[Federal Register: March 3, 2006 (Volume 71, Number 42)]
[Notices]
[Page 10967-10970]
[DOCID:fr03mr06-45]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPPT-2006-0129; FRL-7764-8]

Certain New Chemicals; Receipt and Status Information

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: Section 5 of the Toxic Substances Control Act (TSCA) requires
any person who intends to manufacture (defined by statute to include
import) a new chemical (i.e., a chemical not on the TSCA Inventory) to
notify EPA and comply with the statutory provisions pertaining to the
manufacture of new chemicals. Under sections 5(d)(2) and 5(d)(3) of
TSCA, EPA is required to publish a notice of receipt of a
premanufacture notice (PMN) or an application for a test marketing
exemption (TME), and to publish periodic status reports on the
chemicals under review and the receipt of notices of commencement to
manufacture those chemicals. This status report, which covers the
period from February 1, 2006 thru February 10, 2006, consists of the
PMNs pending or expired, and the notices of commencement to manufacture
a new chemical that the Agency has received under TSCA section 5 during
this time period.

DATES:  Comments, identified by the docket ID number EPA-HQ-OPPT-2006-
0129 and the specific PMN number or TME number, must be received on or
before April 3, 2006.

ADDRESSES: Comments/may be submitted electronically, by mail, or
through hand delivery/courier. Follow the detailed instructions as
provided in Unit I. of the SUPPLEMENTARY INFORMATION.

FOR FURTHER INFORMATION CONTACT:  Colby Lintner, Regulatory
Coordinator, Environmental Assistance Division, Office of Pollution
Prevention and Toxics (7408M), Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460-0001; telephone number:
(202) 554-1404; e-mail address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this Action Apply to Me?

    This action is directed to the public in general. As such, the
Agency has not attempted to describe the specific entities that this
action may apply to. Although others may be affected, this action
applies directly to the submitter

of the premanufacture notices addressed in the action. If you have any
questions regarding the applicability of this action to a particular
entity, consult the person listed under FOR FURTHER INFORMATION
CONTACT.

B. How Can I Get Copies of this Document and Other Related Information?

    1. Docket. EPA has established an official public docket for this
action under docket identification (ID) number EPA-HQ-OPPT-2006-0129.
The official public docket consists of the documents specifically
referenced in this action, any public comments received, and other
information related to this action. Although a part of the official
docket, the public docket does not include Confidential Business
Information (CBI) or other information whose disclosure is restricted
by statute. The official public docket is the collection of materials
that is available for public viewing at the EPA Docket Center, Rm.
B102-Reading Room, EPA West, 1301 Constitution Ave., NW., Washington,
DC. The EPA Docket Center is open from 8:30 a.m. to 4:30 p.m., Monday
through Friday, excluding legal holidays. The EPA Docket Center Reading
Room telephone number is<PHONE_NUMBER>, and the telephone number for
the OPPT Docket, which is located in the EPA Docket Center, is (202)
566-0280.
    2. Electronic access. You may access this Federal Register document
electronically through the EPA Internet under the ``Federal Register''
listings at http://www.epa.gov/fedrgstr/.

     EDOCKET, EPA's electronic public docket and comment system was
replaced on November 25, 2005 by an enhanced federal-wide electronic
docket management and comment system located at http://www.regulations.gov/.
 Follow the on-line instructions.

    An electronic version of the public docket is available through
EPA's electronic public docket and comment system, EPA Dockets. You may
use EPA Dockets at http://www.epa.gov/edocket/ to submit or view public

comments, access the index listing of the contents of the official
public docket, and to access those documents in the public docket that
are available electronically. Although not all docket materials may be
available electronically, you may still access any of the publicly
available docket materials through the docket facility identified in
Unit I.B.1. Once in the system, select ``search,'' then key in the
appropriate docket ID number.
    Certain types of information will not be placed in the EPA Dockets.
Information claimed as CBI and other information whose disclosure is
restricted by statute, which is not included in the official public
docket, will not be available for public viewing in EPA's electronic
public docket. EPA's policy is that copyrighted material will not be
placed in EPA's electronic public docket but will be available only in
printed, paper form in the official public docket. To the extent
feasible, publicly available docket materials will be made available in
EPA's electronic public docket. When a document is selected from the
index list in EPA Dockets, the system will identify whether the
document is available for viewing in EPA's electronic public docket.
Although not all docket materials may be available electronically, you
may still access any of the publicly available docket materials through
the docket facility identified in Unit I.B.1. EPA intends to work
towards providing electronic access to all of the publicly available
docket materials through EPA's electronic public docket.
    For public commenters, it is important to note that EPA's policy is
that public comments, whether submitted electronically or in paper,
will be made available for public viewing in EPA's electronic public
docket as EPA receives them and without change, unless the comment
contains copyrighted material, CBI, or other information whose
disclosure is restricted by statute. When EPA identifies a comment
containing copyrighted material, EPA will provide a reference to that
material in the version of the comment that is placed in EPA's
electronic public docket. The entire printed comment, including the
copyrighted material, will be available in the public docket.
    Public comments submitted on computer disks that are mailed or
delivered to the docket will be transferred to EPA's electronic public
docket. Public comments that are mailed or delivered to the docket will
be scanned and placed in EPA's electronic public docket. Where
practical, physical objects will be photographed, and the photograph
will be placed in EPA's electronic public docket along with a brief
description written by the docket staff.

C. How and To Whom Do I Submit Comments?

    You may submit comments electronically, by mail, or through hand
delivery/courier. To ensure proper receipt by EPA, identify the
appropriate docket ID number and specific PMN number or TME number in
the subject line on the first page of your comment. Please ensure that
your comments are submitted within the specified comment period.
Comments received after the close of the comment period will be marked
``late.'' EPA is not required to consider these late comments. If you
wish to submit CBI or information that is otherwise protected by
statute, please follow the instructions in Unit I.D. Do not use EPA
Dockets or e-mail to submit CBI or information protected by statute.
    1. Electronically. If you submit an electronic comment as
prescribed in this unit, EPA recommends that you include your name,
mailing address, and an e-mail address or other contact information in
the body of your comment. Also include this contact information on the
outside of any disk or CD ROM you submit, and in any cover letter
accompanying the disk or CD ROM. This ensures that you can be
identified as the submitter of the comment and allows EPA to contact
you in case EPA cannot read your comment due to technical difficulties
or needs further information on the substance of your comment. EPA's
policy is that EPA will not edit your comment, and any identifying or
contact information provided in the body of a comment will be included
as part of the comment that is placed in the official public docket,
and made available in EPA's electronic public docket. If EPA cannot
read your comment due to technical difficulties and cannot contact you
for clarification, EPA may not be able to consider your comment.
    i. EPA Dockets. Your use of EPA's electronic public docket to
submit comments to EPA electronically is EPA's preferred method for
receiving comments. Go directly to EPA Dockets at http://www.epa.gov/edocket/
, and follow the online instructions for submitting comments.

Once in the system, select ``search,'' and then key in docket ID number
EPA-HQ-OPPT-2006-0129. The system is an ``anonymous access'' system,
which means EPA will not know your identity, e-mail address, or other
contact information unless you provide it in the body of your comment.
    ii. E-mail. Comments may be sent by e-mail to<EMAIL_ADDRESS>
Attention: Docket ID Number EPA-HQ-OPPT-2006-0129 and PMN Number or TME
Number. In contrast to EPA's electronic public docket, EPA's e-mail
system is not an ``anonymous access'' system. If you send an e-mail
comment directly to the docket without going through EPA's electronic
public docket, EPA's e-mail system automatically captures your e-mail
address. E-mail addresses that are automatically captured by EPA's e-
mail system are included as part of the comment that is placed in the
official

public docket, and made available in EPA's electronic public docket.
    iii. Disk or CD ROM. You may submit comments on a disk or CD ROM
that you mail to the mailing address identified in Unit I.C.2. These
electronic submissions will be accepted in WordPerfect or ASCII file
format. Avoid the use of special characters and any form of encryption.
    2. By mail. Send your comments to: Document Control Office (7407M),
Office of Pollution Prevention and Toxics (OPPT), Environmental
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460-
0001.
    3. By hand delivery or courier. Deliver your comments to: OPPT
Document Control Office (DCO) in EPA East Bldg., Rm. 6428, 1201
Constitution Ave., NW., Washington, DC. Attention: Docket ID Number
EPA-HQ-OPPT-200X-0129 and PMN Number or TME Number. The DCO is open
from 8 a.m. to 4 p.m., Monday through Friday, excluding legal holidays.
The telephone number for the DCO is<PHONE_NUMBER>.

D. How Should I Submit CBI to the Agency?

    Do not submit information that you consider to be CBI
electronically through EPA's electronic public docket or by e-mail. You
may claim information that you submit to EPA as CBI by marking any part
or all of that information as CBI (if you submit CBI on disk or CD ROM,
mark the outside of the disk or CD ROM as CBI and then identify
electronically within the disk or CD ROM the specific information that
is CBI). Information so marked will not be disclosed except in
accordance with procedures set forth in 40 CFR part 2.
    In addition to one complete version of the comment that includes
any information claimed as CBI, a copy of the comment that does not
contain the information claimed as CBI must be submitted for inclusion
in the public docket and EPA's electronic public docket. If you submit
the copy that does not contain CBI on disk or CD ROM, mark the outside
of the disk or CD ROM clearly that it does not contain CBI. Information
not marked as CBI will be included in the public docket and EPA's
electronic public docket without prior notice. If you have any
questions about CBI or the procedures for claiming CBI, please consult
the technical person listed under FOR FURTHER INFORMATION CONTACT.

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

    You may find the following suggestions helpful for preparing your
comments:
    1. Explain your views as clearly as possible.
    2. Describe any assumptions that you used.
    3. Provide copies of any technical information and/or data you used
that support your views.
    4. If you estimate potential burden or costs, explain how you
arrived at the estimate that you provide.
    5. Provide specific examples to illustrate your concerns.
    6. Offer alternative ways to improve the notice or collection
activity.
    7. Make sure to submit your comments by the deadline in this
document.
    8. To ensure proper receipt by EPA, be sure to identify the docket
ID number assigned to this action and the specific PMN number you are
commenting on in the subject line on the first page of your response.
You may also provide the name, date, and Federal Register citation.

II. Why is EPA Taking this Action?

    Section 5 of TSCA requires any person who intends to manufacture
(defined by statute to include import) a new chemical (i.e., a chemical
not on the TSCA Inventory to notify EPA and comply with the statutory
provisions pertaining to the manufacture of new chemicals. Under
sections 5(d)(2) and 5(d)(3) of TSCA, EPA is required to publish a
notice of receipt of a PMN or an application for a TME and to publish
periodic status reports on the chemicals under review and the receipt
of notices of commencement to manufacture those chemicals. This status
report, which covers the period from February 1, 2006 thru February 10,
2006, consists of the PMNs pending or expired, and the notices of
commencement to manufacture a new chemical that the Agency has received
under TSCA section 5 during this time period.

III. Receipt and Status Report for PMNs

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

                                            I. 16 Premanufacture Notices Received From: 02/01/06 to 02/10/06
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                                                              Projected Notice End
              Case No.                    Received Date               Date           Manufacturer/Importer           Use                  Chemical
--------------------------------------------------------------------------------------------------------------------------------------------------------
P-06-0283                            02/02/06                05/02/06                Cytec Surface          (G) Resin coating      (G) Fatty acids,
                                                                                Specialities Inc.                             polymers with
                                                                                alkanoic acid, and
                                                                                epoxy resin
P-06-0284                            02/02/06                05/02/06                Cytec Surface          (G) Resin coating      (G) Fatty acids,
                                                                                Specialities Inc.                             polymers with
                                                                                alkanoic acid, and
                                                                                alkoxylated
P-06-0285                            02/03/06                05/03/06                BASF Corporation       (S) Roofing adhesive;  (G) Mdi polyether
                                                                                construction sealant   polyol prepolymer
P-06-0286                            02/03/06                05/03/06                PPG Industries, Inc.   (G) Coating            (G) Alkyl and
                                                                                formulation            hydroxylated diester
                                                                                ingredient             of a triamine
P-06-0287                            02/03/06                05/03/06                PPG Industries, Inc.   (G) Coating            (G) Alkyl and
                                                                                formulation            hydroxylated diester
                                                                                ingredient             of a triamine
P-06-0288                            02/03/06                05/03/06                PPG Industries, Inc.   (G) Coating            (G) Hydroxylated
                                                                                formulation            diester of a
                                                                                ingredient             triamine
P-06-0289                            02/03/06                05/03/06                CBI                    (G) open non-          (G) Polyurethane urea
                                                                                dispersive (sizing
                                                                                agent
P-06-0290                            02/06/06                05/06/06                CBI                    (G) Component of foam  (G) Fatty acid
                                                                                polymer with
                                                                                aliphatic diol and
                                                                                aromatic diacid

P-06-0291                            02/06/06                05/06/06                Septon Company of      (S) Compatibilizer of  (S) Hexanedioic acid,
                                                                                America                resins and adhesive    polymers with 1,4-
                                                                                between polar and      butanediol,
                                                                                non-polar resins       hydrogenated
                                                                                modifier of resins     butadiene-isoprene-
                                                                                styrene polymer and
                                                                                1,1'-methylenebis[4-
                                                                                isocyanatobenzene]
P-06-0292                            02/06/06                05/06/06                CBI                    (G) Highly dispersive  (G) Olefinic
                                                                                use                    carbamate
P-06-0293                            02/06/06                05/06/06                CBI                    (G) Component of foam  (G) Fatty acid
                                                                                polymer with
                                                                                aliphatic diol and
                                                                                aromatic diacid
P-06-0294                            02/06/06                05/06/06                CBI                    (G) container use in   (G) Polyacrylate
                                                                                energy production
P-06-0295                            02/08/06                05/08/06                Halocarbon Products    (S) Pharmaceutical     (S) 2-
                                                                                Corporation            intermediate;          (difluoromethoxy)-
                                                                                chemical               1,1,1-
                                                                                intermediate           trifluoroethane
P-06-0296                            02/08/06                05/08/06                CIBA Specialty         (S) Exhaust            (G)
                                                                                Chemicals              application to         Naphthalenesulfonic
                                                                                Corporation            cotton fabrics         acid azo substituted
                                                                                naphthalenesulfonic
                                                                                acid amino
                                                                                substituted triazine
                                                                                amino substituted
                                                                                phenyl azo phenyl
                                                                                sulfonyl compound
P-06-0297                            02/08/06                05/08/06                CBI                    (G) Prepolymer of      (G) Aromatic
                                                                                polyester urethane     saturated
                                                                                copolyester
P-06-0298                            02/08/06                05/08/06                CBI                    (G) Antistatic agent   (G) 1h-imidazolium, 1-
                                                                                alkyl-3-alkyl-,
                                                                                alkyl sulfate
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    In Table II of this unit, EPA provides the following information
(to the extent that such information is not claimed as CBI) on the
Notices of Commencement to manufacture received:

                            II. 13 Notices of Commencement From: 02/01/06 to 02/10/06
----------------------------------------------------------------------------------------------------------------
                                                                Commencement Notice
              Case No.                     Received Date             End Date                  Chemical
----------------------------------------------------------------------------------------------------------------
P-02-0749                             02/03/06                12/29/05                (S)
                                                                                Pentacyclo[<IP_ADDRESS>,9.15,
                                                                                15.17,13]octasiloxane,
                                                                                octakis(2-methylpropyl)-
P-03-0865                             02/06/06                01/05/06                (G) N-acrylic betaine
P-05-0019                             02/08/06                01/19/06                (G) Norrish type I
                                                                                acetophenone acetoacetic
                                                                                ester
P-05-0252                             02/03/06                01/23/06                (S) 1,3-butadiene,
                                                                                homopolymer, hydroxy-
                                                                                terminated,
                                                                                bis[[[(isocyanatophenyl)m
                                                                                ethyl]phenyl]carbamate]
P-05-0636                             02/08/06                01/13/06                (S) Fatty acids, C16	18,
                                                                                polymers with bu
                                                                                acrylate, 2-hydroxyethyl
                                                                                methacrylate, phthalic
                                                                                anhydride, styrene, 3,5,5-
                                                                                trimethylhexanoic acid
                                                                                and trimethylolpropane
P-05-0637                             02/08/06                01/13/06                (S) Fatty acids, C8	18 and
                                                                                C18-unsaturated, polymers
                                                                                with ethylene glycol,
                                                                                glycerol, maleic
                                                                                anhydride and phthalic
                                                                                anhydride
P-05-0638                             02/08/06                01/13/06                (S) Castor oil,
                                                                                dehydrated, polymer with
                                                                                benzoic acid, phthalic
                                                                                anhydride and
                                                                                trimethylolpropane
P-05-0643                             02/03/06                01/11/06                (G) Phosphonomethylated
                                                                                amine
P-05-0737                             02/09/06                12/14/05                (S) Germanium arsenide
                                                                                selenide
P-05-0790                             02/08/06                01/30/06                (G) 2-propenoic acid,
                                                                                multifunctional alcohol
                                                                                with 2-hydroxyethyl
                                                                                acrylate and propylene
                                                                                glycol mono[[3-
                                                                                (carboxyamino)methylpheny
                                                                                l]carbamate] ether with
                                                                                glycerol (3:1)
P-05-0822                             02/01/06                01/14/06                (G) Hydrocarbon resin
P-06-0049                             02/07/06                01/27/06                (G) Alkyl ester polymer
                                                                                with alkyl esters and
                                                                                alkyl benzene
P-94-2149                             02/08/06                01/21/06                (G) Dibasic acid/glycol
                                                                                ester
----------------------------------------------------------------------------------------------------------------

List of Subjects

    Environmental Protection, Chemicals, Premanufacturer Notices.

    Dated: February 23, 2006.
Carolyn Thornton,
Acting Director, Information Management Division, Office of Pollution
Prevention and Toxics.
[FR Doc. E6-3051 Filed 3-2-06; 8:45 am]

BILLING CODE 6560-50-S


[Federal Register Volume 76, Number 151 (Friday, August 5, 2011)]
[Notices]
[Pages 47576-47577]
[FR Doc No: 2011-19935]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. PR11-120-000]

DCP Intrastate Network, LLC; Notice of Filing

    Take notice that on July 26, 2011, DCP Intrastate Network, LLC
filed to provide notice of its cancellation of its Statement of
Operating Conditions for Interstate Gas Transportation proposed to be
effective February 1, 2011, as more fully described in the filing.
    Any person desiring to participate in this rate filing 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). 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. Any
person wishing to become a party must file a notice of intervention or
motion to intervene, as appropriate. Such notices, motions, or protests
must be filed on or before the date as indicated below. Anyone filing
an intervention or protest must serve a copy of that document on the
Applicant. Anyone filing an intervention or protest on or before the
intervention or protest date need not serve motions to intervene or
protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov. Persons unable to file electronically should submit an
original and 7 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the
``eLibrary'' link and is 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 docket(s). For
assistance with any FERC

Online service, please e-mail<EMAIL_ADDRESS>or call (866)
208-3676 (toll free). For TTY, call<PHONE_NUMBER>.
    Comment Date: 5 p.m. Eastern time on Monday, August 8, 2011.

    Dated: August 1, 2011.
Kimberly D. Bose,
Secretary.
[FR Doc. 2011-19935 Filed 8-4-11; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: September 9, 2010 (Volume 75, Number 174)]
[Notices]
[Page 54933-54935]
[DOCID:fr09se10-126]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-62829; File No. SR-BX-2010-061]

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Permit
Concurrent Listing of $2.50 and $1 Strikes on MNX Options

September 2, 2010.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that, on August 30, 2010, NASDAQ OMX BX, Inc. (the ``Exchange'') filed
with the Securities and Exchange Commission (``SEC'' or ``Commission'')
the proposed rule change as described in Items I and II below, which
Items have been prepared by the Exchange. The Commission is publishing
this notice to solicit comments on the proposed rule change from
interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend Chapter XIV, Section 10 (Terms of
Index Options Contracts) of the Rules of the Boston Options Exchange
Group, LLC (``BOX'') to allow the Exchange to concurrently list $2.50
and $1 strikes on Mini- Nasdaq-100 Index (``MNX'') options, and that
certain listing parameters only apply to $1 strikes on MNX options. The
text of the proposed rule change is available from the principal office
of the Exchange, on the Commission's Web site at http://www.sec.gov, at
the Commission's Public Reference Room and also on the Exchange's
Internet Web site at http://nasdaqomxbx.cchwallstreet.com/NASDAQOMXBX/
Filings/.

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

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

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

1. Purpose
    The purpose of the proposed rule change is to allow BOX to
concurrently list $2.50 and $1 strikes on MNX options, and that certain
listing parameters only apply to $1 strikes on MNX options. BOX
believes that the availability of $2.50 and $1 strike price intervals
in MNX option series will provide investors with greater flexibility by
allowing them to establish positions that are better tailored to meet
their investment objectives.
    Since December 2008, BOX has had the ability to list $1 strikes on
MNX options.\3\ In connection with the proposal to permit $1 strikes
for MNX options, BOX established parameters subject to which $1 strikes
may be added and delisted. For example, the number of initial series
that BOX may add is limited to 11 series.\4\ Also, the total number of
additional series that may be added for $1 strikes is sixty (60) per
expiration month for each series in MNX options.\5\
---------------------------------------------------------------------------

    \3\ See Securities Exchange Act Release No. 59129 (Dec. 22,
2008), 73 FR 79945 (Dec. 30, 2008) (SR-BSE-2008-57) (rule change
permitting $1 strikes for MNX options).
    \4\ See Chapter XIV, Section 10(c)(5)(i) of the BOX Rules.
    \5\ See Chapter XIV, Section 10(c)(5)(ii) of the BOX Rules.
---------------------------------------------------------------------------

    Similar parameters do not exist with regard to the listing of $2.50
strikes, and BOX now seeks to clarify that the parameters adopted with
the proposal to permit $1 strikes for MNX options do not apply to the
listing of $2.50 strikes for MNX options.\6\ In addition, BOX is
proposing to codify a bracketing provision that prohibits the Exchange
from listing strike prices with $1 intervals within $0.50 of an
existing strike price in the same series. This bracketing provision is
identical to an existing provision in effect for the $1 Strike Program,
which permits the concurrent listing of $2.50 and $1 strikes.\7\
---------------------------------------------------------------------------

    \6\ See Chapter XIV, Section 10(c)(1) of the BOX Rules.
    \7\ See Supplementary Material .02(c) to Chapter IV, Section 6
of the BOX Rules.
---------------------------------------------------------------------------

    Finally, the Exchange proposes to change Section 10(c)(5)(iii)
providing that BOX shall not list LEAPS on Mini-NDX options at
intervals less than $5.00 to provide that BOX shall not list LEAPS on
Mini-NDX options at intervals less than $2.50.
    BOX has analyzed its capacity and represents that it believes the
Exchange and the Options Price Reporting Authority have the necessary
systems capacity to handle the additional traffic associated with the
concurrent listing and trading of $1 and $2.50 strikes for MNX options.
2. Statutory Basis
    The Exchange believes that the proposal is consistent with the
requirements of Section 6(b) of the Act,\8\ in general, and Section
6(b)(5) of the Act,\9\ in particular, in that it is designed to foster
cooperation and coordination with persons engaged in regulating,
clearing, settling, processing information with respect to, and
facilitating transactions in securities, to remove impediments to and
perfect the mechanism for a free and open market and a national market
system and, in general, to protect investors and the public interest.
In particular, the Exchange believes that allowing the concurrent
listing and trading of $1 and $2.50 strikes for MNX options will result
in a continuing benefit to investors by giving them more flexibility to
closely tailor their investment decisions in a greater number of
securities.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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

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

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

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

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

    Because the foregoing proposed rule change does not significantly
affect the protection of investors or the public interest, does not
impose any significant burden on competition, and, by its terms, does
not become operative for 30 days from the date on which it was filed,
or such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \10\ and Rule 19b-
4(f)(6) thereunder.\11\
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78s(b)(3)(A).
    \11\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the self-regulatory organization to submit to the
Commission written notice of its intent to file the proposed rule
change, along with a brief description and text of the proposed rule
change, at least five business days prior to the date of filing of
the proposed rule change, or such shorter time as designated by the
Commission. The Commission has waived the five-day pre-filing
requirement in this case.
---------------------------------------------------------------------------

    The Exchange has requested that the Commission waive the 30-day
operative delay. The Commission believes that waiver of the operative
delay is consistent with the protection of investors and the public
interest because the proposal is substantially similar to a rule of
another exchange.\12\ Therefore, the Commission designates the proposal
operative upon filing.\13\
---------------------------------------------------------------------------

    \12\ See CBOE Rules 5.5 and 24.9 and Interpretations and
Policies .01 (j) to Rule 24.9. See also Securities Exchange Act
Release No. 34-61270 (Dec. 31, 2009), 75 FR 1444 (Jan. 11, 2010)
(SR-CBOE-2009-099).
    \13\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-BX-2010-061 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-BX-2010-061. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/
sro.shtml). Copies of the submission, all subsequent

amendments, all written statements with respect to the proposed rule
change that are filed with the Commission, and all written
communications relating to the proposed rule change between the
Commission and any person, other than those that may be withheld from
the public in accordance with the provisions of 5 U.S.C. 552, will be
available for Web site viewing and printing in the Commission's Public
Reference Room, 100 F Street, NE., Washington, DC 20549, on official
business days between the hours of 10 a.m. and 3 p.m. Copies of the
filing also will be available for inspection and copying at the
principal office of the Exchange. All comments received will be posted
without change; the Commission does not edit personal identifying
information from submissions. You should submit only information that
you wish to make available publicly. All submissions should refer to
File Number SR-BX-2010-061 and should be submitted on or before
September 30, 2010.

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

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

Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-22449 Filed 9-8-10; 8:45 am]
BILLING CODE 8010-01-P


[Federal Register Volume 76, Number 69 (Monday, April 11, 2011)]
[Rules and Regulations]
[Pages 19901-19902]
[FR Doc No: 2011-8485]

========================================================================
Rules and Regulations
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold by the Superintendent of Documents.
Prices of new books are listed in the first FEDERAL REGISTER issue of each
week.

========================================================================

Federal Register / Vol. 76, No. 69 / Monday, April 11, 2011 / Rules
and Regulations

SECURITIES AND EXCHANGE COMMISSION

5 CFR Part 4401

[Release No. 34-64172]

Supplemental Standards of Ethical Conduct for Members and
Employees of the Securities and Exchange Commission

AGENCIES:  Securities and Exchange Commission and Office of Government
Ethics.

ACTION: Final rule.

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

SUMMARY: The Securities and Exchange Commission with the concurrence of
the Office of Government Ethics is amending its Supplemental Standards
of Conduct for Members and Employees to eliminate a recently
established prior approval requirement for outside employment.

DATES: Effective Date: May 11, 2011.

FOR FURTHER INFORMATION CONTACT: Shira Pavis Minton, Ethics Counsel,
Office of the General Counsel,<PHONE_NUMBER>, Securities and Exchange
Commission, 100 F Street, NE., Washington, DC 20549-1050.

SUPPLEMENTARY INFORMATION: The Securities and Exchange Commission with
the concurrence of the Office of Government Ethics (``OGE'') is
amending its Supplemental Standards of Conduct for Members and
Employees to eliminate a recently established prior approval
requirement for outside employment. Staff members of the SEC are
already subject to strict limitations regarding the type of employment
they are allowed to undertake, and staff regularly seeks advice from
the ethics office prior to taking any outside employment. In addition,
the requirement appears to be largely cumulative of other measures
without providing significant additional benefits. These other measures
include the requirement that SEC staff members submit proposed
publications or prepared speeches relating to the Commission (or to the
statutes or rules it administers) to the General Counsel for review.
These measures also include current financial disclosure regulations
and current substantive regulations prohibiting conflicting outside
employment. The requirement to obtain prior approval for outside
employment has not identified any conflicts or otherwise enhanced the
ethics program.

I. Administrative Procedure Act, Regulatory Flexibility Act, and
Paperwork Reduction Act

    The Commission finds, in accordance with section 553(b)(3)(A) of
the Administrative Procedure Act,\1\ that these rules relate solely to
agency organization, procedure, or practice. These rules are therefore
not subject to the provisions of the Administrative Procedure Act
requiring notice, opportunity for public comment, and publication. The
Regulatory Flexibility Act \2\ therefore does not apply. Because these
rules relate to ``agency organization, procedure or practice that does
not substantially affect the right or obligations of non-agency
parties,'' they are not subject to the Small Business Regulatory
Enforcement Fairness Act.\3\ The rules do not contain any new
collection of information requirements as defined by the Paperwork
Reduction Act of 1995, as amended.\4\
---------------------------------------------------------------------------

    \1\ 5 U.S.C. 553(b)(3)(A).
    \2\ 5 U.S.C. 601 et seq.
    \3\ 5 U.S.C. 804(3)(C).
    \4\ 44 U.S.C. 3501 et seq.
---------------------------------------------------------------------------

II. Costs and Benefits of the Amendments

    Taken as a whole, the Commission and the public have a substantial
interest in the integrity of the Commission's processes. Congress has
directed the Commission to oversee the securities markets and
securities professionals and to protect investors. To that end, the
ethical standards contained in the rules enacted today require the
Commission's members and employees to maintain high standards of
honesty, integrity, and impartiality, and to avoid actual, or the
appearance of, conflicts of interest.
    In general, the costs of the procedures in the Commission's rules
of practice fall largely on the Commission and its employees. As noted,
the amendments set forth in this release relate to internal agency
management. These rules re-codify pre-existing obligations on the
Commission's members and employees with certain minor modifications. As
such, the Commission believes that the costs imposed by compliance with
these amended rules have not substantially increased from the
obligations of Commission members and employees before these
amendments.

III. Consideration of Burden on Competition

    Section 23(a)(2) of the Exchange Act, 15 U.S.C. 78w(a)(2), requires
the Commission, in making rules pursuant to any provision of the
Exchange Act, to consider among other matters the impact any such rule
would have on competition. The purposes of the Exchange Act include
protection of interstate commerce and maintenance of fair and honest
markets. The degree of trust that investors and the public have in the
Commission and its employees is critical to these goals. The Commission
and its employees must adhere to the highest standards of integrity and
impartiality and avoid the appearance of conflicts of interest. These
rules affect a relatively small number of persons. Therefore, the
Commission has determined that the burden on competition is small and
is necessary and appropriate in furtherance of the purposes of the
Exchange Act.
    Section 2(b) of the Securities Act, 15 U.S.C. 77b(b); Section 3(f)
of the Exchange Act, 15 U.S.C. 78c(f); Section 2(c) of the Investment
Company Act of 1940, 15 U.S.C. 80a-2(c); and Section 202(c) of the
Investment Advisers Act of 1940, 15 U.S.C. 80b-2(c) require that the
Commission consider efficiency, competition, and capital formation, in
addition to the protection of investors, whenever it is required to
consider or determine whether an action is necessary or appropriate in
the public interest. As noted above, these rules apply to a relatively
small number of people and do not substantially alter their pre-
existing obligations. The Commission believes that the amendments that
the Commission is adopting today will have a small impact on
competition, the capital markets, or capital formation.

IV. Statutory Basis and Text of the Rule

    This amendment to the Commission's ethics rules is being adopted
pursuant to statutory authority granted to OGE and to the Commission.
These include 5 U.S.C. 7301; 5 U.S.C. App. (Ethics in Government Act of
1978); section 19 of the Securities Act of 1933, 15 U.S.C. 77s; section
23 of the Securities Exchange Act of 1934, 15 U.S.C. 78w; section 319
of the Trust Indenture Act of 1939, 15 U.S.C. 77sss; section 40 of the
Investment Company Act of 1940, 15 U.S.C. 80a-39; and section 211 of
the Investment Advisers Act of 1940, 15 U.S.C. 80b-11.

List of Subjects in 5 CFR Part 4401

    Administrative practice and procedure, Conduct and ethics.

    For the reasons set out in the preamble, Title 5, Chapter XXXIV of
the Code of Federal Regulations is amended as follows:

PART 4401--SUPPLEMENTAL STANDARDS OF ETHICAL CONDUCT FOR MEMBERS
AND EMPLOYEES OF THE SECURITIES AND EXCHANGE COMMISSION

0
1. The authority citation for part 4401 continues to read as follows:

    Authority:  5 U.S.C. 7301; 5 U.S.C. App. (Ethics in Government
Act of 1978); E.O. 12674, 54 FR 15159; 3 CFR 1989 Comp., p. 215, as
modified by E.O. 12731, 55 FR 42547; 3 CFR, 1990 Comp., p. 306; 5
CFR 2635.105, 2635.403, 2635.803; 15 U.S.C. 77s, 78w, 77sss, 80a-37,
80b-11.

0
2. Section 4401.103 is amended by:
0
a. Removing and reserving paragraph (c)(1)(ii);
0
b. Revising paragraph (c)(1)(iii);
0
c. Removing paragraph (d); and
0
d. Redesignating paragraph (e) as paragraph (d).
    The revision reads as follows:

Sec.  4401.103  Outside employment and activities.

* * * * *
    (c) * * *
    (1) * * *
    (iii) No employee shall undertake the following types of employment
or activities:
    (A) Employment with any entity regulated by the Commission;
    (B) Employment or any activity directly or indirectly related to
the issuance, purchase, sale, investment or trading of securities or
futures on securities or a group of securities, except this prohibition
does not apply to securities holdings or transactions permitted by
Sec.  4401.102;
    (C) Employment otherwise involved with the securities industry; or
    (D) Employment otherwise in violation of any applicable law, rule
or regulation.
* * * * *

    Dated: April 4, 2011.

    By the Commission.
Elizabeth M. Murphy,
Secretary.
Robert I. Cusick,
Director, Office of Government Ethics.
[FR Doc. 2011-8485 Filed 4-8-11; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: September 27, 2010 (Volume 75, Number 186)]
[Notices]
[Page 59315-59316]
[DOCID:fr27se10-146]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-62949; File No. SR-CHX-2010-22]

Self-Regulatory Organizations; The Chicago Stock Exchange, Inc.;
Notice of Filing of a Proposed Rule Change To Enhance Quotation
Requirements for Market Makers

September 20, 2010.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on September 17, 2010, The Chicago Stock Exchange, Inc. (``CHX'' or the
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by the Exchange. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
---------------------------------------------------------------------------

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

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

    The CHX proposes to amend its rules to enhance quotation
requirements for market makers. The text of this proposed rule change
is available on the Exchange's Web site at (http://www.chx.com) and in
the Commission's Public Reference Room.

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

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

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

1. Purpose
Market Maker Quote Obligations
    The Exchange proposes to adopt rules to enhance minimum quotation
requirements for market makers. Under the proposal, the Exchange will
require market makers for each stock in which they are registered to
continuously maintain a two-sided quotation within a designated
percentage of the National Best Bid and National Best Offer as
appropriate. These enhanced market maker quotation requirements are
intended to eliminate trade executions against market maker placeholder
quotations traditionally priced far away from the inside market,
commonly known as ``stub quotes.'' They are also intended to augment
and work in relation to the single stock pause standards already in
place on a pilot basis for stocks in the S&P 500, Russell 1000 and
certain Specified Exchange Traded Products.\3\
---------------------------------------------------------------------------

    \3\ See Exchange Act Release No. 62252 (June 10, 2010), 75 FR
34186 (June 16, 2010); Exchange Act Release No. 62883 (September 10,
2010), 75 FR 56608 (September 16, 2010).
---------------------------------------------------------------------------

    Under the proposal, the Exchange will require registered market
makers to enter and maintain quotes priced at no more than a certain
percentage away from the national inside bid and offer. Permissible
quotes are determined by the individual character of the security, the
time of day in which the quote is entered, and other factors which are
summarized below:
    For issues subject to an individual stock trading trigger pause, a
permissible quote is determined by first looking at the applicable
stock trading pause trigger percentage of the security and then
reducing that number by 2%. Since currently the stock pause trigger
percentage across all exchanges is 10%, a market maker's quote in such
a security may not be more than 8% away from the national best bid or
best offer as appropriate. Once a compliant quote is entered, it may
rest without adjustment until such time as it moves to within \1/2 \of
1% of the applicable trigger pause percentage (i.e., currently 9.5%)
whereupon the market maker must immediately move its quote back to at
least the permissible default level of 8% away from the national best
bid or best offer. During times in which a trigger pause percentage is
not applicable (e.g. before 9:45 a.m. and after 3:35 p.m.), a market
maker must maintain a quote no further than 20% away from the inside
(i.e., it may rest without adjustment until it reaches 21.5%). In the
absence of national best or best offer, the above calculations will
remain the same, but will use the national last sale instead of the
absent bid or offer.
    For securities not subject to any individual stock pause trigger,
the proposal will a [sic] assume a hypothetical 32% trigger pause,
apply a 2% reduction, and require market makers in those issues to
maintain quotes no more than 30% away from the national best and
national best offer. Like securities subject to stock trading pauses,
once a compliant quote is entered, it may rest without adjustment until
such time as it moves to within \1/2\; of 1% of its applicable trigger
pause percentage (31.5%) whereupon the market maker must immediately
move its quote back to at least the permissible default level of 30%.
These requirements shall apply to Regulation NMS securities during
normal market hours.
    Nothing in the above precludes a market maker from voluntarily
quoting at price levels that are closer to the national best bid and
best offer than required under the proposal.
2. Statutory Basis
    The statutory basis for the proposed rule change is Section 6(b)(5)
of the Securities Exchange Act of 1934 (the ``Act''),\4\ which requires
the rules of an exchange to promote just and equitable principles of
trade, to remove impediments to and perfect the mechanism of a free and
open market and a national market system and, in general, to protect
investors and the public interest. The proposed rule change also is
designed to support the principles of Section 11A(a)(1) \5\ of the Act
in that it seeks to assure fair competition among brokers and dealers
and among exchange markets. The

Exchange believes that the proposed rule meets these requirements in
that it promotes transparency and uniformity across markets concerning
minimum market maker quotation requirements.
---------------------------------------------------------------------------

    \4\ 15 U.S.C. 78f(b)(5).
    \5\ 15 U.S.C. 78k-1(a)(1).
---------------------------------------------------------------------------

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

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

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

    No written comments were solicited or received.

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

    Within 45 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:
    (A) By order approve or disapprove such proposed rule change, or
    (B) Institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-CHX-2010-22 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-CHX-2010-22. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/
sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for inspection and
copying in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make publicly available. All
submissions should refer to File Number SR-CHX-2010-22 and should be
submitted on or before October 18, 2010.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\6\
---------------------------------------------------------------------------

    \6\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-24053 Filed 9-24-10; 8:45 am]
BILLING CODE 8010-01-P