pursuant to paragraph (a) of this section at any time prior to the
issuance of a joint interpretation or joint notice of proposed
rulemaking by the Commission and the Securities and Exchange Commission
in response to the request; provided, however, that notwithstanding
such withdrawal, the Commission and the Securities and Exchange
Commission may provide a joint interpretation of whether the agreement,
contract, or transaction (or class thereof) is a swap, a security-based
swap, or both (i.e., a mixed swap).
    (d) Request by the Commission or the Securities and Exchange
Commission. In the absence of a request for a joint interpretation
under paragraph (a) of this section:
    (1) If the Commission or the Securities and Exchange Commission
receives a proposal to list, trade, or clear an agreement, contract, or
transaction (or class thereof) that raises questions as to the
appropriate characterization of such agreement, contract, or
transaction (or class thereof) as a swap, a security-based swap, or
both (i.e., a mixed swap), the Commission or the Securities and
Exchange Commission, as applicable, promptly shall notify the other of
the agreement, contract, or transaction (or class thereof); and
    (2) The Commission or the Securities and Exchange Commission, or
their Chairmen jointly, may submit a request for a joint interpretation
as described in paragraph (a) of this section; such submission shall be
made pursuant to paragraph (b) of this section, and may be withdrawn
pursuant to paragraph (c) of this section.
    (e) Timeframe for joint interpretation. (1) If the Commission and
the Securities and Exchange Commission determine to issue a joint
interpretation as described in paragraph (a) of this section, such
joint interpretation shall be issued within 120 days after receipt of a
complete submission requesting a joint interpretation under paragraph
(a) or (d) of this section.
    (2) The Commission and the Securities and Exchange Commission shall
consult with the Board of Governors of the Federal Reserve System prior
to issuing any joint interpretation as described in paragraph (a) of
this section.
    (3) If the Commission and the Securities and Exchange Commission
seek public comment with respect to a joint interpretation regarding an
agreement, contract, or transaction (or class thereof), the 120-day
period described in paragraph (e)(1) of this section shall be stayed
during the pendency of the comment period, but shall recommence with
the business day after the public comment period ends.
    (4) Nothing in this section shall require the Commission and the
Securities and Exchange Commission to issue any joint interpretation.
    (5) If the Commission and the Securities and Exchange Commission do
not issue a joint interpretation within the time period described in
paragraph (e)(1) or (e)(3) of this section, each of the Commission and
the Securities and Exchange Commission shall publicly provide the
reasons for not issuing such a joint interpretation within the
applicable timeframes.
    (f) Joint notice of proposed rulemaking. (1) Rather than issue a
joint interpretation pursuant to paragraph (a) of this section, the
Commission and the

Securities and Exchange Commission may issue a joint notice of proposed
rulemaking, in consultation with the Board of Governors of the Federal
Reserve System, to further define one or more of the terms swap,
security-based swap, or mixed swap.
    (2) A joint notice of proposed rulemaking described in paragraph
(f)(1) of this section shall be issued within the timeframe for issuing
a joint interpretation set forth in paragraph (e) of this section.
    7. Add Sec.  1.9 to read as follows:

Sec.  1.9  Regulation of mixed swaps.

    (a) In general. The term mixed swap has the meaning set forth in
section 1a(47)(D) of the Commodity Exchange Act.
    (b) Regulation of bilateral uncleared mixed swaps entered into by
dually-registered dealers or major participants. A mixed swap:
    (1) That is neither executed on nor subject to the rules of a
designated contract market, national securities exchange, swap
execution facility, security-based swap execution facility, or foreign
board of trade;
    (2) That will not be submitted to a derivatives clearing
organization or registered or exempt clearing agency to be cleared; and
    (3) Where at least one party is registered with the Commission as a
swap dealer or major swap participant and also with the Securities and
Exchange Commission as a security-based swap dealer or major security-
based swap participant, shall be subject to:
    (i) The following provisions of the Commodity Exchange Act, and the
rules and regulations promulgated thereunder:
    (A) Examinations and information sharing: sections 4s(f) and 8 of
the Commodity Exchange Act;
    (B) Enforcement: sections 2(a)(1)(B), 4(b), 4b, 4c, 6(c), 6(d), 6c,
6d, 9, 13(a), 13(b), and 23 of the Commodity Exchange Act;
    (C) Reporting to a swap data repository: section 4r of the
Commodity Exchange Act;
    (D) Real-time reporting: section 2(a)(13) of the Commodity Exchange
Act;
    (E) Capital: section 4s(e) of the Commodity Exchange Act; and
    (F) Position Limits: section 4a of the Commodity Exchange Act; and
    (ii) The provisions of the Federal securities laws, as defined in
section 3(a)(47) of the Securities Exchange Act of 1934 (15 U.S.C.
78c(a)(47)), and the rules and regulations promulgated thereunder.
    (c) Process for determining regulatory treatment for other mixed
swaps--(1) In general. Any person who desires or intends to list,
trade, or clear a mixed swap (or class thereof) that is not subject to
paragraph (b) of this section may request the Commission and the
Securities and Exchange Commission to issue a joint order permitting
the requesting person (and any other person or persons that
subsequently lists, trades, or clears that mixed swap) to comply, as to
parallel provisions only, with specified parallel provisions of either
the Commodity Exchange Act or the Securities Exchange Act of 1934 (15
U.S.C. 78a et seq.), and the rules and regulations thereunder
(collectively, specified parallel provisions), instead of being
required to comply with parallel provisions of both the Commodity
Exchange Act and the Securities Exchange Act of 1934. For purposes of
this paragraph (c), parallel provisions means comparable provisions of
the Commodity Exchange Act and the Securities Exchange Act of 1934 that
were added or amended by the Wall Street Transparency and
Accountability Act of 2010 with respect to swaps and security-based
swaps, and the rules and regulations thereunder.
    (2) Request process. A person submitting a request pursuant to
paragraph (c)(1) of this section must provide the Commission and the
Securities and Exchange Commission with the following:
    (i) All material information regarding the terms of the specified,
or specified class of, mixed swap;
    (ii) The economic characteristics and purpose of the specified, or
specified class of, mixed swap;
    (iii) The specified parallel provisions, and the reasons the person
believes such specified parallel provisions would be appropriate for
the mixed swap (or class thereof); and
    (iv) An analysis of:
    (A) The nature and purposes of the parallel provisions that are the
subject of the request;
    (B) The comparability of such parallel provisions;
    (C) The extent of any conflicts or differences between such
parallel provisions; and
    (D) Such other information as may be requested by the Commission or
the Securities and Exchange Commission.
    (3) Request withdrawal. A person may withdraw a request made
pursuant to paragraph (c)(1) of this section at any time prior to the
issuance of a joint order under paragraph (c)(4) of this section by the
Commission and the Securities and Exchange Commission in response to
the request.
    (4) Issuance of orders. In response to a request under paragraph
(c)(1) of this section, the Commission and the Securities and Exchange
Commission, as necessary to carry out the purposes of the Wall Street
Transparency and Accountability Act of 2010, may issue a joint order,
after notice and opportunity for comment, permitting the requesting
person (and any other person or persons that subsequently lists,
trades, or clears that mixed swap) to comply, as to parallel provisions
only, with the specified parallel provisions (or another subset of the
parallel provisions that are the subject of the request, as the
Commissions determine is appropriate), instead of being required to
comply with parallel provisions of both the Commodity Exchange Act and
the Securities Exchange Act of 1934. In determining the contents of
such joint order, the Commission and the Securities and Exchange
Commission may consider, among other things:
    (i) The nature and purposes of the parallel provisions that are the
subject of the request;
    (ii) The comparability of such parallel provisions; and
    (iii) The extent of any conflicts or differences between such
parallel provisions.
    (5) Timeframe. (i) If the Commission and the Securities and
Exchange Commission determine to issue a joint order as described in
paragraph (c)(4) of this section, such joint order shall be issued
within 120 days after receipt of a complete request for a joint order
under paragraph (c)(1) of this section, which time period shall be
stayed during the pendency of the public comment period provided for in
paragraph (c)(4) of this section and shall recommence with the business
day after the public comment period ends.
    (ii) Nothing in this section shall require the Commission and the
Securities and Exchange Commission to issue any joint order.
    (iii) If the Commission and the Securities and Exchange Commission
do not issue a joint order within the time period described in
paragraph (c)(5)(i) of this section, each of the Commission and the
Securities and Exchange Commission shall publicly provide the reasons
for not issuing such a joint order within that timeframe.

Securities and Exchange Commission

    Pursuant to the Exchange Act, 15 U.S.C. 78a et seq., and
particularly, sections 3 and 23 thereof, and sections 712(a)(8),
712(d), 721(a), 761(a) of the Dodd-Frank Act, the SEC is proposing to
adopt rules 3a68-1a through 3a68-4 and

3a69-1 through 3a69-3 under the Exchange Act.

Text of Proposed Rules

    For the reasons stated in the preamble, the SEC is proposing to
amend Title 17, Chapter II of the Code of the Federal Regulations as
follows:

PART 240--GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF
1934

    1. The general authority citation for Part 240 is revised to read
as follows:

    Authority: 15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3,
77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78d, 78e, 78f, 78g, 78i,
78j, 78j-1, 78k, 78k-1, 78l, 78m, 78n, 78n-1, 78o, 78o-4, 78o-8,
78p, 78q, 78s, 78u-5, 78w, 78x, 78dd(b), 78dd(c), 78ll, 78mm, 80a-
20, 80a-23, 80a-29, 80a-37, 80b-3, 80b-4, 80b-11, and 7201 et seq.;
18 U.S.C. 1350; and 12 U.S.C. 5221(e)(3), unless otherwise noted.
* * * * *
    2. Add Sec. Sec.  240.3a68-1a through 240.3a68-4 and Sec. Sec.
240.3a69-1 through 240.3a69-3 to read as follows:
240.3a68-1a Meaning of ``issuers of securities in a narrow-based
security index'' as used in section 3(a)(68)(A)(ii)(III) of the Act.
240.3a68-1b Meaning of ``narrow-based security index'' as used in
section 3(a)(68)(A)(ii)(I) of the Act.
240.3a68-2 Interpretation of swaps, security-based swaps, and mixed
swaps.
240.3a68-3 Meaning of ``narrow-based security index'' as used in the
definition of ``security-based swap''.
240.3a68-4 Regulation of mixed swaps.
240.3a69-1 Definition of ``swap'' as used in section 3(a)(69) of the
Act--insurance.
240.3a69-2 Definition of ``swap'' as used in section 3(a)(69) of the
Act--additional products.
240.3a69-3 Books and records requirements for security-based swap
agreements.
* * * * *

Sec.  240.3a68-1a  Meaning of ``issuers of securities in a narrow-based
security index'' as used in section 3(a)(68)(A)(ii)(III) of the Act.

    (a) Notwithstanding Sec.  240.3a68-3(a) of this chapter, and solely
for purposes of determining whether a credit default swap is a
security-based swap under section 3(a)(68)(A)(ii)(III) of the Act (15
U.S.C. 78c(a)(68)(A)(ii)(III)), the term issuers of securities in a
narrow-based security index as used in section 3(a)(68)(A)(ii)(III) of
the Act means issuers of securities identified in an index in which:
    (1)(i) There are 9 or fewer non-affiliated issuers of securities
that are reference entities in the index, provided that an issuer of
securities shall not be deemed a reference entity for purposes of this
section unless:
    (A) A credit event with respect to such reference entity would
result in a payment by the credit protection seller to the credit
protection buyer under the credit default swap based on the related
notional amount allocated to such reference entity; or
    (B) The fact of such credit event or the calculation in accordance
with paragraph (a)(1)(i)(A) of this section of the amount owed with
respect to such credit event is taken into account in determining
whether to make any future payments under the credit default swap with
respect to any future credit events;
    (ii) The effective notional amount allocated to any reference
entity included in the index comprises more than 30 percent of the
index's weighting;
    (iii) The effective notional amount allocated to any five non-
affiliated reference entities included in the index comprises more than
60 percent of the index's weighting; or
    (iv) Except as provided in paragraph (b) of this section, for each
reference entity included in the index, none of the following criteria
is satisfied:
    (A) The reference entity is required to file reports pursuant to
section 13 or section 15(d) of the Act (15 U.S.C. 78m or 78o(d));
    (B) The reference entity is eligible to rely on the exemption
provided in Sec.  240.12g3-2(b) of this chapter;
    (C) The reference entity has a worldwide market value of its
outstanding common equity held by non-affiliates of $700 million or
more;
    (D) The reference entity (other than an issuing entity of an asset-
backed security as defined in section 3(a)(77) of the Act (15 U.S.C.
78c(a)(77))) has outstanding securities that are notes, bonds,
debentures, or evidences of indebtedness having a total remaining
principal amount of at least $1 billion;
    (E) The reference entity is the issuer of an exempted security as
defined in section 3(a)(12) of the Act (15 U.S.C. 78c(a)(12)) (other
than any municipal security as defined in section 3(a)(29) of the Act
(15 U.S.C. 78c(a)(29)));
    (F) The reference entity is a government of a foreign country or a
political subdivision of a foreign country;
    (G) If the reference entity is an issuer of asset-backed securities
as defined in section 3(a)(77) of the Act (15 U.S.C. 78c(a)(77)), such
asset-based securities were issued in a transaction registered under
the Securities Act of 1933 (15 U.S.C. 77a et seq.) and have publicly
available distribution reports; and
    (H) For a credit default swap entered into solely between eligible
contract participants as defined in section 3(a)(65) of the Act (15
U.S.C. 78c(a)(65)):
    (1) The reference entity (other than a reference entity that is an
issuing entity of an asset-backed security as defined in section
3(a)(77) of the Act (15 U.S.C. 78c(a)(77))) provides to the public or
to such eligible contract participant information about the reference
entity pursuant to Sec.  230.144A(d)(4)) of this chapter;
    (2) Financial information about the reference entity (other than a
reference entity that is an issuing entity of an asset-backed security
as defined in section 3(a)(77) of the Act (15 U.S.C. 78c(a)(77))) is
otherwise publicly available; or
    (3) In the case of a reference entity that is an issuing entity of
asset-backed securities as defined in section 3(a)(77) of the Act (15
U.S.C. 78c(a)(77)), information of the type and level included in
public distribution reports for similar asset-backed securities is
publicly available about both the reference entity and such asset-
backed securities; and
    (2)(i) The index is not composed solely of reference entities that
are issuers of exempted securities as defined in section 3(a)(12) of
the Act (15 U.S.C. 78c(a)(12)), as in effect on the date of enactment
of the Futures Trading Act of 1982 (other than any municipal security
as defined in section 3(a)(29) of the Act (15 U.S.C. 78c(a)(29))), as
in effect on the date of enactment of the Futures Trading Act of 1982);
and
    (ii) Without taking into account any portion of the index composed
of reference entities that are issuers of exempted securities as
defined in section 3(a)(12) of the Act (15 U.S.C. 78c(a)(12)), as in
effect on the date of enactment of the Futures Trading Act of 1982
(other than any municipal security as defined in section 3(a)(29) of
the Act (15 U.S.C. 78c(a)(29))), the remaining portion of the index
would be a narrow-based security index under paragraph (a)(1) of this
section.
    (b) Paragraph (a)(1)(iv) of this section will not apply with
respect to a reference entity included in the index if:
    (1) The effective notional amounts allocated to such reference
entity comprise less than five percent of the index's weighting; and
    (2) The effective notional amounts allocated to reference entities
that satisfy paragraph (a)(1)(iv) of this section comprise at least 80
percent of the index's weighting.
    (c) For purposes of this Sec.  3a68-1a:
    (1) A reference entity is affiliated with another entity if it
controls, is controlled by, or is under common control with,

that entity; provided that each reference entity that is an issuing
entity of an asset-backed security as defined in section 3(a)(77) of
the Act (15 U.S.C. 78c(a)(77)) will not be considered affiliated with
any other issuing entity of an asset-backed security.
    (2) Control means ownership of 20 percent or more of an entity's
equity, or the ability to direct the voting of 20 percent or more of
the entity's voting equity.
    (3) The term reference entity includes:
    (i) An issuer of securities;
    (ii) An issuing entity of an asset-based security as defined in
section 3(a)(77) of the Act (15 U.S.C. 78c(a)(77)); and
    (iii) A single reference entity or a group of affiliated entities;
provided that each issuing entity of an asset-backed security as
defined in section 3(a)(77) of the Act (15 U.S.C. 78c(a)(77)) is a
separate reference entity.

Sec.  240.3a68-1b  Meaning of ``narrow-based security index'' as used
in section 3(a)(68)(A)(ii)(I) of the Act.

    (a) Notwithstanding Sec.  240.3a68-3(a) of this chapter, and solely
for purposes of determining whether a credit default swap is a
security-based swap under section 3(a)(68)(A)(ii)(I) of the Act (15
U.S.C. 78c(a)(68)(A)(ii)(I)), the term narrow-based security index as
used in section 3(a)(68)(A)(ii)(I) of the Act means an index in which:
    (1)(i) The index is composed of 9 or fewer securities or securities
that are issued by 9 or fewer non-affiliated issuers, provided that a
security shall not be deemed a component of the index for purposes of
this section unless:
    (A) A credit event with respect to the issuer of such security or a
credit event with respect to such security would result in a payment by
the credit protection seller to the credit protection buyer under the
credit default swap based on the related notional amount allocated to
such security; or
    (B) The fact of such credit event or the calculation in accordance
with paragraph (a)(1)(i)(A) of this section of the amount owed with
respect to such credit event is taken into account in determining
whether to make any future payments under the credit default swap with
respect to any future credit events;
    (ii) The effective notional amount allocated to the securities of
any issuer included in the index comprises more than 30 percent of the
index's weighting;
    (iii) The effective notional amount allocated to the securities of
any five non-affiliated issuers included in the index comprises more
than 60 percent of the index's weighting; or
    (iv) Except as provided in paragraph (b) of this section, for each
security included in the index none of the following criteria is
satisfied:
    (A) The issuer of the security is required to file reports pursuant
to section 13 or section 15(d) of the Act (15 U.S.C. 78m or 78o(d));
    (B) The issuer of the security is eligible to rely on the exemption
provided in Sec.  40.12g3-2(b) of this chapter;
    (C) The issuer of the security has a worldwide market value of its
outstanding common equity held by non-affiliates of $700 million or
more;
    (D) The issuer of the security (other than an issuing entity of an
asset-backed security as defined in section 3(a)(77) of the Act (15
U.S.C. 78c(a)(77))) has outstanding securities that are notes, bonds,
debentures, or evidences of indebtedness having a total remaining
principal amount of at least $1 billion;
    (E) The security is an exempted security as defined in section
3(a)(12) of the Act (15 U.S.C. 78c(a)(12)) (other than any municipal
security as defined in section 3(a)(29) of the Act (15 U.S.C.
78c(a)(29)));
    (F) The issuer of the security is a government of a foreign country
or a political subdivision of a foreign country;
    (G) If the security is an asset-backed security as defined in
section 3(a)(77) of the Act (15 U.S.C. 78c(a)(77)), the security was
issued in a transaction registered under the Securities Act of 1933 (15
U.S.C. 77a et seq.) and has publicly available distribution reports;
and
    (H) For a credit default swap entered into solely between eligible
contract participants as defined in section 3(a)(65) of the Act (15
U.S.C. 78c(a)(65)):
    (1) The issuer of the security (other than an issuing entity of an
asset-backed security as defined in section 3(a)(77) of the Act (15
U.S.C. 78c(a)(77))) provides to the public or to such eligible contract
participant information about such issuer pursuant to Sec.
230.144A(d)(4)) of this chapter;
    (2) Financial information about the issuer of the security (other
than an asset-backed security as defined in section 3(a)(77) of the Act
(15 U.S.C. 78c(a)(77))) is otherwise publicly available; or
    (3) In the case of an asset-backed security as defined in section
3(a)(77) of the Act (15 U.S.C. 78c(a)(77)), information of the type and
level included in public distribution reports for similar asset-backed
securities is publicly available about both the issuing entity and such
asset-backed security; and
    (2)(i) The index is not composed solely of exempted securities as
defined in section 3(a)(12) of the Act (15 U.S.C. 78c(a)(12)), as in
effect on the date of enactment of the Futures Trading Act of 1982
(other than any municipal security as defined in section 3(a)(29) of
the Act (15 U.S.C. 78c(a)(29))), as in effect on the date of enactment
of the Futures Trading Act of 1982); and
    (ii) Without taking into account any portion of the index composed
of exempted securities as defined in section 3(a)(12) of the Act (15
U.S.C. 78c(a)(12)), as in effect on the date of enactment of the
Futures Trading Act of 1982 (other than any municipal security as
defined in section 3(a)(29) of the Act (15 U.S.C. 78c(a)(29))), the
remaining portion of the index would be a narrow-based security index
under paragraph (a)(1) of this section.
    (b) Paragraph (a)(1)(iv) of this section will not apply with
respect to securities of an issuer included in the index if:
    (1) The effective notional amounts allocated to all securities of
such issuer included in the index comprise less than five percent of
the index's weighting; and
    (2) The securities that satisfy paragraph (a)(1)(iv) of this
section comprise at least 80 percent of the index's weighting.
    (c) For purposes of this Sec.  240.3a68-1b:
    (1) An issuer is affiliated with another issuer if it controls, is
controlled by, or is under common control with, that issuer; provided
that each issuing entity of an asset-backed security as defined in
section 3(a)(77) of the Act (15 U.S.C. 78c(a)(77)) will not be
considered affiliated with any other issuing entity of an asset-backed
security.
    (2) Control means ownership of 20 percent or more of an issuer's
equity, or the ability to direct the voting of 20 percent or more of
the issuer's voting equity.
    (3) The term issuer includes:
    (i) An issuer of securities;
    (ii) An issuing entity of an asset-based security as defined in
section 3(a)(77) of the Act (15 U.S.C. 78c(a)(77)); and
    (iii) A single issuer or a group of affiliated issuers; provided
that each issuing entity of an asset-backed security as defined in
section 3(a)(77) of the Act (15 U.S.C. 78c(a)(77)) is a separate
issuer.

Sec.  240.3a68-2  Interpretation of swaps, security-based swaps, and
mixed swaps.

    (a) In general. Any person may submit a request to the Commission
and the Commodity Futures Trading Commission to provide a joint
interpretation of whether a particular agreement, contract, or
transaction (or

class thereof) is a swap, as that term is defined in section 3(a)(69)
of the Act (15 U.S.C. 78c(a)(69)) and the rules and regulations
promulgated thereunder, a security-based swap, as that term is defined
in section 3(a)(68) of the Act (15 U.S.C. 78c(a)(68)) and the rules and
regulations promulgated thereunder, or a mixed swap, as that term is
defined in section 3(a)(68)(D) of the Act and the rules and regulations
promulgated thereunder.
    (b) Request process. In making a request pursuant to paragraph (a)
of this section, the requesting person must provide the Commission and
the Commodity Futures Trading Commission with the following:
    (1) All material information regarding the terms of the agreement,
contract, or transaction (or class thereof);
    (2) A statement of the economic characteristics and purpose of the
agreement, contract, or transaction (or class thereof);
    (3) The requesting person's determination as to whether the
agreement, contract, or transaction (or class thereof) should be
characterized as a swap, a security-based swap, or both (i.e., a mixed
swap), including the basis for such determination; and
    (4) Such other information as may be requested by the Commission or
the Commodity Futures Trading Commission.
    (c) Request withdrawal. A person may withdraw a request made
pursuant to paragraph (a) of this section at any time prior to the
issuance of a joint interpretation or joint notice of proposed
rulemaking by the Commission and the Commodity Futures Trading
Commission in response to the request; provided, however, that
notwithstanding such withdrawal, the Commission and the Commodity
Futures Trading Commission may provide a joint interpretation of
whether the agreement, contract, or transaction (or class thereof) is a
swap, a security-based swap, or both (i.e., a mixed swap).
    (d) Request by the Commission or the Commodity Futures Trading
Commission. In the absence of a request for a joint interpretation
under paragraph (a) of this section:
    (1) If the Commission or the Commodity Futures Trading Commission
receives a proposal to list, trade, or clear an agreement, contract, or
transaction (or class thereof) that raises questions as to the
appropriate characterization of such agreement, contract, or
transaction (or class thereof) as a swap, a security-based swap, or
both (i.e., a mixed swap), the Commission or the Commodity Futures
Trading Commission, as applicable, promptly shall notify the other of
the agreement, contract, or transaction (or class thereof); and
    (2) The Commission or the Commodity Futures Trading Commission, or
their Chairmen jointly, may submit a request for a joint interpretation
as described in paragraph (a) of this section; such submission shall be
made pursuant to paragraph (b) of this section, and may be withdrawn
pursuant to paragraph (c) of this section.
    (e) Timeframe for joint interpretation.
    (1) If the Commission and the Commodity Futures Trading Commission
determine to issue a joint interpretation as described in paragraph (a)
of this section, such joint interpretation shall be issued within 120
days after receipt of a complete submission requesting a joint
interpretation under paragraph (a) or (d) of this section.
    (2) The Commission and the Commodity Futures Trading Commission
shall consult with the Board of Governors of the Federal Reserve System
prior to issuing any joint interpretation as described in paragraph (a)
of this section.
    (3) If the Commission and the Commodity Futures Trading Commission
seek public comment with respect to a joint interpretation regarding an
agreement, contract, or transaction (or class thereof), the 120-day
period described in paragraph (e)(1) of this section shall be stayed
during the pendency of the comment period, but shall recommence with
the business day after the public comment period ends.
    (4) Nothing in this section shall require the Commission and the
Commodity Futures Trading Commission to issue any joint interpretation.
    (5) If the Commission and the Commodity Futures Trading Commission
do not issue a joint interpretation within the time period described in
paragraph (e)(1) or (e)(3) of this section, each of the Commission and
the Commodity Futures Trading Commission shall publicly provide the
reasons for not issuing such a joint interpretation within the
applicable timeframes.
    (f) Joint notice of proposed rulemaking.
    (1) Rather than issue a joint interpretation pursuant to paragraph
(a) of this section, the Commission and the Commodity Futures Trading
Commission may issue a joint notice of proposed rulemaking, in
consultation with the Board of Governors of the Federal Reserve System,
to further define one or more of the terms swap, security-based swap,
or mixed swap.
    (2) A joint notice of proposed rulemaking described in paragraph
(f)(1) of this section shall be issued within the timeframe for issuing
a joint interpretation set forth in paragraph (e) of this section.

Sec.  240.3a68-3  Meaning of ``narrow-based security index'' as used in
the definition of ``security-based swap.''

    (a) In general. Except as otherwise provided in Sec.  240.3a68-1a
and Sec.  240.3a68-1b of this chapter, for purposes of section 3(a)(68)
of the Act (15 U.S.C. 78c(a)(68)), the term narrow-based security index
has the meaning set forth in section 3(a)(55) of the Act (15 U.S.C.
78c(a)(55)), and the rules, regulations, and orders of the Commission
thereunder.
    (b) Tolerance period for swaps traded on designated contract
markets, swap execution facilities and foreign boards of trade.
Notwithstanding paragraph (a) of this section, solely for purposes of
swaps traded on or subject to the rules of a designated contract
market, swap execution facility, or foreign board of trade pursuant to
the Commodity Exchange Act (7 U.S.C. 1 et seq.), a security index
underlying such swaps shall not be considered a narrow-based security
index if:
    (1)(i) A swap on the index is traded on or subject to the rules of
a designated contract market, swap execution facility, or foreign board
of trade pursuant to the Commodity Exchange Act (7 U.S.C. 1 et seq.)
for at least 30 days as a swap on an index that was not a narrow-based
security index; or
    (ii) Such index was not a narrow-based security index during every
trading day of the six full calendar months preceding a date no earlier
than 30 days prior to the commencement of trading of a swap on such
index on a market described in paragraph (b)(1)(i) of this section; and
    (2) The index has been a narrow-based security index for no more
than 45 business days over three consecutive calendar months.
    (c) Tolerance period for security-based swaps traded on national
securities exchanges or security-based swap execution facilities.
Notwithstanding paragraph (a) of this section, solely for purposes of
security-based swaps traded on a national securities exchange or
security-based swap execution facility, a security index underlying
such security-based swaps shall be considered a narrow-based security
index if:
    (1)(i) A security-based swap on the index is traded on a national
securities

exchange or security-based swap execution facility for at least 30 days
as a security-based swap on a narrow-based security index; or
    (ii) Such index was a narrow-based security index during every
trading day of the six full calendar months preceding a date no earlier
than 30 days prior to the commencement of trading of a security-based
swap on such index on a market described in paragraph (c)(1)(i) of this
section; and
    (2) The index has been a security index that is not a narrow-based
security index for no more than 45 business days over three consecutive
calendar months.
    (d) Grace period.
    (1) Solely with respect to a swap that is traded on or subject to
the rules of a designated contract market, swap execution facility or
foreign board of trade pursuant to the Commodity Exchange Act (7 U.S.C.
1 et seq.), an index that becomes a narrow-based security index under
paragraph (b) of this section solely because it was a narrow-based
security index for more than 45 business days over three consecutive
calendar months shall not be a narrow-based security index for the
following three calendar months.
    (2) Solely with respect to a security-based swap that is traded on
a national securities exchange or security-based swap execution
facility, an index that becomes a security index that is not a narrow-
based security index under paragraph (c) of this section solely because
it was not a narrow-based security index for more than 45 business days
over three consecutive calendar months shall be a narrow-based security
index for the following three calendar months.

Sec.  240.3a68-4  Regulation of mixed swaps.

    (a) In general. The term mixed swap has the meaning set forth in
section 3(a)(68)(D) of the Act (15 U.S.C. 78c(a)(68)(D)).
    (b) Regulation of mixed swaps entered into by dually-registered
dealers or major participants. A mixed swap:
    (1) That is neither executed on nor subject to the rules of a
designated contract market, national securities exchange, swap
execution facility, security-based swap execution facility, or foreign
board of trade;
    (2) That will not be submitted to a derivatives clearing
organization or registered or exempt clearing agency to be cleared; and
    (3) Where at least one party is registered with the Commission as a
security-based swap dealer or major security-based swap participant and
also with the Commodity Futures Trading Commission as a swap dealer or
major swap participant, shall be subject to:
    (i) The following provisions of the Commodity Exchange Act (7
U.S.C. 1 et seq.), and the rules and regulations promulgated
thereunder, set forth in the rules and regulations of the Commodity
Futures Trading Commission:
    (A) Examinations and information sharing: 7 U.S.C. 6s(f) and 12;
    (B) Enforcement: 7 U.S.C. 2(a)(1)(B), 6(b), 6b, 6c, 9, 13b, 13a-1,
13a-2, 13, 13c(a), 13c(b), 15 and 26;
    (C) Reporting to a swap data repository: 7 U.S.C. 6r;
    (D) Real-time reporting: 7 U.S.C. 2(a)(13);
    (E) Capital: 7 U.S.C. 6s(e); and
    (F) Position Limits: 7 U.S.C. 6a; and
    (ii) The provisions of the Federal securities laws, as defined in
section 3(a)(47) of the Act (15 U.S.C. 78c(a)(47)), and the rules and
regulations promulgated thereunder.
    (c) Process for determining regulatory treatment for mixed swaps.
    (1) In general. Any person who desires or intends to list, trade,
or clear a mixed swap (or class thereof) that is not subject to
paragraph (b) of this section may request the Commission and the
Commodity Futures Trading Commission to issue a joint order permitting
the requesting person (and any other person or persons that
subsequently lists, trades, or clears that mixed swap) to comply, as to
parallel provisions only, with specified parallel provisions of either
the Act (15 U.S.C. 78a et seq.) or the Commodity Exchange Act (7 U.S.C.
1 et seq.), and the rules and regulations thereunder (collectively,
specified parallel provisions), instead of being required to comply
with parallel provisions of both the Act and the Commodity Exchange
Act. For purposes of this paragraph (c), parallel provisions means
comparable provisions of the Act and the Commodity Exchange Act that
were added or amended by the Wall Street Transparency and
Accountability Act of 2010 with respect to security-based swaps and
swaps, and the rules and regulations thereunder.
    (2) Request process. A person submitting a request pursuant to
paragraph (c)(1) of this section must provide the Commission and the
Commodity Futures Trading Commission with the following:
    (i) All material information regarding the terms of the specified,
or specified class of, mixed swap;
    (ii) The economic characteristics and purpose of the specified, or
specified class of, mixed swap;
    (iii) The specified parallel provisions, and the reasons the person
believes such specified parallel provisions would be appropriate for
the mixed swap (or class thereof); and
    (iv) An analysis of:
    (A) The nature and purposes of the parallel provisions that are the
subject of the request;
    (B) The comparability of such parallel provisions;
    (C) The extent of any conflicts or differences between such
parallel provisions; and
    (D) Such other information as may be requested by the Commission or
the Commodity Futures Trading Commission.
    (3) Request withdrawal. A person may withdraw a request made
pursuant to paragraph (c)(1) of this section at any time prior to the
issuance of a joint order under paragraph (c)(4) of this section by the
Commission and the Commodity Futures Trading Commission in response to
the request.
    (4) Issuance of orders. In response to a request under paragraph
(c)(1) of this section, the Commission and the Commodity Futures
Trading Commission, as necessary to carry out the purposes of the Wall
Street Transparency and Accountability Act of 2010, may issue a joint
order, after notice and opportunity for comment, permitting the
requesting person (and any other person or persons that subsequently
lists, trades, or clears that mixed swap) to comply, as to parallel
provisions only, with the specified parallel provisions (or another
subset of the parallel provisions that are the subject of the request,
as the Commissions determine is appropriate), instead of being required
to comply with parallel provisions of both the Act (15 U.S.C. 78a et
seq.) and the Commodity Exchange Act (7 U.S.C. 1 et seq.). In
determining the contents of such joint order, the Commission and the
Commodity Futures Trading Commission may consider, among other things:
    (i) The nature and purposes of the parallel provisions that are the
subject of the request;
    (ii) The comparability of such parallel provisions; and
    (iii) The extent of any conflicts or differences between such
parallel provisions.
    (5) Timeframe.
    (i) If the Commission and the Commodity Futures Trading Commission
determine to issue a joint order as described in paragraph (c)(4) of
this section, such joint order shall be issued within 120 days after
receipt of a complete request for a joint order under paragraph (c)(1)
of this section, which time period shall be stayed

during the pendency of the public comment period provided for in
paragraph (c)(4) of this section and shall recommence with the business
day after the public comment period ends.
    (ii) Nothing in this section shall require the Commission and the
Commodity Futures Trading Commission to issue any joint order.
    (iii) If the Commission and the Commodity Futures Trading
Commission do not issue a joint order within the time period described
in paragraph (c)(5)(i) of this section, each of the Commission and the
Commodity Futures Trading Commission shall publicly provide the reasons
for not issuing such a joint order within that timeframe.

Sec.  240.3a69-1  Definition of ``swap'' as used in section 3(a)(69) of
the Act--Insurance

    The term swap as used in section 3(a)(69) of the Act (15 U.S.C.
78c(a)(69)) does not include an agreement, contract, or transaction
that:
    (a) By its terms or by law, as a condition of performance on the
agreement, contract, or transaction:
    (1) Requires the beneficiary of the agreement, contract, or
transaction to have an insurable interest that is the subject of the
agreement, contract, or transaction and thereby carry the risk of loss
with respect to that interest continuously throughout the duration of
the agreement, contract, or transaction;
    (2) Requires that loss to occur and to be proved, and that any
payment or indemnification therefor be limited to the value of the
insurable interest;
    (3) Is not traded, separately from the insured interest, on an
organized market or over-the-counter; and
    (4) With respect to financial guaranty insurance only, in the event
of payment default or insolvency of the obligor, any acceleration of
payments under the policy is at the sole discretion of the insurer; and
    (b) Is provided:
    (1) By a company that is organized as an insurance company whose
primary and predominant business activity is the writing of insurance
or the reinsuring of risks underwritten by insurance companies and that
is subject to supervision by the insurance commissioner (or similar
official or agency) of any State, as defined in section 3(a)(16) of the
Act (15 U.S.C. 78c(a)(16)), or by the United States or an agency or
instrumentality thereof, and such agreement, contract, or transaction
is regulated as insurance under the laws of such State or of the United
States;
    (2) By the United States or any of its agencies or
instrumentalities, or pursuant to a statutorily authorized program
thereof; or
    (3) In the case of reinsurance only, by a person located outside
the United States to an insurance company that is eligible under
paragraph (b) of this section, provided that:
    (i) Such person is not prohibited by any law of any State or of the
United States from offering such agreement, contract, or transaction to
such an insurance company;
    (ii) The product to be reinsured meets the requirements under
paragraph (a) of this section to be insurance; and
    (iii) The total amount reimbursable by all reinsurers for such
insurance product cannot exceed the claims or losses paid by the
cedant.

Sec.  240.3a69-2  Definition of ``swap'' as used in section 3(a)(69) of
the Act--Additional Products.

    (a) In general. The term swap has the meaning set forth in section
3(a)(69) of the Act (15 U.S.C. 78c(a)(69)).
    (b) Inclusion of particular products. (1) The term swap includes,
without limiting the meaning set forth in section 3(a)(69) of the Act
(15 U.S.C. 78c(a)(69), the following agreements, contracts, and
transactions:
    (i) A cross-currency swap;
    (ii) A currency option, foreign currency option, foreign exchange
option and foreign exchange rate option;
    (iii) A foreign exchange forward;
    (iv) A foreign exchange swap;
    (v) A forward rate agreement; and
    (vi) A non-deliverable forward involving foreign exchange.
    (2) The term swap does not include an agreement, contract, or
transaction described in paragraph (b)(1) of this section that is
otherwise excluded by section 1a(47)(B) of the Commodity Exchange Act
(7 U.S.C. 1a(47)(B)).
    (c) Foreign exchange forwards and foreign exchange swaps.
Notwithstanding paragraph (b)(2) of this section:
    (1) A foreign exchange forward or a foreign exchange swap shall not
be considered a swap if the Secretary of the Treasury makes a
determination described in section 1a(47)(E)(i) of the Commodity
Exchange Act (7 U.S.C. 1a(47)(E)(i)).
    (2) Notwithstanding paragraph (c)(1) of this section:
    (i) The reporting requirements set forth in section 4r of the
Commodity Exchange Act (7 U.S.C. 6r) and regulations promulgated
thereunder shall apply to a foreign exchange forward or foreign
exchange swap; and
    (ii) The business conduct standards set forth in section 4s of the
Commodity Exchange Act (7 U.S.C. 6s) and regulations promulgated
thereunder shall apply to a swap dealer or major swap participant that
is a party to a foreign exchange forward or foreign exchange swap.
    (3) For purposes of section 1a(47)(E) of the Commodity Exchange Act
(7 U.S.C. 1a(47)(E)) and this Sec.  240.3a69-2, the term foreign
exchange forward has the meaning set forth in section 1a(24) of the
Commodity Exchange Act (7 U.S.C. 1a(24)).
    (4) For purposes of section 1a(47)(E) of the Commodity Exchange Act
(7 U.S.C. 1a(47)(E)) and this Sec.  240.3a69-2, the term foreign
exchange swap has the meaning set forth in section 1a(25) of the
Commodity Exchange Act (7 U.S.C. 1a(25)).
    (5) For purposes of sections 1a(24) and 1a(25) of the Commodity
Exchange Act (7 U.S.C. 1a(24) and (25)) and this Sec.  240.3a69-2, the
following transactions are not foreign exchange forwards or foreign
exchange swaps:
    (i) A currency swap or a cross-currency swap;
    (ii) A currency option, foreign currency option, foreign exchange
option, or foreign exchange rate option; and
    (iii) A non-deliverable forward involving foreign exchange.

Sec.  240.3a69-3  Books and records requirements for security-based
swap agreements.

    (a) A person registered as a swap data repository under section 21
of the Commodity Exchange Act (7 U.S.C. 24a) and the rules and
regulations thereunder:
    (1) Shall not be required to keep and maintain additional books and
records regarding security-based swap agreements other than the books
and records regarding swaps required to be kept and maintained pursuant
to section 21 of the Commodity Exchange Act (7 U.S.C. 24a) and the
rules and regulations thereunder; and
    (2) Shall not be required to collect and maintain additional data
regarding security-based swap agreements other than the data regarding
swaps required to be collected and maintained by such persons pursuant
to section 21 of the Commodity Exchange Act (7 U.S.C. 24a) and the
rules and regulations thereunder.
    (b) A person shall not be required to keep and maintain additional
books and records, including daily trading records, regarding security-
based swap agreements other than the books and records regarding swaps
required to be kept and maintained by such persons pursuant to section
4s of the Commodity Exchange Act (7 U.S.C. 6s) and the rules

and regulations thereunder if such person is registered as:
    (1) A swap dealer under section 4s(a)(1) of the Commodity Exchange
Act (7 U.S.C. 6s(a)(1)) and the rules and regulations thereunder;
    (2) A major swap participant under section 4s(a)(2) of the
Commodity Exchange Act (7 U.S.C. 6s(a)(2)) and the rules and
regulations thereunder;
    (3) A security-based swap dealer under section 15F(a)(1) of the Act
(15 U.S.C. 78o-10(a)(1)) and the rules and regulations thereunder; or
    (4) A major security-based swap participant under section 15F(a)(2)
of the Act (15 U.S.C. 78o-10(a)(2)) and the rules and regulations
thereunder.
    (c) The term security-based swap agreement has the meaning set
forth in section 3(a)(78) of the Act (15 U.S.C. 78c(a)(78)).

    Dated: April 29, 2011.

    By the Commodity Futures Trading Commission.
David A. Stawick,
Secretary.
    Dated: April 29, 2011.

    By the Securities and Exchange Commission.
Cathy H. Ahn,
Deputy Secretary.

Product Definitions Contained in Title VII of the Dodd-Frank Wall
Street Reform and Consumer Protection Act--CFTC Voting Summary and
Statements of CFTC Commissioners

    Note: The following will not appear in the Code of Federal
Regulations.

CFTC Voting Summary

    On this matter, Chairman Gensler and Commissioners Dunn, Chilton
and O'Malia voted in the affirmative; Commissioner Sommers voted in the
negative.

Statement of CFTC Chairman Gary Gensler

    I support the proposed rulemaking to implement the Dodd-Frank Act's
requirement to further define derivatives products that come under
Title VII of the Act.
    The CFTC worked closely with the SEC, in consultation with the
Federal Reserve, on this proposed rule to further define swaps,
security-based swaps, mixed swaps and security-based swap agreements.
The statutory definition of swap is very detailed. This rule is
consistent with that detailed definition and Congressional intent. For
example, interest rate swaps, currency swaps, commodity swaps,
including energy, metals and agricultural swaps, and broad-based index
swaps, such as index credit default swaps, are all swaps. Consistent
with Congress's definition of swaps, the rule also defines options as
swaps.
    In preparing the proposed rule, staff worked to address the more
than 80 comments that were submitted by the public in response to the
joint advance notice of proposed rulemaking on product definitions.
Many of the commenters asked that the Commissions specifically provide
guidance on what is not a swap or security-based swap.
    For example, under the Commodity Exchange Act, the CFTC does not
regulate forward contracts. Over the decades, there has been a series
of orders, interpretations and cases that market participants have come
to rely upon regarding the exception from futures regulation for
forwards and forwards with embedded options. Consistent with that
history, the Dodd-Frank Act excluded from the definition of swaps ``any
sale of a nonfinancial commodity or security for deferred shipment or
delivery, so long as the transaction is intended to be physically
settled.'' The proposed rule interprets that exclusion in a manner that
is consistent with the Commission's previous history of the forward
exclusion from futures regulation.
    Further, consistent with the Dodd-Frank Act, the proposed rule
clarifies that state or Federally regulated insurance products that are
provided by regulated insurance companies will not be regulated under
Title VII of the Act. Similarly, the proposal clarifies that certain
consumer and commercial arrangements that historically have not been
considered swaps, such as consumer mortgage rate locks, contracts to
lock in the price of home heating oil and contracts relating to
inventory or equipment, also will not be regulated under Title VII of
the Act.

Statement of CFTC Commissioner Jill Sommers

    I respectfully dissent from the action taken today by the
Commission to issue proposed regulations relating to ``Product
Definitions Contained in Title VII of the Dodd-Frank Wall Street Reform
and Consumer Protection Act.''
    I disagree with the approach taken by the Commission with regard to
the proposed ``Anti-Evasion'' provisions. I agree that Dodd-Frank
Section 721(c) directs the Commission to further define certain terms
to include transactions or entities that have been structured to evade
Dodd-Frank. I do not agree that Congress directed the Commission to
promulgate broad ``Anti-Evasion'' provisions, and I point out that the
Securities and Exchange Commission today has declined to promulgate
such provisions in this joint rulemaking.
    By promulgating a broad regulation today that essentially says that
any transaction that does not fall within the definition of ``swap''
because it has been structured to evade Dodd-Frank nonetheless is a
swap, the Commission is over-reading its Congressional mandate. The
statutory definition of ``swap'' includes a laundry-list of
transactions that Congress intended to include within the definition.
If Congress intended the definition of ``swap'' also to include a broad
statement that any transaction structured to evade Dodd-Frank is a
``swap,'' Congress would have incorporated such a provision within the
statutory definition. By directing the Commission to ``further define''
the term ``swap'' by rule, Congress is directing the Commission not to
make the broad statement it declined to make, but to think through
whether the definition of ``swap'' needs to be modified by rule to
include specific transactions within the definition.
    In addition to my concern about the ``Anti-Evasion'' provisions
included within this proposal, I am concerned about an important issue
that is not raised within this proposal. Multinational organizations
whose statutory mission is to combat poverty and foster economic
development have raised concerns about the application of Dodd-Frank to
their activities. This proposal omits any discussion of their issues.
In my view the following language should be included within the
proposal, and I urge the public to comment upon the issues raised:

Transactions Involving Certain Foreign or Multinational Entities

    The swap definition expressly excludes ``any agreement, contract,
or transaction a counterparty of which is a Federal Reserve bank, the
Federal Government, or a Federal agency that is expressly backed by the
full faith and credit of the United States.'' \399\ Some commenters
have suggested that the Commissions should exercise their authority to
further define the terms ``swap'' and ``security-based swap'' to
similarly exclude transactions in which a counterparty is an
international public organization, a foreign central bank, a foreign
sovereign, or a multi-or supra-national organization.\400\ Commenters

have advanced international comity, national treatment, limited
regulatory resources, limits on the Commissions' respective
extraterritorial jurisdiction, and international harmonization as
rationales for such an approach.\401\
---------------------------------------------------------------------------

    \399\ 7 U.S.C. 1a(47)(B)(ix).
    \400\ See, e.g., letter from Gunter Pleines, Head of Banking
Department, and Diego Devos, General Counsel, Bank for International
Settlements (``BIS Letter''); Cleary Letter. The Commissions note
that various other terms may be used to refer to organizations that
generally: (i) Limit their membership to sovereign nations; (ii) are
established by treaty; (iii) have a separate legal identity from
their members; and (iv) ``are usually specialized and of
international or regional scope'' and ``formed between three or more
nations to work on issues that relate to all of the countries in the
organization. See, e.g., http://portal.unesco.org/en/ev.php-URL_ID=32408&URL_DO=DO_TOPIC&URL_SECCTION=201.html; http://www.geni.org/globalenergy/library/organizations/index.shtml. For
convenience, the Commissions use the term ``supranational
organization'' herein to refer to organizations having such
characteristics.
    \401\ See, e.g., BIS Letter (citing Article 1, paragraph 4, of
the proposed EU Regulation on Central Clearing of OTC Derivatives,
available at http://register.consilium.europa.eu/pdf/en/11/st05/st05059.en11.pdf, which excludes from its coverage the BIS,
multilateral development banks, European central banks and similarly
situated ``other national bodies performing similar functions and
other public bodies charged with or intervening in the management of
the public debt'').
---------------------------------------------------------------------------

Request for Comment

     The Commissions request comment generally on the
appropriate application of the Dodd-Frank Act to international public
organizations, foreign central banks, foreign sovereigns (or foreign
sovereign wealth funds), supranational organizations, and any other
foreign or multinational entity that may be analogous to the entities
excluded from the swap definition in CEA Section 1a(47)(B)(ix).
     Should the Commissions further define the terms ``swap''
and ``security-based swap'' to exclude transactions in which a
counterparty is an international public organization, foreign central
bank, foreign sovereign (or foreign sovereign wealth fund),
supranational organization, or any other foreign or multinational
entity that may be analogous to an entity excluded from the swap
definition in CEA Section 1a(47)(B)(ix)? Why or why not? If so, how
should the Commissions delineate the scope of entities whose
transactions would be excluded? Please describe in detail the nature of
the entity whose transactions would be excluded and explain the reasons
for such an exclusion. Would such an exclusion inappropriately cause
transactions that should be regulated as swaps or security-based swaps
to fall outside of the regulatory regime established by the Dodd-Frank
Act? Why or why not?
     If the Commissions further define the terms ``swap'' and
``security-based swap'' to exclude any such entity, should the
exclusion be subject to any conditions, or should the exclusion be
limited to particular requirements of Title VII? Why or why not? If so,
what conditions would be appropriate, and/or what requirements of Title
VII should the exclusion apply to, and why?
     If the Commissions further define the terms ``swap'' and
``security-based swap'' to exclude any such entity, to what extent
should counterparties to such transactions be subject to the
requirements of Title VII? What would be the appropriate regulatory
treatment of such counterparties in these circumstances?

[FR Doc. 2011-11008 Filed 5-20-11; 8:45 am]
BILLING CODE 6351-01-P; 8011-01-P


[Federal Register: April 23, 2008 (Volume 73, Number 79)]
[Notices]
[Page 21926-21927]
[DOCID:fr23ap08-61]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings  1

April 16, 2008.
    Take notice that the Commission received the following electric
rate filings:
    Docket Numbers: ER96-719-020; ER97-2801-021; ER99-2156-014.
    Applicants: MidAmerican Energy Company; PacifiCorp; Cordova Energy
Company LLC.
    Description: MidAmerican Energy Company et al. submits Notice of
Change regarding MidAmerican's ownership of certain generation
facilities.
    Filed Date: 04/14/2008.
    Accession Number: 20080415-0200.
    Comment Date: 5 p.m. Eastern Time on Monday, May 05, 2008.
    Docket Numbers: ER96-780-019; ER01-1633-007; ER00-3240-010; ER03-
1383-010.
    Applicants: Southern Company Services, Inc.
    Description: Southern Companies submits substitute tariff sheets in
compliance with FERC's Order 697.
    Filed Date: 04/11/2008.
    Accession Number: 20080415-0266.
    Comment Date: 5 p.m. Eastern Time on Friday, May 02, 2008.
    Docket Numbers: ER99-2541-009; ER05-731-003; ER97-3556-017; ER04-
582-007; ER99-221-012; ER99-220-014; ER01-1764-006; ER97-3553-005.
    Applicants: Carthage Energy, LLC; Central Maine Power Company;
Energetix, Inc.; Hartford Steam Company; New York State Electric & Gas
Corp.; NYSEG Solutions, Inc.; PEI Power II, LLC; Rochester Gas and
Electric Corporation.
    Description: Carthage Energy, LLC submits Substitute Original Sheet
1 to FERC Electric Tariff, Third Revised Volume 1.
    Filed Date: 04/11/2008.
    Accession Number: 20080415-0265.
    Comment Date: 5 p.m. Eastern Time on Friday, May 02, 2008.
    Docket Numbers: ER03-552-011; ER03-984-009.
    Applicants: New York Independent System Operator, Inc.
    Description: New York Independent System Operator, Inc. submits its
Status Report complying with the February 22, order.
    Filed Date: 04/15/2008.
    Accession Number: 20080415-5057.
    Comment Date: 5 p.m. Eastern Time on Tuesday, May 6, 2008.
    Docket Numbers: ER08-682-001.
    Applicants: Idaho Power Company.
    Description: Idaho Power Co. submits a request to withdraw First
Revised Sheet 131 to their 3/17/08 filing.
    Filed Date: 04/14/2008.
    Accession Number: 20080415-0194.
    Comment Date: 5 p.m. Eastern Time on Monday, May 05, 2008.
    Docket Numbers: ER08-822-000.
    Applicants: Old Lane Commodities, LP.
    Description: Old Lane Commodities, LP submits a notice of
cancellation of its market based rate tariff.
    Filed Date: 04/15/2008.
    Accession Number: 20080415-0199.
    Comment Date: 5 p.m. Eastern Time on Tuesday, May 06, 2008.
    Docket Numbers: ER08-823-000.
    Applicants: Idaho Power Company.
    Description: Idaho Power Co. submits certain modifications to non-
rate terms and conditions in its Open Access Transmission Tariff.
    Filed Date: 04/14/2008.
    Accession Number: 20080415-0198.
    Comment Date: 5 p.m. Eastern Time on Monday, May 05, 2008.
    Docket Numbers: ER08-825-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc. submits Amendment 1 to
Southwest Power Pool, Inc. Large Generator Interconnection Agreement
Service 1168.
    Filed Date: 04/14/2008.
    Accession Number: 20080415-0201.
    Comment Date: 5 p.m. Eastern Time on Monday, May 05, 2008.
    Docket Numbers: ER08-826-000.
    Applicants: New York Independent System Operator, Inc.
    Description: New York Independent System Operator, Inc submits an
executed large generator interconnection agreement with the Village of
Arcade et al.
    Filed Date: 04/14/2008.
    Accession Number: 20080415-0202.
    Comment Date: 5 p.m. Eastern Time on Monday, May 05, 2008.
    Docket Numbers: ER08-827-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: PJM Interconnection, LLC submits an interconnection
service agreement among PJM Virginia Electric and Power Company and
Virginia Electric and Power Company designated as Original Service
Agreement 1878.
    Filed Date: 04/15/2008.
    Accession Number: 20080416-0050.
    Comment Date: 5 p.m. Eastern Time on Tuesday, May 06, 2008.
    Docket Numbers: ER08-828-000.
    Applicants: American Electric Power Service Corporation.
    Description: AEP Texas Central Company submits an executed
generation interconnection agreement dated 3/25/08 with Victoria ELE,
LP.
    Filed Date: 04/15/2008.
    Accession Number: 20080416-0051.
    Comment Date: 5 p.m. Eastern Time on Tuesday, May 06, 2008.
    Take notice that the Commission received the following open access
transmission tariff filings:
    Docket Numbers: OA07-60-003.

    Applicants: Idaho Power Company.
    Description: Idaho Power Company's OATT Errata Filing pursuant to
the March 19, 2008 order, Order No. 890.
    Filed Date: 04/15/2008.
    Accession Number: 20080416-5000.
    Comment Date: 5 p.m. Eastern Time on Tuesday, May 06, 2008.
    Docket Numbers: OA08-14-002.
    Applicants: Midwest Independent Transmission System.
    Description: Request of the Midwest ISO for Waiver of Conversion
Requirement.
    Filed Date: 04/15/2008.
    Accession Number: 20080416-5026.
    Comment Date: 5 p.m. Eastern Time on Tuesday, May 06, 2008.
    Docket Numbers: OA08-83-001.
    Applicants: Idaho Power Company.
    Description: Idaho Power Co submits their request to withdraw
sheets from its 3/17/08 compliance filing and commits to re-file the
pro forma rollover reforms within 30 days, OA08-83.
    Filed Date: 04/14/2008.
    Accession Number: 20080416-0053.
    Comment Date: 5 p.m. Eastern Time on Monday, May 05, 2008.
    Docket Numbers: OA08-102-000.
    Applicants: American Electric Power Service Corporation.
    Description: Order No. 890-A OATT Filing of American Electric Power
Service Corporation.
    Filed Date: 04/15/2008.
    Accession Number: 20080415-5099.
    Comment Date: 5 p.m. Eastern Time on Tuesday, May 06, 2008.
    Docket Numbers: OA08-103-000.
    Applicants: WSPP Inc.
    Description: WSPP Inc's Order No. 890-A OATT Filing.
    Filed Date: 04/15/2008.
    Accession Number: 20080416-5002.
    Comment Date: 5 p.m. Eastern Time on Tuesday, May 06, 2008.
    Docket Numbers: OA08-104-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool's Order No. 890-A OATT Filing.
    Filed Date: 04/15/2008.
    Accession Number: 20080416-5003.
    Comment Date: 5 p.m. Eastern Time on Tuesday, May 06, 2008.
    Docket Numbers: OA08-105-000.
    Applicants: Oklahoma Gas and Electric Company.
    Description: Order No. 890-A OATT Filing of Oklahoma Gas and
Electric Company.
    Filed Date: 04/15/2008.
    Accession Number: 20080416-5032.
    Comment Date: 5 p.m. Eastern Time on Tuesday, May 06, 2008.
    Take notice that the Commission received the following PURPA
210(m)(3) filings:
    Docket Numbers: QM08-5-000.
    Applicants: United Illuminating Company, The.
    Description: The United Illuminating Co submits an application for
relief on a service territory-wide basis from the provisions of Section
292.303(a).
    Filed Date: 04/15/2008.
    Accession Number: 20080416-0120.
    Comment Date: 5 p.m. Eastern Time on Tuesday, May 13, 2008.
    Any person desiring to intervene or to protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214) on or before 5 p.m. Eastern time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously intervened in the
same docket. Protests will be considered by the Commission in
determining the appropriate action to be taken, but will not serve to
make protestants parties to the proceeding. Anyone filing a motion to
intervene or protest must serve a copy of that document on the
Applicant. In reference to filings initiating a new proceeding,
interventions or protests submitted on or before the comment deadline
need not be served on persons other than the Applicant.
    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
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St. NE., Washington, DC 20426.
    The filings in the above proceedings 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 e-mail notification
when a document is added to a subscribed dockets(s). For assistance
with any FERC Online service, please e-mail<EMAIL_ADDRESS>
or call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

Nathaniel J. Davis, Sr.,
Deputy Secretary.
 [FR Doc. E8-8746 Filed 4-22-08; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 52 (Wednesday, March 18, 2015)]
[Notices]
[Pages 14129-14130]
[FR Doc No: 2015-06276]

=======================================================================
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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPP-2015-0102; FRL-9924-39]

Pesticide Program Dialogue Committee; Extension of Deadline for
Nominations

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice; Extension of nomination period.

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

SUMMARY: This document extends the deadline for submitting a nomination
to serve on the Pesticide Program Dialogue Committee (PPDC) for 30 days
from the original deadline of March 16, 2015 to April 16, 2015. The
nomination period is being extended to ensure the Agency receives a
diverse range of qualified candidates.

DATES: Nominations must be received on or before April 16, 2015.

ADDRESSES: Follow the detailed instructions provided in the Federal
Register document of February 13, 2015 (80 FR 8082) (FRL-9922-90).

FOR FURTHER INFORMATION CONTACT: Dea Zimmerman, Designated Federal
Officer for the PPDC, telephone number:<PHONE_NUMBER>; email address:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: In the Federal Register document of February
13, 2015 (80 FR 8082) (FRL-9922-90), EPA invited nominations to be
considered for appointment to the PPDC. EPA is hereby extending the
deadline for nomination to April 16, 2015.
    To submit nominations, please follow the detailed instructions
provided under ADDRESSES, in the Federal Register document of February
13, 2015. If you have questions, consult the person listed under FOR
FURTHER INFORMATION CONTACT.

    Authority:  7 U.S.C. 136 et seq.

    Dated: March 11, 2015.
Jack E. Housenger,
Director, Office of Pesticide Programs.
[FR Doc. 2015-06276 Filed 3-17-15; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register Volume 79, Number 33 (Wednesday, February 19, 2014)]
[Notices]
[Page 9579]
[FR Doc No: 2014-03540]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Agency Information Collection Activities: Requests for Comments;
Clearance of Renewed Approval of Information Collection: General
Aviation and Air Taxi Activity and Avionics Survey

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice and request for comments.

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SUMMARY: In accordance with the Paperwork Reduction Act of 1995, FAA
invites public comments about our intention to request the Office of
Management and Budget (OMB) approval to renew an information
collection. The Federal Register Notice with a 60-day comment period
soliciting comments on the following collection of information was
published on December 12, 2013, vol. 78, no. 239, page 75671.
Respondents to this survey are owners of general aviation aircraft.
This information is used by FAA, NTSB, and other government agencies,
the aviation industry, and others for safety assessment, planning,
forecasting, cost/benefit analysis, and to target areas for research.

DATES: Written comments should be submitted by March 21, 2014.

FOR FURTHER INFORMATION CONTACT: Kathy DePaepe at<PHONE_NUMBER>, or by
email at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:
    OMB Control Number: 2120-0060.
    Title: General Aviation and Air Taxi Activity and Avionics Survey.
    Form Numbers: There are no FAA forms associated with this
collection.
    Type of Review: Renewal of an information collection.
    Background: Title 49, United States Code, empowers the Secretary of
Transportation to collect and disseminate information relative to civil
aeronautics, to study the possibilities for development of air commerce
and the aeronautical industries, and to make long-range plans for, and
formulate policy with respect to, the orderly development and use of
the navigable airspace, radar installations and all other aids for air
navigation. Respondents to this survey are owners of general aviation
aircraft. This information is used by FAA, NTSB, and other government
agencies, the aviation industry, and others for safety assessment,
planning, forecasting, cost/benefit analysis, and to target areas for
research.
    Respondents: Approximately 83,500 owners of general aviation
aircraft.
    Frequency: Information is collected annually.
    Estimated Average Burden per Response: 20 minutes.
    Estimated Total Annual Burden: 13,000 hours.

ADDRESSES: Interested persons are invited to submit written comments on
the proposed information collection to the Office of Information and
Regulatory Affairs, Office of Management and Budget. Comments should be
addressed to the attention of the Desk Officer, Department of
Transportation/FAA, and sent via electronic mail to<EMAIL_ADDRESS>or faxed to<PHONE_NUMBER>, or mailed to the
Office of Information and Regulatory Affairs, Office of Management and
Budget, Docket Library, Room 10102, 725 17th Street NW., Washington, DC
20503.
    Public Comments Invited: You are asked to comment on any aspect of
this information collection, including (a) Whether the proposed
collection of information is necessary for FAA's performance; (b) the
accuracy of the estimated burden; (c) ways for FAA to enhance the
quality, utility and clarity of the information collection; and (d)
ways that the burden could be minimized without reducing the quality of
the collected information. The agency will summarize and/or include
your comments in the request for OMB's clearance of this information
collection.

    Issued in Washington, DC, on February 12, 2014.
Albert R. Spence,
FAA Assistant Information Collection Clearance Officer, IT Enterprises
Business Services Division, ASP-110.
[FR Doc. 2014-03540 Filed 2-18-14; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register: January 12, 2010 (Volume 75, Number 7)]
[Proposed Rules]
[Page 1566-1567]
[DOCID:fr12ja10-21]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 50 and 58

[EPA-HQ-OAR-2005-0172; FRL-9102-3]
RIN 2060-AP98

Public Hearings for Reconsideration of the 2008 National Ambient
Air Quality Standards for Ozone

AGENCY: Environmental Protection Agency (EPA).

ACTION: Announcement of public hearings.

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SUMMARY: The EPA is announcing three public hearings to be held for the
proposed rule, ``Reconsideration of the 2008 National Ambient Air
Quality Standards for Ozone,'' which was signed on January 6, 2010, and
will be published in an upcoming Federal Register. The hearings will be
held concurrently in Arlington, Virginia, and Houston, Texas, on
Tuesday, February 2, 2010, and in Sacramento, California, on Thursday,
February 4, 2010.
    In the proposed rule, EPA proposes to set different primary and
secondary standards than those set in 2008 to provide requisite
protection of public health and welfare, respectively.

DATES: The public hearings will be held on February 2, 2010, and
February 4, 2010.
    Please refer to SUPPLEMENTARY INFORMATION for additional
information on the public hearings.

ADDRESSES: The hearings will be held at the following locations:
    Arlington: Tuesday, February 2, 2010. Hyatt Regency Crystal City @
Reagan National Airport, Washington Room (located on the Ballroom
Level), 2799 Jefferson Davis Highway, Arlington, Virginia 22202.
Telephone:<PHONE_NUMBER>.
    Houston: Tuesday, February 2, 2010. Hilton Houston Hobby Airport,
Moody Ballroom (located on the ground floor), 8181 Airport Boulevard,
Houston, Texas 77061. Telephone:<PHONE_NUMBER>.
    Sacramento: Thursday, February 4, 2010. Four Points by Sheraton
Sacramento International Airport, Natomas Ballroom, 4900 Duckhorn
Drive, Sacramento, California 95834. Telephone:<PHONE_NUMBER>.
    Written comments on this proposed rule may also be submitted to EPA
electronically, by mail, by facsimile, or through hand delivery/
courier. Please refer to the notice of proposed rulemaking to be
published in an upcoming Federal Register and also available now at the
following Web site:
http://www.epa.gov/ttn/naaqs/standards/ozone/s_o3_cr_fr.html for the
addresses and detailed instructions for submitting written comments.
    A complete set of documents related to the proposal is available
for public inspection at the EPA Docket Center, located at 1301
Constitution Avenue, NW., Room 3334, Washington, DC between 8:30 a.m.
and 4:30 p.m., Monday through Friday, excluding legal holidays. A
reasonable fee may be charged for copying. Documents are also available
through the electronic docket system at http://www.regulations.gov.
    The EPA Web site for the rulemaking, which includes the proposal
and information about the public hearings, can be found at: http://
www.epa.gov/ttn/naaqs/standards/ozone/s_o3_cr_fr.html.

FOR FURTHER INFORMATION CONTACT: If you would like to speak at the
public hearings or have questions concerning the public hearings,
please contact Ms. Tricia Crabtree at the address given below under
SUPPLEMENTARY INFORMATION.
    Questions concerning the ``Reconsideration of the 2008 National
Ambient Air Quality Standards for Ozone'' proposed rule should be
addressed to Ms. Susan Lyon Stone, U.S. EPA, Office of Air Quality
Planning and Standards, Health and Environmental Impacts Division,
(C504-06), Research Triangle Park, NC 27711, telephone:<PHONE_NUMBER>,
e-mail<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The proposal for which EPA is holding the
public hearings will be published in an upcoming Federal Register. The
public hearings will provide interested parties the opportunity to
present data, views, or arguments concerning the proposed rules. The
EPA may ask clarifying questions during the oral presentations, but
will not respond to the presentations at that time. Written statements
and supporting information submitted during the comment period will be
considered with the same weight as any oral comments and supporting
information presented at the public hearings. Written comments must be
postmarked by the last day of the

comment period, as specified in the proposal.
    The three public hearings will be held concurrently in Arlington,
Virginia, and Houston, Texas, on February 2, 2010, and in Sacramento,
California, on February 4, 2010. The public hearings will begin each
day at 9:30 a.m. and continue until 7:30 p.m. (local time) or later, if
necessary, depending on the number of speakers wishing to participate.
The EPA will make every effort to accommodate all speakers that arrive
and register before 7:30 p.m. The EPA is scheduling a lunch break from
12:30 until 2 p.m. If you would like to present oral testimony at the
hearings, please notify Ms. Tricia Crabtree, (C504-02) U.S.
Environmental Protection Agency, Research Triangle Park, NC 27711, e-
mail (preferred method for registering<EMAIL_ADDRESS>
telephone:<PHONE_NUMBER>. She will arrange a general time slot for you
to speak. The EPA will make every effort to follow the schedule as
closely as possible on the day of the hearings.
    Oral testimony will be limited to five (5) minutes for each
commenter to address the proposal. We will not be providing equipment
for commenters to show overhead slides or make computerized slide
presentations unless we receive special requests in advance. Commenters
should notify Ms. Crabtree if they will need specific audiovisual (AV)
equipment. Commenters should also notify Ms. Crabtree if they need
specific translation services for non-English speaking commenters. The
EPA encourages commenters to provide written versions of their oral
testimonies either electronically on computer disk or CD-ROM or in
paper copy.
    The hearing schedules, including lists of speakers, will be posted
on EPA's Web site for the proposal at http://www.epa.gov/ttn/naaqs/
standards/ozone/s_o3_cr_fr.html prior to the hearings. Verbatim
transcripts of the hearings and written statements will be included in
the rulemaking docket.

How Can I Get Copies of This Document and Other Related Information?

    The EPA has established the official public docket for the
``Reconsideration of the 2008 National Ambient Air Quality Standards
for Ozone'' under Docket Number EPA-HQ-OAR-2005-0172. The EPA has also
developed a Web site for the proposal at the address given above.
Please refer to the proposal, published in an upcoming Federal Register
for detailed information on accessing information related to the
proposal.

    Dated: January 4, 2010.
Jennifer Noonan Edmonds,
Acting Director, Office of Air Quality Planning and Standards.
[FR Doc. 2010-351 Filed 1-11-10; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register: September 13, 2006 (Volume 71, Number 177)]
[Notices]
[Page 54047-54049]
[DOCID:fr13se06-75]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

August 29, 2006.
    Take notice that the Commission received the following exempt
wholesale generator filings:
    Docket Numbers: EG06-75-000.
    Applicants: Allegheny Ridge Wind Farm, LLC.
    Description: Allegheny Ridge Wind Farm, LLC submits a notice of
Self Certification for Exempt Wholesale Generator Status.
    Filed Date: 08/24/2006.
    Accession Number: 20060824-5113.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.
    Take notice that the Commission received the following electric
rate filings:
    Docket Numbers: ER97-2801-013.
    Applicants: PacifiCorp.
    Description: PacifiCorp submits Rodney Frame's workpapers to
support the analyses in its 8/21/06 filing of an updated market power
analysis and on 8/24/06 submits an errata to this filing.
    Filed Date: 08/23/2006; 08/24/06.
    Accession Number: 20060828-0034; 20060828-0040.
    Comment Date: 5 p.m. Eastern Time on Wednesday, September 13, 2006.

    Docket Numbers: ER99-3420-007.
    Applicants: Sunbury Generation, LLC.
    Description: Sunbury Generation, LP submits a notice of change in
status pursuant to the Commission's regulations and condition no. 6 of
the Commission's order issued 7/20/06.
    Filed Date: 08/24/2006.
    Accession Number: 20060828-0019.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.

    *Docket Numbers: ER03-552-011.
    Applicants: New York Independent System Operator, Inc.
    Description: Strategic Energy, LLC responds to New York Independent
System Operator, Inc's quarterly status report submitted on 7/17/06
under ER03-552 et al.
    Filed Date: 08/25/2006.
    Accession Number: 20060828-0036.
    Comment Date: 5 p.m. Eastern Time on Friday, September 15, 2006.

    Docket Numbers: ER03-563-061; EL04-102-016.
    Applicants: ISO New England Inc.
    Description: ISO New England Inc submits its ninth compliance
report pursuant to the Commission's 6/2/06 order.
    Filed Date: 08/24/2006.
    Accession Number: 20060824-5052.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.

    Docket Numbers: ER05-764-003.
    Applicants: Montana Alberta Tie Ltd.
    Description: Montana Alberta Tie Ltd submits a Report on the June
2006 Capacity Auction pursuant to FERC's 7/5/05 Order.
    Filed Date: 08/24/2006.
    Accession Number: 20060828-0026.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.

    Docket Numbers: ER06-1185-001.
    Applicants: Pace Global Asset Management, LLC
    Description: Pace Global Asset Management, LLC submits an amendment
to its 6/29/06 Submission of its Energy Management Agreement.
    Filed Date: 08/23/2006.
    Accession Number: 20060825-0069.
    Comment Date: 5 p.m. Eastern Time on Wednesday, September 13, 2006.

    *Docket Numbers: ER06-1221-002.

    Applicants: Parkview AMC Energy, LLC.
    Description: Parkview AMC Energy, LLC submits FERC Electric Tariff,
Original Volume 1, to become effective as of 7/5/06 under ER06-1221.
    Filed Date: 08/16/2006.
    Accession Number: 20060818-0123.
    Comment Date: 5 p.m. Eastern Time on Wednesday, September 6, 2006.

    Docket Numbers: ER06-1392-000.
    Applicants: FPL Energy Oliver Wind, LLC.
    Description: FPL Energy Oliver Wind, LLC submits an application for
authorization to make market-based sales of energy and capacity at
market-based rates, to be effective 10/22/06.
    Filed Date: 08/23/2006.
    Accession Number: 20060825-0011.
    Comment Date: 5 p.m. Eastern Time on Wednesday, September 13, 2006.

    Docket Numbers: ER06-1395-000.
    Applicants: California Independent System Operator Corporation.
    Description: California Independent System Operator Corp submits an
amendment to the CAISO Tariff regarding the Low Voltage Transmission
Revenue Requirement for non-load serving participating transmission
owners.
    Filed Date: 08/24/2006.
    Accession Number: 20060825-0073.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.

    Docket Numbers: ER06-1396-000.
    Applicants: PJM Interconnection, LLC.
    Description: PJM Interconnection, LLC submits an executed interim
interconnection service agreement with FirstEnergy Nuclear Operating Co
et al.
    Filed Date: 08/24/2006.
    Accession Number: 20060825-0072.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.

    Docket Numbers: ER06-1397-000.
    Applicants: Allegheny Ridge Wind Farm, LLC.
    Description: Allegheny Ridge Wind Farm, LLC submits a petition for
market-based rate authority under FERC Electric Tariff, Original Volume
1.
    Filed Date: 08/24/2006.
    Accession Number: 20060825-0071.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.

    Docket Numbers: ER06-1398-000.
    Applicants: Duke Power Company LLC.
    Description: Duke Power Company LLC submits four new Network
Integration Service Agreements for Network Integration Transmission
Service pursuant to section 205 of the Federal Power Act.
    Filed Date: 08/24/2006.
    Accession Number: 20060825-0079.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.

    Docket Numbers: ER06-1399-000.
    Applicants: Sunbury Generation LP.
    Description: Sunbury Generation LP submits a notice of succession
pursuant to Condition 6 to Order issued 7/20/06.
    Filed Date: 08/24/2006.
    Accession Number: 20060825-0070.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.

    Docket Numbers: ER06-1400-000.
    Applicants: Central Hudson Gas & Electric Corporation.
    Description: Central Hudson Gas & Electric Corp submits a Notice of
Cancellation of Rate Schedule FERC 32, Transmission Agreement with
Orange and Rockland Utilities, Inc.
    Filed Date: 08/24/2006.
    Accession Number: 20060828-0020.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.

    Docket Numbers: ER06-1401-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: PJM Interconnection, LLC submits an executed interim
interconnection service agreement with Allegheny Ridge Wind Farm, LLC
and Pennsylvania Electric Co.
    Filed Date: 08/24/2006.
    Accession Number: 20060828-0023.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.

    Docket Numbers: ER06-1402-000.
    Applicants: Westmoreland Partners (ROVA I).
    Description: Westmoreland Partners submits a Notice of Succession
to notify the Commission that as a result of a name change Westmoreland
Partners has succeeded to the market-based rate schedule of
Westmoreland-LG&E Partners.
    Filed Date: 08/24/2006.
    Accession Number: 20060828-0025.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.

    Docket Numbers: ER06-1403-000.
    Applicants: Westmoreland Partners (ROVA II).
    Description: Westmoreland Partners submits a notice of succession
to notify FERC that as a result of a name change it has succeeded to
the market-based rate schedule of Westmoreland-LG&E Partners.
    Filed Date: 08/24/2006.
    Accession Number: 20060828-0024.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.

    Docket Numbers: ER06-1404-000.
    Applicants: Devon Power LLC.
    Description: Devon Power, LLC submits revisions to section 3.2 of
its RMR Agreement, Tariff Sheet Nos. 9, 9A and 27 to Electric Tariff
Original Volume No. 3.
    Filed Date: 08/24/2006.
    Accession Number: 20060828-0028.
    Comment Date: 5 p.m. Eastern Time on Thursday, September 14, 2006.

    Docket Numbers: ER06-1405-000.
    Applicants: Bangor Hydro-Electric Company.
    Description: Bangor Hydro-Electric Co submits a Construction
Commitment Agreement with New Brunswick Power Transmission Corp to
proceed with the construction of a 345kV transmission line from Point
Lepreau, New Brunswick to Orrington, ME.
    Filed Date: 08/25/2006.
    Accession Number: 20060828-0027.
    Comment Date: 5 p.m. Eastern Time on Friday, September 15, 2006.

    Docket Numbers: ER06-1406-000.
    Applicants: Southern California Edison Company.
    Description: Southern California Edison Co submits a Small
Generator Interconnection Agreement and a Service Agreement for
Wholesale Distribution Service with MM Lopez Energy, LLC.
    Filed Date: 08/25/2006.
    Accession Number: 20060828-0030.
    Comment Date: 5 p.m. Eastern Time on Friday, September 15, 2006.

    Take notice that the Commission received the following electric
securities filings:
    Docket Numbers: ES06-61-000.
    Applicants: Aquila, Inc.
    Description: Aquila Inc. submits an application for authorization
under Section 204(a) of the Federal Power Act for Authorization to
Issue Up to and Including 9,000,000 Shares of Common Stock.
    Filed Date: 08/23/2006.
    Accession Number: 20060825-0075.
    Comment Date: 5 p.m. Eastern Time on Wednesday, September 13, 2006.

    Docket Numbers: ES06-62-000.
    Applicants: Alloy Power L.L.C.
    Description: Alloy Power L.L.C. submits an application for
authorization to issue securities up to $65 million of secured, short-
term, debt securities pursuant to section 204 of the FPA.
    Filed Date: 08/25/2006.
    Accession Number: 20060825-5096.
    Comment Date: 5 p.m. Eastern Time on Friday, September 15, 2006.
    Take notice that the Commission received the following public
utility holding company filings:
    Docket Numbers: PH06-106-000.
    Applicants: Edison International.
    Description: Edison International submits a waiver notification of
status as a single-state holding company system.

    Filed Date: 08/25/2006.
    Accession Number: 20060825-5072.
    Comment Date: 5 p.m. Eastern Time on Friday, September 15, 2006.
    Any person desiring to intervene or to protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214) on or before 5 p.m. Eastern time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously intervened in the
same docket. Protests will be considered by the Commission in
determining the appropriate action to be taken, but will not serve to
make protestants parties to the proceeding. Anyone filing a motion to
intervene or protest must serve a copy of that document on the
Applicant. In reference to filings initiating a new proceeding,
interventions or protests submitted on or before the comment deadline
need not be served on persons other than the Applicant.
    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
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St. NE., Washington, DC 20426.
    The filings in the above proceedings 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 e-mail notification
when a document is added to a subscribed dockets(s). For assistance
with any FERC Online service, please e-mail<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

Magalie R. Salas,
Secretary.
 [FR Doc. E6-15137 Filed 9-12-06; 8:45 am]

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[Federal Register Volume 76, Number 127 (Friday, July 1, 2011)]
[Rules and Regulations]
[Page 38554]
[FR Doc No: 2011-16501]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

21 CFR Part 520

[Docket No. FDA-2011-N-0003]

Oral Dosage Form New Animal Drugs; Amprolium

AGENCY: Food and Drug Administration, HHS.

ACTION: Final rule.

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SUMMARY: The Food and Drug Administration (FDA) is amending the animal
drug regulations to reflect approval of an original abbreviated new
animal drug application (ANADA) filed by Cross Vetpharm Group Ltd. The
ANADA provides for the use of amprolium soluble powder as an aid in the
treatment and prevention of coccidiosis in calves.

DATES: This rule is effective July 1, 2011.

FOR FURTHER INFORMATION CONTACT: John K. Harshman, Center for
Veterinary Medicine (HFV-170), Food and Drug Administration, 7500
Standish Pl., Rockville, MD 20855,<PHONE_NUMBER>, e-mail:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: Cross Vetpharm Group Ltd., Broomhill Rd.,
Tallaght, Dublin 24, Ireland, filed ANADA 200-464 for the use of
AMPROMED (amprolium) for Calves, a water-soluble powder used as an aid
in the treatment and prevention of coccidiosis caused by Eimeria bovis
and E. zuernii. Cross Vetpharm Group Ltd.'s AMPROMED for Calves is
approved as a generic copy of Huvepharma AD's CORID (amprolium) 20%
Soluble Powder, approved under NADA 33-165. The ANADA is approved as of
May 23, 2011, and the regulations in 21 CFR 520.100 are amended to
reflect the approval.
    In accordance with the freedom of information provisions of 21 CFR
part 20 and 21 CFR 514.11(e)(2)(ii), a summary of safety and
effectiveness data and information submitted to support approval of
this application may be seen in the Division of Dockets Management
(HFA-305), Food and Drug Administration, 5630 Fishers Lane, Rm. 1061,
Rockville, MD 20852, between 9 a.m. and 4 p.m., Monday through Friday.
    FDA has determined under 21 CFR 25.33 that this action is of a type
that does not individually or cumulatively have a significant effect on
the human environment. Therefore, neither an environmental assessment
nor an environmental impact statement is required.
    This rule does not meet the definition of ``rule'' in 5 U.S.C.
804(3)(A) because it is a rule of ``particular applicability.''
Therefore, it is not subject to the congressional review requirements
in 5 U.S.C. 801-808.

List of Subjects in 21 CFR Part 520

    Animal drugs.

    Therefore, under the Federal Food, Drug, and Cosmetic Act and under
authority delegated to the Commissioner of Food and Drugs and
redelegated to the Center for Veterinary Medicine, 21 CFR part 520 is
amended as follows:

PART 520--ORAL DOSAGE FORM NEW ANIMAL DRUGS

0
1. The authority citation for 21 CFR part 520 continues to read as
follows:

    Authority: 21 U.S.C. 360b.

0
2. In Sec.  520.100, add paragraph (b)(4) to read as follows:

Sec.  520.100  Amprolium.

* * * * *
    (b) * * *
    (4) No. 061623 for use of product described in paragraph (a)(2) of
this section as in paragraph (d)(2) of this section.
* * * * *

    Dated: June 24, 2011.
Bernadette Dunham,
Director, Center for Veterinary Medicine.
[FR Doc. 2011-16501 Filed 6-30-11; 8:45 am]
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[Federal Register Volume 76, Number 213 (Thursday, November 3, 2011)]
[Notices]
[Pages 68256-68257]
[FR Doc No: 2011-28493]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

Notice of Applications for Certificates of Public Convenience and
Necessity and Foreign Air Carrier Permits Filed Under Subpart B
(Formerly Subpart Q) During the Week Ending September 17, 2011

    The following Applications for Certificates of Public Convenience
and Necessity and Foreign Air Carrier Permits were filed under Subpart
B (formerly Subpart Q) of the Department of Transportation's Procedural
Regulations (See 14 CFR 301.201 et seq.). The due date for Answers,
Conforming Applications, or Motions to Modify Scope are set forth below
for each application. Following the Answer period DOT may process the
application by expedited procedures. Such procedures may consist of the
adoption of a show-cause order, a tentative order, or in appropriate
cases a final order without further proceedings.

    Docket Number: DOT-OST-2011-0172.
    Date Filed: September 13, 2011.
    Due Date for Answers, Conforming Applications, or Motion to Modify
Scope: October 4, 2011.
    Description: Application of Nordic Global Airlines Oy d/b/a Nordic
Global Airlines Ltd (``NGA'') requesting a foreign air carrier permit
to the full extent authorized by the Air Transport Agreement between
the United States and the European Community and the Member States of
the European Community to enable it to engage in foreign air
transportation of property and mail between any point or points in the
United States and any point or points outside the United States, and
any other transportation authorized by additional rights made available
to European Community carriers in the future. NGA further requests
exemption authority to enable it to provide the services described
above pending issuance of a foreign air carrier permit, and requests
such additional or other relief as the Department may deem necessary or
appropriate.

    Docket Number: DOT-OST-2011-0174.
    Date Filed: September 15, 2011.
    Due Date for Answers, Conforming Applications, or Motion to Modify
Scope: October 6, 2011.
    Description: Application of JetBlue Airways Corporation
(``JetBlue'') requesting a certificate of public convenience and
necessity and requests the Department to designate JetBlue to the
Colombian government authorizing

JetBlue to engage in foreign scheduled air transportation of persons,
property and mail between Fort Lauderdale, Florida and Bogota,
Colombia, utilizing 7 frequencies per week commencing on or about
January 15, 2012.

Renee V. Wright,
 Program Manager, Docket Operations, Federal Register Liaison.
[FR Doc. 2011-28493 Filed 11-2-11; 8:45 am]
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