
---------------------------------------------------------------------------

    The Exchange will issue an Information Memo announcing the
extension of the Moratorium.
2. Statutory Basis
    The basis under the Act \7\ for this proposed rule change is the
requirement under Section 6(b)(5) \8\ that an exchange have rules that
are designed to promote just and equitable principles of trade, 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.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78a.
    \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

    The Exchange has neither solicited nor received written comments on
the proposed rule change.

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

    Because the proposed rule change: (i) Does not significantly affect
the protection of investors or the public interest; (ii) does not
impose any

significant burden on competition; and (iii) does not become operative
for 30 days after the date of the 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\
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    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(6). Pursuant to Rule 19b-4(f)(6)(iii)
under the Act, the Exchange is required to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and 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 satisfied the five-day pre-filing requirement.
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    A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the
Act \11\ normally does not become operative for 30 days after the date
of its filing. However, Rule 19b-4(f)(6)(iii)\12\ permits the
Commission to designate a shorter time if such action is consistent
with the protection of investors and the public interest. The NYSE has
requested that the Commission waive the 30-day operative delay. The
Commission believes that waiving the 30-day operative delay is
consistent with the protection of investors and the public interest
because it would allow the moratorium to continue without interruption
so that the Exchange may have additional time to make a final
determination as to the future roles of RCMMs and CTs in the Hybrid
Market, if any, and to file with the Commission a proposed rule change
outlining such roles. For these reasons, the Commission designates that
the proposed rule change become operative immediately.\13\
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    \11\ 17 CFR 240.19b-4(f)(6).
    \12\ 17 CFR 240.19b-4(f)(6)(iii).
    \13\ 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).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate the 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.

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-2007-86 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-NYSE-2007-86. 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 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-
NYSE-2007-86 and should be submitted on or before October 24, 2007.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\14\
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    \14\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-19537 Filed 10-2-07; 8:45 am]

BILLING CODE 8011-01-P