[Federal Register Volume 78, Number 194 (Monday, October 7, 2013)]
[Notices]
[Page 61946]
[FR Doc No: 2013-24373]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER13-2462-000]

Pheasant Run Wind II, LLC; Supplemental Notice That Initial
Market-Based Rate Filing Includes Request for Blanket Section 204
Authorization

    This is a supplemental notice in the above-referenced proceeding,
of Pheasant Run Wind II, LLC's application for market-based rate
authority, with an accompanying rate schedule, noting that such
application includes a request for blanket authorization, under 18 CFR
Part 34, of future issuances of securities and assumptions of
liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR Part 34, of future issuances of securities and assumptions of
liability is October 17, 2013.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
5 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street NE., Washington, DC 20426.
    The filings in the above-referenced proceeding(s) are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive email notification
when a document is added to a subscribed docket(s). For assistance with
any FERC Online service, please email<EMAIL_ADDRESS>or
call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

    Dated: September 27, 2013.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2013-24373 Filed 10-4-13; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 84, Number 192 (Thursday, October 3, 2019)]
[Notices]
[Pages 52905-52915]
[FR Doc No: 2019-21492]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-87149; File No. 4-698]

Joint Industry Plan; Notice of Filing and Immediate Effectiveness
of Amendment to the National Market System Plan Governing the
Consolidated Audit Trail by Cboe BYX Exchange, Inc., Cboe BZX Exchange,
Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., BOX Options
Exchange LLC, Cboe C2 Options Exchange, Inc., Cboe Exchange, Inc.,
Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC,
Miami International Securities Exchange, LLC, MIAX EMERALD, LLC, MIAX
PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq
MRX, LLC, Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, New York Stock
Exchange LLC, NYSE Arca, Inc., NYSE American, LLC, NYSE Chicago, Inc.
and NYSE National, Inc.

 September 27, 2019.

I. Introduction

    On August 29, 2019, the Operating Committee for CAT NMS, LLC (the
``Company''), on behalf of the following parties to the National Market
System Plan Governing the Consolidated Audit Trail (the ``CAT NMS
Plan'' or ``Plan''): \1\

Cboe BYX Exchange, Inc., (previously known as Bats BYX Exchange, Inc.),
Cboe BZX Exchange, Inc. (previously known as Bats BZX Exchange), Inc.,
Cboe EDGA Exchange, Inc. (previously known as Bats EDGA Exchange,
Inc.), Cboe EDGX Exchange, Inc. (previously known as Bats EDGX
Exchange, Inc.), BOX Options Exchange LLC, Cboe C2 Options Exchange,
Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority,
Inc., Investors' Exchange, LLC, Miami International Securities
Exchange, LLC, MIAX EMERALD, LLC, MIAX PEARL, LLC, Nasdaq ISE, LLC
(previously known as International Securities Exchange, Inc.), Nasdaq
GEMX (previously known as ISE Gemini, LLC), Nasdaq MRX (previously
known as ISE Mercury, LLC), Nasdaq BX, Inc. (previously known as NASDAQ
BX, Inc.), Nasdaq PHLX LLC (previously known as NASDAQ PHLX LLC), The
NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc.,
NYSE Chicago, Inc. (previously known as Chicago Stock Exchange, Inc.),
NYSE American, LLC (previously known as NYSE MKT, LLC) and NYSE
National, Inc. (previously known as National Stock Exchange, Inc.)
(collectively, the ``Participants,'' ``self-regulatory organizations,''
or ``SROs'') filed with the Securities and Exchange Commission
(``Commission'' or ``SEC'') pursuant to Section 11A(a)(3) of the
Securities Exchange Act of 1934 (``Exchange Act''),\2\ and Rule 608
thereunder,\3\ a proposed amendment to the CAT NMS Plan to accommodate
the creation of a new Delaware limited liability company, named
Consolidated Audit Trail, LLC, for the purpose of conducting activities
related to the CAT.\4\ A copy of the proposed revisions to the CAT NMS
Plan is attached as Appendix A hereto. The Commission is publishing
this notice to solicit comments from interested persons on the
amendment.\5\
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    \1\ On February 27, 2015, BATS-Y Exchange, Inc. (n/k/a Cboe BYX
Exchange, Inc.), BATS Exchange, Inc. (n/k/a Cboe BZX Exchange,
Inc.), BOX Options Exchange LLC, C2 Options Exchange, Incorporated
(n/k/a Cboe C2 Options Exchange, Inc.), Chicago Board Options
Exchange, Incorporated (n/k/a Cboe Exchange Inc.), Chicago Stock
Exchange, Inc. (n/k/a NYSE Chicago, Inc.), EDGA Exchange, Inc. (n/k/
a Cboe EDGA Exchange, Inc.), EDGX Exchange, Inc. (n/k/a Cboe EDGX
Exchange, Inc.), Financial Industry Regulatory Authority, Inc.,
International Securities Exchange, LLC (n/k/a Nasdaq ISE LLC), ISE
Gemini, LLC (n/k/a Nasdaq GEMX, LLC), Miami International Securities
Exchange LLC, NASDAQ OMX BX, Inc. (n/k/a Nasdaq BX, Inc.), NASDAQ
OMX PHLX LLC (n/k/a Nasdaq PHLX LLC), The NASDAQ Stock Market LLC,
National Stock Exchange, Inc. (n/k/a NYSE National, Inc.), New York
Stock Exchange LLC, NYSE MKT LLC (n/k/a NYSE American, LLC), and
NYSE Arca, Inc. filed with the Commission, pursuant to Section 11A
of the Exchange Act and Rule 608 of Regulation NMS thereunder, the
CAT NMS Plan. 15 U.S.C. 78k-1; 17 CFR 242.608. The Plan was
published for comment in the Federal Register on May 17, 2016, and
approved by the Commission, as modified, on November 15, 2016. See
Securities Exchange Act Release Nos. 77724 (April 27, 2016), 81 FR
30614 (May 17, 2016); 79318 (November 15, 2016), 81 FR 84696
(November 23, 2016) (``CAT NMS Plan Approval Order''). On January
30, 2017, the Commission noticed for immediate effectiveness an
amendment to the Plan to add MIAX PEARL, LLC as a Participant. See
Securities Exchange Act Release No. 79898, 82 FR 9250 (February 3,
2017). On March 1, 2019, the Commission noticed for immediate
effectiveness an amendment to the Plan to add MIAX Emerald, LLC as a
Participant. See Securities Exchange Act Release No. 85230, 84 FR
8356 (March 7, 2019).
    \2\ 15 U.S.C. 78k-1(a)(3).
    \3\ 17 CFR 242.608.
    \4\ See Letter from Michael Simon, CAT NMS Plan Operating
Committee Chair, to Brent J. Fields, Secretary, Commission, dated
May 8, 2017 (``Transmittal Letter'').
    \5\ 17 CFR 242.608.
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II. Description of the Plan

    Set forth in this Section II is the statement of the purpose and
summary of the amendment, along with information required by Rule
608(a)(4) and (5) under the Exchange Act,\6\ substantially as prepared
and submitted by the Participants to the Commission.\7\
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    \6\ See 17 CFR 242.608(a)(4) and (a)(5).
    \7\ See Letter from Michael Simon, Chair, CAT NMS Plan Operating
Committee, to Ms. Vanessa Countryman, Secretary, Commission, dated
August 29, 2019.
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A. Description of the Amendments to the CAT NMS Plan

    The Participants previously formed a Delaware limited liability
company named CAT NMS, LLC for the purpose of conducting activities
related to the consolidated audit trail (``CAT''), and CAT NMS, LLC
currently conducts those activities.\8\ The Participants are the
limited liability company members of CAT NMS, LLC. The Limited
Liability Company Agreement of CAT NMS, LLC, itself, including its
appendices, is the CAT NMS Plan, the national market system plan as
defined in Rule 600(b)(43) of Regulation NMS under the Exchange Act.\9\
The Participants propose to form a new Delaware limited liability
company named Consolidated Audit Trail, LLC for the purpose of
conducting activities related to the CAT from and after the
effectiveness of the proposed amendment of the CAT NMS Plan, and
Consolidated Audit Trail, LLC will conduct those activities from and
after that time. The Participants will be the limited liability company
members of Consolidated Audit Trail, LLC. Upon the effectiveness of the
proposed amendment of the CAT NMS Plan, the Limited Liability Company
Agreement of Consolidated Audit Trail, LLC would serve as the CAT NMS
Plan, and the Limited Liability Company Agreement of CAT NMS, LLC would
no longer serve as the CAT NMS Plan.
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    \8\ CAT NMS Plan Approval Order at 84699.
    \9\ Id.
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    The language of the Limited Liability Company Agreement of
Consolidated Audit Trail, LLC is the same as the language of the
Limited Liability Company Agreement of CAT NMS, LLC except for changes
related to the name of the new limited liability company and the date
of the agreement.\10\ Specifically, the proposed amendment would
replace the name CAT NMS, LLC with the name Consolidated Audit Trail,
LLC in the title, opening paragraph, Section 2.3 and the title of
Exhibit A of the new limited liability company agreement. In addition,
the proposed amendment would replace the current date of the agreement
in the opening paragraph with the date of the new agreement with
Consolidated Audit Trail, LLC. Accordingly, the proposed revisions to
the current CAT NMS Plan are limited only to those that are necessary
to accommodate the creation of the new limited liability company, not
to change any of the substantive provisions of the CAT NMS Plan that
govern the way activities with regard to the CAT are performed,
including, for example, provisions related to governance, fees, the
Plan Processor, and CAT Data. The proposed revisions to the CAT NMS
Plan are attached as the Appendix A to this filing.
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    \10\ In addition to these name changes, the Operating Committee
notes that the names and addresses of the Participants have been
updated in the signature block and Exhibit A of the Limited
Liability Company Agreement of Consolidated Audit Trail, LLC to
reflect the current names and addresses of the Participants. These
changes are set forth in the Appendix A to this letter.
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    The Operating Committee proposes to amend the CAT NMS Plan for
several reasons. On February 26, 2019, the Operating Committee selected
a successor Plan Processor for the CAT, FINRA CAT LLC. With FINRA CAT
LLC as the successor Plan Processor, a new CAT System will be used to
conduct the activities related to the CAT. With a successor Plan
Processor and new CAT System, the Operating Committee has been advised
that it would be appropriate to utilize a new entity to implement the
CAT NMS Plan. The Operating Committee also proposes to create
Consolidated Audit Trail, LLC to ensure that fees collected by that
entity will fund the development and operation of the CAT System.

B. Governing or Constituent Documents

    The governing document for Consolidated Audit Trail, LLC, the
Limited Liability Company Agreement for Consolidated Audit Trail, LLC,
is the same as the Limited Liability Agreement for CAT NMS, LLC except
for the changes set forth in the Appendix A to this letter. In
addition, the changes made to the Limited Liability Company Agreement
of CAT NMS, LLC are described above in Section A.

C. Implementation of Amendment

    The terms of the proposed amendment will become effective upon
filing pursuant to Rule 608(b)(3)(ii) of the Exchange Act because it is
concerned solely with the administration of the Plan, or involving the
governing or constituent documents relating to any person authorized to
implement or administer the Plan on behalf of its sponsors.\11\ The
Limited Liability Company Agreement of Consolidated Audit Trail, LLC
will become the CAT NMS Plan immediately upon filing the proposed
amendment with the Commission. To effectuate the proposed amendment
upon filing, the Participants have previously filed the necessary
documents with the State of Delaware to form Consolidated Audit Trail,
LLC. In addition, CAT NMS, LLC

has taken the necessary steps to assign its agreement with the Plan
Processor, FINRA CAT LLC, and the Technical Specifications for the CAT
System to Consolidated Audit Trail, LLC and for Consolidated Audit
Trail, LLC to guarantee the payment obligations under the promissory
notes made by CAT NMS, LLC to the Participants for development costs
related to the CAT for the period prior to the creation of Consolidated
Audit Trail, LLC. Consolidated Audit Trail, LLC also has taken the
necessary steps to enter into new contracts with other third parties
performing administrative and other functions on behalf of Consolidated
Audit Trail, LLC.
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    \11\ 17 CFR 242.608(b)(3)(ii).
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    At any time within sixty days of the filing of this amendment, the
Commission may summarily abrogate the amendment and require that it be
refiled in accordance with paragraph (a)(1) of Rule 608 and reviewed in
accordance with paragraph (b)(1) of Rule 608, if it appears to the
Commission that such action is necessary or appropriate in the public
interest, for the protection of investors or the maintenance of fair
and orderly markets, to remove impediments to, and perfect the
mechanisms of, a national market system or otherwise in furtherance of
the purposes of the Exchange Act.

D. Development and Implementation Phases

    Not applicable.

E. Analysis of Impact on Competition

    The Participants do not believe the proposed amendments will have
any impact on competition, that the proposed amendment is a technical
amendment related to the entity which would conduct the activities
related to the CAT, and that the proposed amendment does not make
substantive changes to the CAT NMS Plan or the operation of the CAT.

F. Written Understanding or Agreements Relating to Interpretation of,
or Participation in, Plan

    Not applicable.

G. Approval by Plan Sponsors in Accordance With Plan

    Section 12.3 of the CAT NMS Plan states that, subject to certain
exceptions, the Plan may be amended from time to time only by a written
amendment, authorized by the affirmative vote of not less than two-
thirds of all of the Participants, that has been approved by the SEC
pursuant to Rule 608 or has otherwise become effective under Rule 608.
The Participants, by a vote of the Operating Committee taken at a
meeting on August 29, 2019, has authorized the filing of this proposed
amendment with the SEC in accordance with the Plan.

H. Description of Operation of Facility Contemplated by the Proposed
Amendment

    Not applicable.

I. Terms and Conditions of Access

    Not applicable.

J. Method and Frequency of Processor Evaluation

    Not applicable.

K. Dispute Resolution

    Not applicable.

III. Solicitation of Comments

    Interested persons are invited to submit written data, views and
arguments concerning the foregoing, including whether the amendment is
consistent with the Exchange 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 4-698 on the subject line.

Paper Comments

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

All submissions should refer to File Number 4-698. This file number
should be included on the subject line if email is used. To help the
Commission process and review your comments more efficiently, please
use only one method. The Commission will post all comments on the
Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed plan amendment that are filed
with the Commission, and all written communications relating to the
amendment between the Commission and any person, other than those that
may be withheld from the public in accordance with the provisions of 5
U.S.C. 552, will be available for website viewing and printing in the
Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of such filing also will be available for inspection
and copying at the Participants' offices. All comments received will be
posted without change. Persons submitting comments are cautioned that
we do not redact or edit personal identifying information from comment
submissions. You should submit only information that you wish to make
available publicly. All submissions should refer to File Number 4-698
and should be submitted on or before October 24, 2019.

    By the Commission.
Eduardo A. Aleman,
Deputy Secretary.
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[FR Doc. 2019-21492 Filed 10-2-19; 8:45 am]
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