[Federal Register Volume 82, Number 218 (Tuesday, November 14, 2017)]
[Proposed Rules]
[Pages 52682-52683]
[FR Doc No: 2017-24542]

=======================================================================
-----------------------------------------------------------------------

ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 52

[EPA-R01-OAR-2009-0436; FRL-9970-65-Region 1]

Air Plan Approval; Rhode Island; Enhanced Motor Vehicle
Inspection and Maintenance Program

AGENCY: Environmental Protection Agency.

ACTION: Proposed rule.

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

SUMMARY: The Environmental Protection Agency (EPA) is proposing to
approve State Implementation Plan (SIP) revisions submitted by the
State of Rhode Island. These revisions include regulations to update
the enhanced motor vehicle inspection and maintenance (I/M) program in
Rhode Island. The revised program includes a test and repair network
consisting of on-board diagnostic (OBD2) testing for model year 1996
and newer vehicles and tailpipe exhaust test, using a dynamometer, for
model year 1995 and older vehicles. The intended effect of this action
is to propose approval of the revised program into the Rhode Island
SIP. This action is being taken in accordance with the Clean Air Act.

DATES: Written comments must be received on or before December 14,
2017.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-R01-
OAR-2009-0436 at www.regulations.gov, or via email to
[email protected]. For comments submitted at Regulations.gov, follow
the online instructions for submitting comments. Once submitted,
comments cannot be edited or removed from Regulations.gov. For either
manner of submission, EPA may publish any comment received to its
public docket. Do not submit electronically any information you
consider to be Confidential Business Information (CBI) or other
information whose disclosure is restricted by statute. Multimedia
submissions (audio, video, etc.) must be accompanied by a written
comment. The written comment is considered the official comment and
should include discussion of all points you wish to make. The EPA will
generally not consider comments or comment contents located outside of
the primary submission (i.e. on the web, cloud, or other file sharing
system). For additional submission methods, please contact the person
identified in the For Further Information Contact section. For the full
EPA public comment policy,

information about CBI or multimedia submissions, and general guidance
on making effective comments, please visit www.epa.gov/dockets/commenting-epa-dockets.

FOR FURTHER INFORMATION CONTACT: Ariel Garcia, Air Quality Planning
Unit, U.S. Environmental Protection Agency, EPA Region 1 Regional
Office, 5 Post Office Square, Suite 100 (mail code: OEP05-2), Boston,
MA 02109-3912, telephone number:<PHONE_NUMBER>, email:
[email protected].

SUPPLEMENTARY INFORMATION: In the Final Rules section of this Federal
Register, EPA is approving the State's SIP submittal as a direct final
rule without prior proposal because the Agency views this as a
noncontroversial submittal and anticipates no adverse comments. A
detailed rationale for the approval is set forth in the direct final
rule. If no adverse comments are received in response to this action
rule, no further activity is contemplated. If EPA receives adverse
comments, the direct final rule will be withdrawn and all public
comments received will be addressed in a subsequent final rule based on
this proposed rule. EPA will not institute a second comment period. Any
parties interested in commenting on this action should do so at this
time. Please note that if EPA receives adverse comment on an amendment,
paragraph, or section of this rule and if that provision may be severed
from the remainder of the rule, EPA may adopt as final those provisions
of the rule that are not the subject of an adverse comment.
    For additional information, see the direct final rule which is
located in the Rules Section of this Federal Register.

    Dated: October 24, 2017.
Deborah A. Szaro,
Acting Regional Administrator, EPA New England.
[FR Doc. 2017-24542 Filed 11-13-17; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register Volume 82, Number 211 (Thursday, November 2, 2017)]
[Proposed Rules]
[Pages 50849-50851]
[FR Doc No: 2017-23200]

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

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2017-1010; Product Identifier 2016-SW-089-AD]
RIN 2120-AA64

Airworthiness Directives; Agusta S.p.A. Helicopters

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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

SUMMARY: We propose to adopt a new airworthiness directive (AD) for
Agusta S.p.A. (Agusta) Model AW189 helicopters. This proposed AD would
require inspecting and altering the emergency flotation system (EFS).
This proposed AD is prompted by a report of punctured EFS kits. The
actions of this proposed AD are intended to prevent an unsafe condition
on these helicopters.

DATES: We must receive comments on this proposed AD by January 2, 2018.

ADDRESSES: You may send comments by any of the following methods:
     Federal eRulemaking Docket: Go to http://www.regulations.gov. Follow the online instructions for sending your
comments electronically.
     Fax:<PHONE_NUMBER>.
     Mail: Send comments to the U.S. Department of
Transportation, Docket Operations, M-30, West Building Ground Floor,
Room W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590-0001.
     Hand Delivery: Deliver to the ``Mail'' address between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov by searching for and locating Docket No. FAA-2017-
1010; or in person at the Docket Operations Office between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The AD docket
contains this proposed AD, the European Aviation Safety Agency (EASA)
AD, the economic evaluation, any comments received, and other
information. The street address for the Docket Operations Office
(telephone<PHONE_NUMBER>) is in the ADDRESSES section. Comments will be
available in the AD docket shortly after receipt.
    For service information identified in this proposed rule, contact
Leonardo S.p.A. Helicopters, Matteo Ragazzi, Head of Airworthiness,
Viale G.Agusta 520, 21017 C.Costa di Samarate (Va) Italy; telephone
+39-0331-711756; fax +39-0331-229046; or at http://www.leonardocompany.com/-/bulletins. You may review the referenced
service information at the FAA, Office of the Regional Counsel,
Southwest Region, 10101 Hillwood Pkwy, Room 6N-321, Fort Worth, TX
76177.

FOR FURTHER INFORMATION CONTACT: Martin R. Crane, Aviation Safety
Engineer, Regulations and Policy Section, Rotorcraft Standards Branch,
FAA, 10101 Hillwood Pkwy, Fort Worth, TX 76177; telephone (817) 222-
5110; email [email protected].

SUPPLEMENTARY INFORMATION:

Comments Invited

    We invite you to participate in this rulemaking by submitting
written comments, data, or views. We also invite comments relating to
the economic, environmental, energy, or federalism impacts that might
result from adopting the proposals in this document. The most helpful
comments reference a specific portion of the proposal, explain the
reason for any recommended change, and include supporting data. To
ensure the docket does not contain duplicate comments, commenters
should send only one copy of written comments, or if comments are filed
electronically, commenters should submit only one time.
    We will file in the docket all comments that we receive, as well as
a report summarizing each substantive public contact with FAA personnel
concerning this proposed rulemaking. Before acting on this proposal, we
will consider all comments we receive on or before the closing date for
comments. We will consider comments filed after the comment period has
closed if it is possible to do so without incurring expense or delay.
We may change this proposal in light of the comments we receive.

Discussion

    EASA, which is the Technical Agent for the Member States of the
European Union, has issued EASA AD No. 2016-0263-E, dated December 24,
2016 (AD 2016-0263-E), to correct an unsafe condition for Leonardo
S.p.A. Helicopters (previously Agusta) Model AW189 helicopters. EASA
advises that during the first scheduled maintenance of an EFS kit,
float bags were found punctured. According to EASA, an investigation
revealed the damage was caused by protruding parts of the pressure
relief/topping valves that were not adequately protected. EASA further
states that this condition could result in a partial loss of buoyancy
of the EFS float bags, possibly resulting in injury to the helicopter's
occupants in a ditching event. To prevent this unsafe condition, EASA
AD 2016-0263-E requires a one-time inspection of the EFS, repair of any
discrepancies found, replacing the pressure relief/topping valve O-ring
with a gasket, and replacing the inflate/deflate protection with a new
design inflate/deflate protection.
    The FAA is in the process of updating Agusta's name change to
Leonardo Helicopters on its type certificate. Because this name change
is not yet effective, this proposed AD specifies Agusta.

FAA's Determination

    These helicopters have been approved by the aviation authority of
Italy and are approved for operation in the United States. Pursuant to
our bilateral agreement with Italy, EASA, its technical representative,
has notified us of the unsafe condition described in its AD. We are
proposing this AD because we evaluated all known relevant information
and determined that an unsafe condition is likely to exist or develop
on other products of the same type design.

Related Service Information

    We reviewed Leonardo S.p.A. Bollettino Tecnico No. 189-135, dated
December 20, 2016 (BT 189-135), and Aero Sekur Service Bulletin No. SB-
189-25-003, dated November 30, 2016 (SB-189-25-003), which is attached
to BT 189-135 as Annex 1. BT 189-135 specifies following the procedures
in SB-189-25-003 to inspect and modify certain EFS kits installed on
AW189 helicopters.

Proposed AD Requirements

    This proposed AD would require, within 120 hours time-in-service
(TIS), inspecting each float bag for punctures, replacing the pressure
relief/topping (PRT) valve O-ring part number (P/N) P-G10025 with a PRT
valve gasket P/N 316683A, and replacing the inflate/deflate protection
P/N 304694A with inflate/deflate protection P/N 304694B.

If there are any cuts, tears, punctures, or abrasion on a float bag,
the proposed AD would require repairing the float bag before further
flight.

Differences Between This Proposed AD and the EASA AD

    The EASA AD requires compliance within 15 hours TIS or 10 days for
helicopters flying overwater above sea state 4 or within 120 hours or
60 days for helicopters operating overwater up to sea state 4. The
proposed AD would require compliance within 120 hours TIS regardless of
sea state conditions.

Costs of Compliance

    We estimate that this proposed AD would affect two helicopters of
U.S. Registry. We estimate that operators may incur the following costs
in order to comply with this AD. Inspecting each float bag, replacing
the PRT valve gasket, and replacing the inflate/deflate protection
would require about 40 work-hours, and required parts would cost about
$500, for a cost per helicopter of $3,900 and a total cost of $7,800
for the U.S. fleet. If required, repairing a float bag would require
about 2 work-hours, and required parts would cost $90, for a cost per
float bag of $260.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. ``Subtitle VII: Aviation
Programs,'' describes in more detail the scope of the Agency's
authority.
    We are issuing this rulemaking under the authority described in
``Subtitle VII, Part A, Subpart III, Section 44701: General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.

Regulatory Findings

    We determined that this proposed AD would not have federalism
implications under Executive Order 13132. This proposed AD would not
have a substantial direct effect on the States, on the relationship
between the national Government and the States, or on the distribution
of power and responsibilities among the various levels of government.
    For the reasons discussed, I certify this proposed regulation:
    1. Is not a ``significant regulatory action'' under Executive Order
12866;
    2. Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979);
    3. Will not affect intrastate aviation in Alaska to the extent that
it justifies making a regulatory distinction; and
    4. Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.
    We prepared an economic evaluation of the estimated costs to comply
with this proposed AD and placed it in the AD docket.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

The Proposed Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA proposes to amend 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13   [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new airworthiness
directive (AD):

Agusta S.p.A. Helicopters: Docket No. FAA-2017-1010; Product
Identifier 2016-SW-089-AD.

(a) Applicability

    This AD applies to Agusta S.p.A. (Agusta) Model AW189
helicopters, certificated in any category, with an emergency float
system (EFS) float assembly part number (P/N) 8G9560V00131, serial
number (S/N) 066 or lower; P/N 8G9560V00231, S/N 068 or lower; P/N
8G9560V00331, S/N 068 or lower; or P/N 8G9560V00431, S/N 067 or
lower, installed.

(b) Unsafe Condition

    This AD defines the unsafe condition as a punctured EFS float
bag. This condition could result in loss of buoyancy of an EFS float
bag being used in an emergency water ditching and subsequent injury
to helicopter occupants.

(c) Comments Due Date

    We must receive comments by January 2, 2018.

(d) Compliance

    You are responsible for performing each action required by this
AD within the specified compliance time unless it has already been
accomplished prior to that time.

(e) Required Actions

    (1) Within 120 hours time-in-service:
    (i) Unfold and inspect each float bag assembly for any cuts,
tears, punctures, or abrasion. If there is a cut, tear, puncture, or
any abrasion, before further flight, repair the float bag assembly.
    (ii) Replace each O-ring P/N S-B10104 with a pressure relief/
topping (PRT) valve gasket P/N 316683A.
    (iii) Install each PRT valve P/N P-G10025 and apply a torque of
4.5 to 5.5 Nm (39.8 to 48.6 inch-pounds).
    (iv) Replace each inflate/deflate protection P/N 304694A with a
PRT valve protection P/N 304694B.
    (iv) Install a piece of tape approximately 220 millimeters long
over each PRT valve protection P/N 304694B.
    (2) After the effective date of this AD, do not install an EFS
float assembly P/N 8G9560V00131, S/N 066 or lower; P/N 8G9560V00231,
S/N 068 or lower; P/N 8G9560V00331, S/N 068 or lower; or P/N
8G9560V00431, S/N 067 or lower on any helicopter unless you have
complied with the actions in paragraph (e)(1) of this AD.

(f) Alternative Methods of Compliance (AMOCs)

    (1) The Manager, Safety Management Section, FAA, may approve
AMOCs for this AD. Send your proposal to: Martin R. Crane, Aviation
Safety Engineer, Regulations and Policy Section, Rotorcraft
Standards Branch, FAA, 10101 Hillwood Pkwy, Fort Worth, TX 76177;
telephone<PHONE_NUMBER>; email [email protected].
    (2) For operations conducted under a 14 CFR part 119 operating
certificate or under 14 CFR part 91, subpart K, we suggest that you
notify your principal inspector, or lacking a principal inspector,
the manager of the local flight standards district office or
certificate holding district office before operating any aircraft
complying with this AD through an AMOC.

(g) Additional Information

    (1) Leonardo S.p.A. Bollettino Tecnico No. 189-135, dated
December 20, 2016, and Aero Sekur Service Bulletin No. SB-189-25-
003, dated November 30, 2016, which are not incorporated by
reference, contain additional information about the subject of this
AD. For service information identified in this AD, contact Leonardo
S.p.A. Helicopters, Matteo Ragazzi, Head of Airworthiness, Viale
G.Agusta 520, 21017 C.Costa di Samarate (Va) Italy; telephone +39-
0331-711756; fax +39-0331-229046; or at http://www.leonardocompany.com/-/bulletins. You may review the referenced
service information at the FAA, Office of the Regional Counsel,
Southwest Region, 10101 Hillwood Pkwy, Room 6N-321, Fort Worth, TX
76177.
    (2) The subject of this AD is addressed in European Aviation
Safety Agency (EASA) AD No. 2016-0263-E, dated December 24, 2016.
You may view the EASA AD on the Internet at http://www.regulations.gov in the AD Docket.

(h) Subject

    Joint Aircraft Service Component (JASC) Code: 3212 Emergency
Flotation Section.

    Issued in Fort Worth, Texas, on October 16, 2017.
James A. Grigg,
Acting Director, Compliance & Airworthiness Division, Aircraft
Certification Service.
[FR Doc. 2017-23200 Filed 11-1-17; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register Volume 78, Number 44 (Wednesday, March 6, 2013)]
[Notices]
[Pages 14584-14585]
[FR Doc No: 2013-05183]

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

DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Docket ID FEMA-2013-0002; Internal Agency Docket No. FEMA-B-1296]

Proposed Flood Hazard Determinations

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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

SUMMARY: Comments are requested on proposed flood hazard
determinations, which may include additions or modifications of any
Base Flood Elevation (BFE), base flood depth, Special Flood Hazard Area
(SFHA) boundary or zone designation, or regulatory floodway on the
Flood Insurance Rate Maps (FIRMs), and where applicable, in the
supporting Flood Insurance Study (FIS) reports for the communities
listed in the table below. The purpose of this notice is to seek
general information and comment regarding the preliminary FIRM, and
where applicable, the FIS report that the Federal Emergency Management
Agency (FEMA) has provided to the affected communities. The FIRM and
FIS report are the basis of the floodplain management measures that the
community is required either to adopt or to show evidence of having in
effect in order to qualify or remain qualified for participation in the
National Flood Insurance Program (NFIP). In addition, the FIRM and FIS
report, once effective, will be used by insurance agents and others to
calculate appropriate flood insurance premium rates for new buildings
and the contents of those buildings.

DATES: Comments are to be submitted on or before June 4, 2013.

ADDRESSES: The Preliminary FIRM, and where applicable, the FIS report
for each community are available for inspection at both the online
location and the respective Community Map Repository address listed in
the tables below. Additionally, the current effective FIRM and FIS
report for each community are accessible online through the FEMA Map
Service Center at www.msc.fema.gov for comparison.
    You may submit comments, identified by Docket No. FEMA-B-1296, to
Luis Rodriguez, Chief, Engineering Management Branch, Federal Insurance
and Mitigation Administration, FEMA, 500 C Street SW., Washington, DC
20472,<PHONE_NUMBER>, or (email<EMAIL_ADDRESS>
FOR FURTHER INFORMATION CONTACT: Luis Rodriguez, Chief, Engineering
Management Branch, Federal Insurance and Mitigation Administration,
FEMA, 500 C Street SW., Washington, DC 20472,<PHONE_NUMBER>, or
(email<EMAIL_ADDRESS>or visit the FEMA Map Information
eXchange (FMIX) online at www.floodmaps.fema.gov/fhm/fmx_main.html.

SUPPLEMENTARY INFORMATION: FEMA proposes to make flood hazard
determinations for each community listed below, in accordance with
section 110 of the Flood Disaster Protection Act of 1973, 42 U.S.C.
4104, and 44 CFR 67.4(a).
    These proposed flood hazard determinations, together with the
floodplain management criteria required by 44 CFR 60.3, are the minimum
that are required. They should not be construed to mean that the
community must change any existing ordinances that are more stringent
in their floodplain management requirements. The community may at any
time enact stricter requirements of its own or pursuant to policies
established by other Federal, State, or regional entities. These flood
hazard determinations are used to meet the floodplain management
requirements of the NFIP and also are used to calculate the appropriate
flood insurance premium rates for new buildings built after the FIRM
and FIS report become effective.
    The communities affected by the flood hazard determinations are
provided in the tables below. Any request for reconsideration of the
revised flood hazard information shown on the Preliminary FIRM and FIS
report that satisfies the data requirements outlined in 44 CFR 67.6(b)
is considered an appeal. Comments unrelated to the flood hazard
determinations also will be considered before the FIRM and FIS report
become effective.
    Use of a Scientific Resolution Panel (SRP) is available to
communities in support of the appeal resolution process. SRPs are
independent panels of experts in hydrology, hydraulics, and other
pertinent sciences established to review conflicting scientific and
technical data and provide recommendations for resolution. Use of the
SRP only may be exercised after FEMA and local communities have been
engaged in a collaborative consultation process for at least 60 days
without a mutually acceptable resolution of an appeal. Additional
information regarding the SRP process can be found online at
www.fema.gov/pdf/media/factsheets/2010/srp_fs.pdf.
    The watersheds and/or communities affected are listed in the tables
below. The Preliminary FIRM, and where applicable, FIS report for each
community are available for inspection at both the online location and
the respective Community Map Repository address listed in the tables.
Additionally, the current effective FIRM and FIS report for each
community are accessible online through the FEMA Map Service Center at
www.msc.fema.gov for comparison.

------------------------------------------------------------------------
               Community                   Local map repository address
------------------------------------------------------------------------
            Bristol County, Massachusetts (All Jurisdictions)
------------------------------------------------------------------------
Maps Available for Inspection Online at: http://www.starr-team.com/starr/RegionalWorkspaces/RegionI/BristolCountyMAcoastal/Preliminary%20Maps/Forms/AllItems.aspx
------------------------------------------------------------------------
City of Fall River.....................  City Hall, One Government
                                          Center, Fall River, MA 02722.
Town of Berkley........................  Town Hall, One North Main
                                          Street, Berkley, MA 02779.
Town of Dighton........................  Town Hall, 979 Somerset Avenue,
                                          Dighton, MA 02715.
Town of Freetown.......................  Freetown Town Hall, 3 North
                                          Main Street, Assonet, MA
                                          02702.
Town of Rehoboth.......................  Town Hall, 148 Peck Street,
                                          Rehoboth, MA 02769.
Town of Seekonk........................  Town Hall, 100 Peck Street,
                                          Seekonk, MA 02771.
Town of Somerset.......................  Town Office Building, 140 Wood
                                          Street, Room 23, Somerset, MA
                                          02726.
Town of Swansea........................  Town Hall, 81 Main Street,
                                          Swansea, MA 02777.
------------------------------------------------------------------------
              Bryan County, Georgia, and Incorporated Areas
------------------------------------------------------------------------
  Maps Available for Inspection Online at: www.georgiadfirm.com/status/mapmodStatus.html
------------------------------------------------------------------------
City of Pembrooke......................  City Hall, 160 North Main
                                          Street, Pembroke, GA 31321.
Unincorporated Areas of Bryan County...  Bryan County Planning and
                                          Zoning Department, 51 North
                                          Courthouse Street, Pembroke,
                                          GA 31321.
------------------------------------------------------------------------
             Liberty County, Georgia, and Incorporated Areas
------------------------------------------------------------------------
  Maps Available for Inspection Online at: www.georgiadfirm.com/status/mapmodStatus.html
------------------------------------------------------------------------
City of Flemington.....................  City Hall, 156 Old Sunbury
                                          Road, Flemington, GA 31309.
City of Gum Branch.....................  City Hall, 5334 Highway 196
                                          West, Gum Branch, GA 31310.
City of Hinesville.....................  Inspections Department, 115
                                          East M.L. King, Jr. Drive,
                                          Hinesville, GA 31313.
City of Walthourville..................  City Hall, 222 Busbee Road,
                                          Walthourville, GA 31333.
Town of Allenhurst.....................  Town Hall, 4063 West
                                          Oglelthorpe Highway,
                                          Allenhurst, GA 31301.
Unincorporated Areas of Liberty County.  Liberty County Consolidated
                                          Planning Commission, 100 Main
                                          Street, Suite 1220,
                                          Hinesville, GA 31313.
------------------------------------------------------------------------
              Long County, Georgia, and Incorporated Areas
------------------------------------------------------------------------
  Maps Available for Inspection Online at: www.georgiadfirm.com/status/mapmodStatus.html
------------------------------------------------------------------------
City of Ludowici.......................  City Hall, 469 North Main
                                          Street, Ludowici, GA 31316.
Unincorporated Areas of Long County....  Long County Code Enforcement
                                          Office, 459 South McDonald
                                          Street, Ludowici, GA 31316.
------------------------------------------------------------------------
           De Soto County, Mississippi, and Incorporated Areas
------------------------------------------------------------------------
   Maps Available for Inspection Online at: http://geology.deq.ms.gov/floodmaps/Projects/FY2009/?county=DeSoto
------------------------------------------------------------------------
City of Hernando.......................  City Hall, 475 West Commerce
                                          Street, Hernando, MS 38632.
City of Horn Lake......................  City Hall, Planning Department,
                                          2285 Goodman Road, Horn Lake,
                                          MS 38637.
City of Olive Branch...................  Planning and Building
                                          Department, 9150 Pigeon Roost
                                          Road, Olive Branch, MS 38654.
City of Southhaven.....................  Engineering Department, 8710
                                          Northwest Drive, Southaven, MS
                                          38671.
Unincorporated Areas of De Soto County.  De Soto County Geographic
                                          Information Systems, 365
                                          Losher Street, Suite 200,
                                          Hernando, MS 38632.
------------------------------------------------------------------------
           Nash County, North Carolina, and Incorporated Areas
------------------------------------------------------------------------
      Maps Available for Inspection Online at: www.ncfloodmaps.com
------------------------------------------------------------------------
Town of Middlesex......................  Town Hall, 10232 South Nash
                                          Street, Middlesex, NC 27557.
Unincorporated Areas of Nash County....  Nash County Planning
                                          Department, 120 West
                                          Washington Street, Suite 2110,
                                          Nashville, NC 27856.
------------------------------------------------------------------------

(Catalog of Federal Domestic Assistance No. 97.022, ``Flood
Insurance.'')

Roy Wright,
Deputy Associate Administrator for Mitigation, Department of Homeland
Security, Federal Emergency Management Agency.
[FR Doc. 2013-05183 Filed 3-5-13; 8:45 am]
BILLING CODE 9110-12-P


[Federal Register Volume 86, Number 18 (Friday, January 29, 2021)]
[Notices]
[Pages 7590-7597]
[FR Doc No: 2021-01941]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-90985; File No. 4-523]

Program for Allocation of Regulatory Responsibilities Pursuant To
Rule 17d-2; Notice of Filing and Order Approving and Declaring
Effective an Amended Plan for the Allocation of Regulatory
Responsibilities Between the Financial Industry Regulatory Authority,
Inc. and NYSE Arca, Inc.

January 25, 2021.
    Notice is hereby given that the Securities and Exchange Commission
(``Commission'') has issued an Order, pursuant to Section 17(d) of the
Securities Exchange Act of 1934 (``Act''),\1\ approving and declaring
effective an amendment to the plan for allocating regulatory
responsibility (``Plan'') filed on December 18, 2020, pursuant to Rule
17d-2 of the Act,\2\ by the Financial Industry Regulatory Authority,
Inc. (``FINRA'') and NYSE Arca, Inc. (``NYSE Arca'') (collectively,
``Participating Organizations'' or ``parties''). This agreement amends
and restates the agreement entered into between the parties on February
9, 2007, entitled ``Agreement Between the National Association of
Securities Dealers, Inc. and NYSE Arca, Inc. Pursuant to SEA Rule 17d-2
Under the Securities Exchange Act of 1934,'' and any subsequent
amendments thereafter.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78q(d).
    \2\ 17 CFR 240.17d-2.
---------------------------------------------------------------------------

I. Introduction

    Section 19(g)(1) of the Act,\3\ among other things, requires every
self-regulatory organization (``SRO'') registered as either a national
securities exchange or national securities association to examine for,
and enforce compliance by, its members and persons associated with its
members with the Act, the rules and regulations thereunder, and the
SRO's own rules, unless the SRO is relieved of this responsibility
pursuant to Section 17(d) \4\ or Section 19(g)(2) \5\ of the Act.
Without this relief, the statutory obligation of each individual SRO
could result in a pattern of multiple examinations of broker-dealers
that maintain memberships in more than one SRO (``common members'').
Such regulatory duplication would add unnecessary expenses for common
members and their SROs.
---------------------------------------------------------------------------

    \3\ 15 U.S.C. 78s(g)(1).
    \4\ 15 U.S.C. 78q(d).
    \5\ 15 U.S.C. 78s(g)(2).
---------------------------------------------------------------------------

    Section 17(d)(1) of the Act \6\ was intended, in part, to eliminate
unnecessary multiple examinations and regulatory duplication.\7\ With
respect to a common member, Section 17(d)(1) authorizes the Commission,
by rule or order, to relieve an SRO of the responsibility to receive
regulatory reports, to examine for and enforce compliance with
applicable statutes, rules, and regulations, or to perform other
specified regulatory functions.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78q(d)(1).
    \7\ See Securities Act Amendments of 1975, Report of the Senate
Committee on Banking, Housing, and Urban Affairs to Accompany S.
249, S. Rep. No. 94-75, 94th Cong., 1st Session 32 (1975).
---------------------------------------------------------------------------

    To implement Section 17(d)(1), the Commission adopted two rules:
Rule 17d-1 and Rule 17d-2 under the Act.\8\ Rule 17d-1 authorizes the
Commission to name a single SRO as the designated examining authority
(``DEA'') to examine common members for compliance with the financial
responsibility requirements imposed by the Act, or by Commission or SRO
rules.\9\ When an SRO has been named as a common member's DEA, all
other SROs to which the common member belongs are relieved of the
responsibility to examine the firm for compliance with the applicable
financial responsibility rules. On its face, Rule 17d-1 deals only with
an SRO's obligations to enforce member compliance with financial
responsibility requirements. Rule 17d-1 does not relieve an SRO from
its obligation to examine a common member for compliance with its own
rules and provisions of the federal securities laws governing matters
other than financial responsibility, including sales practices and
trading activities and practices.
---------------------------------------------------------------------------

    \8\ 17 CFR 240.17d-1 and 17 CFR 240.17d-2, respectively.
    \9\ See Securities Exchange Act Release No. 12352 (April 20,
1976), 41 FR 18808 (May 7, 1976).
---------------------------------------------------------------------------

    To address regulatory duplication in these and other areas, the
Commission adopted Rule 17d-2 under the Act.\10\ Rule 17d-2 permits
SROs to propose joint plans for the allocation of regulatory
responsibilities with respect to their common members. Under paragraph
(c) of Rule 17d-2, the Commission may declare such a plan effective if,
after providing for appropriate notice and opportunity for comment, it
determines that the plan is necessary or appropriate in the public
interest and for the protection of investors, to foster cooperation and
coordination among the SROs, to remove impediments to, and foster the
development of, a national market system and a national clearance and
settlement system, and is in conformity with the factors set forth in
Section 17(d) of the Act. Commission approval of a plan filed pursuant
to Rule 17d-2 relieves an SRO of those regulatory responsibilities
allocated by the plan to another SRO.
---------------------------------------------------------------------------

    \10\ See Securities Exchange Act Release No. 12935 (October 28,
1976), 41 FR 49091 (November 8, 1976).
---------------------------------------------------------------------------

II. The Plan

    On August 31, 2006, the Commission declared effective the Plan
entered into between FINRA and NYSE Arca for allocating regulatory
responsibility pursuant to Rule 17d-2.\11\ On March 22, 2007, the
Commission approved an amendment to the Plan that (1) eliminated
paragraph 11 of the Plan that allocated to FINRA the responsibility to
receive and act upon requests for extension of time pursuant to Federal
Reserve Regulation T and Rule 15c3-3 under the Act, and (2) changed
from ``monthly'' to ``upon request'' the obligation of FINRA to share
information with NYSE Arca regarding notice of changes in allied
members, partners, officers, registered personnel and other persons,
and the opening, address change, and termination of main and branch
offices and the names of branch office managers.\12\
---------------------------------------------------------------------------

    \11\ See Securities Exchange Act Release No. 54394 (August 31,
2006), 71 FR 52827 (September 7, 2006).
    \12\ See Securities Exchange Act Release No. 55505 (March 22,
2007), 72 FR 14628 (March 28, 2007).
---------------------------------------------------------------------------

    The Plan is intended to reduce regulatory duplication for firms
that are common members of FINRA and NYSE Arca by allocating regulatory
responsibility with respect to certain applicable laws, rules, and
regulations that are common among them. Included in the Plan is an
exhibit that lists every NYSE Arca rule for which FINRA bears
responsibility under the Plan for overseeing and enforcing with respect
to NYSE Arca members that are also members of FINRA and the associated
persons therewith (``Certification'').

III. Proposed Amendment to the Plan

    On December 18, 2020, the parties submitted a proposed amendment to
the Plan (``Amended Plan''). The primary purpose of the Amended Plan is
to

remove Regulation SHO from the Certification. The text of the proposed
Amended Plan, which replaces and supersedes the current Plan in its
entirety, is as follows:
* * * * *

AGREEMENT BETWEEN FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. AND
NYSE ARCA, INC. PURSUANT TO RULE 17d-2 UNDER THE SECURITIES EXCHANGE
ACT OF 1934

    This Agreement, by and between Financial Industry Regulatory
Authority, Inc. (``FINRA'') and the NYSE Arca, Inc. (``NYSE Arca''), is
made this 17th day of December, 2020 (the ``Agreement''), pursuant to
Section 17(d) of the Securities Exchange Act of 1934 (the ``Exchange
Act'' or ``SEA'') and Rule 17d-2 thereunder which permits agreements
between self-regulatory organizations to allocate regulatory
responsibility to eliminate regulatory duplication. FINRA and NYSE Arca
may be referred to individually as a ``party'' and together as the
``parties.''
    This Agreement amends and restates the agreement entered into
between the parties on February 9, 2007, entitled ``Agreement Between
the National Association of Securities Dealers, Inc. and NYSE Arca,
Inc. Pursuant to SEA Rule 17d-2 Under the Securities Exchange Act of
1934,'' and any subsequent amendments thereafter.
    Whereas, FINRA and NYSE Arca desire to reduce duplication in the
examination of their Dual Members (as defined herein) and in the filing
and processing of certain registration and membership records; and
    Whereas, FINRA and NYSE Arca desire to execute an agreement
covering such subjects pursuant to the provisions of Rule 17d-2 under
the Exchange Act and to file such agreement with the Securities and
Exchange Commission (the ``SEC'' or ``Commission'') for its approval.
    Now, therefore, in consideration of the mutual covenants contained
hereinafter, FINRA and NYSE Arca hereby agree as follows:
    1. Definitions. Unless otherwise defined in this Agreement or the
context otherwise requires, the terms used in this Agreement shall have
the same meaning as they have under the Exchange Act and the rules and
regulations thereunder. As used in this Agreement, the following terms
shall have the following meanings:
    (a) ``NYSE Arca Rules'' or ``FINRA Rules'' shall mean: (i) The
rules of the NYSE Arca, or (ii) the rules of FINRA, respectively, as
the rules of an exchange or association are defined in Exchange Act
Section 3(a)(27).
    (b) ``Common Rules'' shall mean the NYSE Arca Rules that are
substantially similar to the applicable FINRA Rules and certain
provisions of the Exchange Act and SEA rules set forth on Exhibit 1 in
that examination for compliance with such rules would not require FINRA
to develop one or more new examination standards, modules, procedures,
or criteria in order to analyze the application of such provisions or
rule, or a Dual Member's activity, conduct, or output in relation to
such rule; provided, however, Common Rules shall not include the
application of SEA, NYSE Arca or FINRA rules as they pertain to
violations of insider trading activities, which is covered by a
separate 17d-2 Agreement by and among the Cboe BZX Exchange, Inc., Cboe
BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Bats
Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority,
Inc., MEMX, LLC, MIAX Pearl, LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, The
Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange
LLC, NYSE American LLC, NYSE Arca, Inc., Investors Exchange LLC and
Long-Term Stock Exchange, Inc., approved by the SEC on September 23,
2020, as may be amended from time to time. Common Rules shall not
include provisions regarding (i) notice, reporting or any other filings
made directly to or from NYSE Arca, (ii) incorporation by reference of
other NYSE Arca Rules that are not Common Rules, (iii) exercise of
discretion in a manner that differs from FINRA's exercise of
discretion, including, but not limited to exercise of exemptive
authority, by NYSE Arca, (iv) prior written approval of NYSE Arca, and
(v) payment of fees or fines to NYSE Arca.
    (c) ``Dual Members'' shall mean those NYSE Arca members that are
also members of FINRA and the associated persons therewith.
    (d) ``Effective Date'' shall be the date this Agreement is approved
by the Commission.
    (e) ``Enforcement Responsibilities'' shall mean the conduct of
appropriate proceedings, in accordance with the FINRA Code of Procedure
(the Rule 9000 Series) and other applicable FINRA procedural rules, to
determine whether violations of Common Rules have occurred, and if such
violations are deemed to have occurred, the imposition of appropriate
sanctions as specified under the FINRA Code of Procedure and sanctions
guidelines.
    (f) ``Regulatory Responsibilities'' shall mean the examination
responsibilities and Enforcement Responsibilities relating to
compliance by the Dual Members with the Common Rules and the provisions
of the Exchange Act and the rules and regulations thereunder, and other
applicable laws, rules and regulations, each as set forth on Exhibit 1
attached hereto.
    2. Regulatory and Enforcement Responsibilities. FINRA shall assume
Regulatory Responsibilities and Enforcement Responsibilities for Dual
Members. Attached as Exhibit 1 to this Agreement and made part hereof,
NYSE Arca furnished FINRA with a current list of Common Rules and
certified to FINRA that such rules are substantially similar to the
corresponding FINRA Rule (the ``Certification''). FINRA hereby agrees
that the rules listed in the Certification are Common Rules as defined
in this Agreement. Each year following the Effective Date of this
Agreement, or more frequently if required by changes in either the
rules of NYSE Arca or FINRA, NYSE Arca shall submit an updated list of
Common Rules to FINRA for review which shall add NYSE Arca Rules not
included in the current list of Common Rules that qualify as Common
Rules as defined in this Agreement; delete NYSE Arca Rules included in
the current list of Common Rules that no longer qualify as Common Rules
as defined in this Agreement; and confirm that the remaining rules on
the current list of Common Rules continue to be NYSE Arca Rules that
qualify as Common Rules as defined in this Agreement. Within 30 days of
receipt of such updated list, FINRA shall confirm in writing whether
the rules listed in any updated list are Common Rules as defined in
this Agreement. Notwithstanding anything herein to the contrary, it is
explicitly understood that the term ``Regulatory Responsibilities''
does not include, and NYSE Arca shall retain full responsibility for
(unless otherwise addressed by separate agreement or rule) the
following (collectively, the ``Retained Responsibilities''):
    (a) Surveillance, examination, investigation and enforcement with
respect to trading activities or practices involving NYSE Arca's own
marketplace;
    (b) registration pursuant to its applicable rules of associated
persons (i.e., registration rules that are not Common Rules);
    (c) discharge of its duties and obligations as a Designated
Examining Authority pursuant to Rule 17d-1 under the Exchange Act, if
applicable; and

    (d) any NYSE Arca Rules that are not Common Rules except for NYSE
Arca Rules for any NYSE Arca affiliate that is a member that operates
as a facility (as defined in Section 3(a)(2) of the Exchange Act), acts
as a router for NYSE Arca and is a member of FINRA (``Router Member'')
as provided in paragraph 6. As of the date of this Agreement,
Archipelago Securities LLC is the only Router Member.
    3. Dual Members. Prior to the Effective Date, NYSE Arca shall
furnish FINRA with a current list of Dual Members, which shall be
updated no less frequently than once each quarter.
    4. No Charge. There shall be no charge to NYSE Arca by FINRA for
performing the Regulatory Responsibilities and Enforcement
Responsibilities under this Agreement except as hereinafter provided.
FINRA shall provide NYSE Arca with ninety (90) days advance written
notice in the event FINRA decides to impose any charges to NYSE Arca
for performing the Regulatory Responsibilities under this Agreement. If
FINRA determines to impose a charge, NYSE Arca shall have the right at
the time of the imposition of such charge to terminate this Agreement;
provided, however, that FINRA's Regulatory Responsibilities under this
Agreement shall continue until the Commission approves the termination
of this Agreement.
    5. Applicability of Certain Laws, Rules, Regulations or Orders.
Notwithstanding any provision hereof, this Agreement shall be subject
to any statute, or any rule or order of the Commission. To the extent
such statute, rule or order is inconsistent with one or more provisions
of this Agreement, the statute, rule or order shall supersede the
provision(s) hereof to the extent necessary to be properly effectuated
and the provision(s) hereof in that respect shall be null and void.
    6. Notification of Violations.
    (a) In the event that FINRA becomes aware of apparent violations of
any NYSE Arca Rules, which are not listed as Common Rules, discovered
pursuant to the performance of the Regulatory Responsibilities assumed
hereunder, FINRA shall notify NYSE Arca of those apparent violations
for such response as NYSE Arca deems appropriate. With respect to
apparent violations of any NYSE Arca Rules by any Router Member, FINRA
shall not make referrals to NYSE Arca pursuant to this paragraph 6.
Such apparent violations shall be processed by, and enforcement
proceedings in respect thereto will be conducted by, FINRA as provided
in this agreement.
    (b) In the event that NYSE Arca becomes aware of apparent
violations of any Common Rules, discovered pursuant to the performance
of the Retained Responsibilities, NYSE Arca shall notify FINRA of those
apparent violations and such matters shall be handled by FINRA as
provided in this Agreement.
    (c) Apparent violations of Common Rules shall be processed by, and
enforcement proceedings in respect thereto shall be conducted by FINRA
as provided hereinbefore; provided, however, that in the event a Dual
Member is the subject of an investigation relating to a transaction on
the NYSE Arca, NYSE Arca may in its discretion assume concurrent
jurisdiction and responsibility.
    (d) Each party agrees to make available promptly all files, records
and witnesses necessary to assist the other in its investigation or
proceedings.
    7. Continued Assistance.
    (a) FINRA shall make available to NYSE Arca all information
obtained by FINRA in the performance by it of the Regulatory
Responsibilities hereunder with respect to the Dual Members subject to
this Agreement. In particular, and not in limitation of the foregoing,
FINRA shall furnish NYSE Arca any information it obtains about Dual
Members which reflects adversely on their financial condition. NYSE
Arca shall make available to FINRA any information coming to its
attention that reflects adversely on the financial condition of Dual
Members or indicates possible violations of applicable laws, rules or
regulations by such firms.
    (b) The parties agree that documents or information shared shall be
held in confidence, and used only for the purposes of carrying out
their respective regulatory obligations. Neither party shall assert
regulatory or other privileges as against the other with respect to
documents or information that is required to be shared pursuant to this
Agreement.
    (c) The sharing of documents or information between the parties
pursuant to this Agreement shall not be deemed a waiver as against
third parties of regulatory or other privileges relating to the
discovery of documents or information.
    8. Statutory Disqualifications. When FINRA becomes aware of a
statutory disqualification as defined in the Exchange Act with respect
to a Dual Member, FINRA shall determine pursuant to Sections 15A(g)
and/or Section 6(c) of the Exchange Act the acceptability or continued
applicability of the person to whom such disqualification applies and
keep NYSE Arca advised of its actions in this regard for such
subsequent proceedings as NYSE Arca may initiate.
    9. Customer Complaints. NYSE Arca shall forward to FINRA copies of
all customer complaints involving Dual Members received by NYSE Arca
relating to FINRA's Regulatory Responsibilities under this Agreement.
It shall be FINRA's responsibility to review and take appropriate
action in respect to such complaints.
    10. Advertising. FINRA shall assume responsibility to review the
advertising of Dual Members subject to the Agreement, provided that
such material is filed with FINRA in accordance with FINRA's filing
procedures and is accompanied with any applicable filing fees set forth
in FINRA Rules.
    11. No Restrictions on Regulatory Action. Nothing contained in this
Agreement shall restrict or in any way encumber the right of either
party to conduct its own independent or concurrent investigation,
examination or enforcement proceeding of or against Dual Members, as
either party, in its sole discretion, shall deem appropriate or
necessary.
    12. Termination. This Agreement may be terminated by NYSE Arca or
FINRA at any time upon the approval of the Commission after one (1)
year's written notice to the other party, except as provided in
paragraph 4.
    13. Arbitration. In the event of a dispute between the parties as
to the operation of this Agreement, NYSE Arca and FINRA hereby agree
that any such dispute shall be settled by arbitration in Washington, DC
in accordance with the rules of the American Arbitration Association
then in effect, or such other procedures as the parties may mutually
agree upon. Judgment on the award rendered by the arbitrator(s) may be
entered in any court having jurisdiction. Each party acknowledges that
the timely and complete performance of its obligations pursuant to this
Agreement is critical to the business and operations of the other
party. In the event of a dispute between the parties, the parties shall
continue to perform their respective obligations under this Agreement
in good faith during the resolution of such dispute unless and until
this Agreement is terminated in accordance with its provisions. Nothing
in this Section 13 shall interfere with a party's right to terminate
this Agreement as set forth herein.
    14. Notification of Members. NYSE Arca and FINRA shall notify Dual
Members of this Agreement after the Effective Date by means of a
uniform joint notice.

    15. Amendment. This Agreement may be amended in writing duly
approved by each party. All such amendments must be filed with and
approved by the Commission before they become effective.
    16. Limitation of Liability. Neither FINRA nor NYSE Arca nor any of
their respective directors, governors, officers or employees shall be
liable to the other party to this Agreement for any liability, loss or
damage resulting from or claimed to have resulted from any delays,
inaccuracies, errors or omissions with respect to the provision of
Regulatory Responsibilities as provided hereby or for the failure to
provide any such responsibility, except with respect to such liability,
loss or damages as shall have been suffered by one or the other of
FINRA or NYSE Arca and caused by the willful misconduct of the other
party or their respective directors, governors, officers or employees.
No warranties, express or implied, are made by FINRA or NYSE Arca with
respect to any of the responsibilities to be performed by each of them
hereunder.
    17. Relief from Responsibility. Pursuant to Sections 17(d)(1)(A)
and 19(g) of the Exchange Act and Rule 17d-2 thereunder, FINRA and NYSE
Arca join in requesting the Commission, upon its approval of this
Agreement or any part thereof, to relieve NYSE Arca of any and all
responsibilities with respect to matters allocated to FINRA pursuant to
this Agreement; provided, however, that this Agreement shall not be
effective until the Effective Date.
    18. Severability. Any term or provision of this Agreement that is
invalid or unenforceable in any jurisdiction shall, as to such
jurisdiction, be ineffective to the extent of such invalidity or
unenforceability without rendering invalid or unenforceable the
remaining terms and provisions of this Agreement or affecting the
validity or enforceability of any of the terms or provisions of this
Agreement in any other jurisdiction.
    19. Counterparts. This Agreement may be executed in one or more
counterparts, each of which shall be deemed an original, and such
counterparts together shall constitute one and the same instrument.
    20. Separate Agreement. This Agreement is wholly separate from (1)
the multiparty Agreement made pursuant to Rule 17d-2 of the Securities
Exchange Act of 1934 between the NYSE American LLC, Cboe BZX Exchange,
Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe
Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory
Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, BOX
Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, Miami International
Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX
PEARL, LLC, and MIAX Emerald, LLC involving the allocation of
regulatory responsibilities with respect to common members for
compliance with common rules relating to the conduct by broker-dealers
of accounts for listed options or index warrants entered into on
February 12, 2019, and as may be amended from time to time or (2) the
multiparty Agreement made pursuant to Rule 17d-2 of the Exchange Act
among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX
Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq
ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca,
Inc., The NASDAQ Stock Market LLC, BOX Exchange LLC, NASDAQ BX, Inc.,
NASDAQ PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq
GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, and MIAX Emerald, LLC
approved by the Commission on February 11, 2019 involving options-
related market surveillance matters and such agreements as may be
amended from time to time.
* * * * *

Exhibit 1

NYSE ARCA Certification
NYSE Arca Rules Certification for 17d-2 Agreement With FINRA
    NYSE Arca, Inc. hereby certifies that the requirements contained in
the rules listed below are identical to, or substantially similar to
the comparable FINRA Rules and bylaws identified (``Common Rules'').
    # Common Rules shall not include provisions regarding (i) notice,
reporting or any other filings made directly to or from NYSE Arca, (ii)
incorporation by reference of other NYSE Arca Rules that are not Common
Rules (iii) exercise of discretion in a manner than differs from
FINRA's exercise of discretion including, but not limited to exercise
of exemptive authority, by NYSE Arca, (iv) prior written approval of
NYSE Arca, and (v) payment of fees or fines to NYSE Arca.

------------------------------------------------------------------------
        NYSE Arca Rule(s) \1\                    FINRA Rule(s)
------------------------------------------------------------------------
2.16 Responsibilities of Non-Resident  FINRA Rule 1021 Foreign Members.
 Firms .
2.1210 Registration Requirements ...  FINRA Rule 1210 Registration
                                        Requirements.
2.1220 Registration Categories \2\ .  FINRA Rule 1220(a)(1)-(4), (7),
                                        (8), (10), and (b)(1), (2) and
                                        (4), SM. 01-.06 Registration
                                        Categories.
2.1230 Associated Persons Exempt from  FINRA Rule 1230(a) and SM. 01,
 Registration.                          Associated Persons Exempt from
                                        Registration.
2.28 Books and Records .............  FINRA Rule 4511 General
                                        Requirements.*
11.1(b) Adherence to Law and Good      FINRA Rule 2010 Standards of
 Business Practice.                     Commercial Honor and Principals
                                        of Trade.*
11.2 Prohibited Acts ...............  FINRA Rule 2010 Standards of
                                        Commercial Honor and Principals
                                        of Trade,* FINRA Rule 1122
                                        Filing of Misleading Information
                                        as to Membership or
                                        Registration, and FINRA By-Laws
                                        Article XIII, Section 1.
11.10 Excessive Trading..............  FINRA Rule 6140(c) Other Trading
                                        Practices.
11.13 Disciplinary Action By Other     FINRA Rule 4530(a)(1)(A),
 Organizations .                       (a)(1)(C), (a)(1)(D) & (2)
                                        Reporting Requirements and FINRA
                                        By-Laws Article V, Section 2.
11.18 Supervision  \3\..............  FINRA Rule 3110(a), (b)(1) and
                                        (f) Supervision,* and FINRA Rule
                                        1220(a)(1)-(4), (7), (8), (10)
                                        Registration Categories.
11.19 Anti-Money Laundering            FINRA Rule 3310 Anti-Money
 Compliance Program .                  Laundering Compliance Program.
11.20 Miscellaneous Provisions(a)(1)   FINRA Rule 6140 Other Trading
 and (3).                               Practices.
------------------------------------------------------------------------

    NYSE Arca Equities Rule(s) \4\               FINRA Rule(s)
------------------------------------------------------------------------
2.24 Registration-Employees of ETP     FINRA Rule 1210 Registration
 Holders and Commentary .02  \5\.      Requirements, FINRA Rule 1010(a)
                                        and (c) Electronic Filing
                                        Requirements for Uniform Forms,
                                        and FINRA By-Laws Article V,
                                        Sec. 2 Application for
                                        Registration.

2.24(b), (c), and Commentary .03 and   FINRA Rule 1210 and SM .03, .07
 .05 Registration-Employees of ETP      and .08 Registration
 Holders .                             Requirements, and FINRA Rule
                                        1240 Continuing Education
                                        Requirements, and FINRA Rule
                                        1230(a) Associated Persons
                                        Exempt from Registration.
2.24(d) and Commentary .04 Continuing  FINRA Rule 1240 Continuing
 Education and 9.27-E(c) Continuing     Education Requirements.
 Education Requirements.
2.24(i) Registration-Employees of ETP  FINRA Rule 1010(e) Electronic
 Holders.                               Filing Requirements for Uniform
                                        Forms and FINRA By-Laws Article
                                        V, Section 3 Notification by
                                        Member to the Corporation and
                                        Associated Person of
                                        Termination; Amendments to
                                        Notification.
2.24(j) Registration-Employees of ETP  FINRA By-Laws Article V, Section
 Holders.                               2 Application for Registration.
5.2-E(h) Unit Investment Trusts        FINRA Rule 3260(c) Discretionary
 (``UITs'') Commentary .03 .           Accounts.
7.3-E(b) and (c) Commissions.........  FINRA Rule 2232 Customer
                                        Confirmations and SEA 10b-10.
9.1-E(a) Register with the Exchange   FINRA Rule 3110(a)(3) Supervisory
                                        System, SM .01 Registration of
                                        Main Office, and SM .02
                                        Designation of Additional OSJs,
                                        and FINRA By-Laws Article IV,
                                        Sec. 1(c) Application for
                                        Membership.
9.1-E(c) Office Supervision ........  FINRA Rule 3110(a) Supervision.*
9.1-E(d) ETP Holder shall at all       FINRA Rule 3110(a) Supervison.*
 times .
9.1-E(e)(2) and (3) Guarantees.......  FINRA Rule 2150(b) Improper use
                                        of Customers' Securities or
                                        Funds; Prohibitions Against
                                        Guarantees and Sharing in
                                        Accounts.
9.2-E(a) Diligence As To Accounts....  FINRA Rule 2090 Know Your
                                        Customer.\6\
9.2-E(a)(2) and (3) Diligence As To    FINRA Rule 2111 Suitability.
 Accounts.
9.2-E(b)(1) and (4) Account            FINRA Rule 3110 Supervision and
 Supervision.                           FINRA Rule 4511.*
9.2-E(c) Customer Records............  FINRA Rule 4512 Customer Account
                                        Information.* \7\
9.3-E(a) Employee Accounts...........  FINRA Rule 3210 Accounts at Other
                                        Broker-Dealers and Financial
                                        Institutions.\8\
9.3-E(b) ETP Holder Accounts.........  FINRA Rule 3210 Accounts at Other
                                        Broker-Dealers and Financial
                                        Institutions.
9.4-E Proxies Voting.................  FINRA Rule 2251(b) Processing and
                                        Forwarding of Proxies and Other
                                        Issuer-Related Materials.
9.5-E Solicitation Expense...........  FINRA Rule 2251(c) Processing and
                                        Forwarding of Proxies and Other
                                        Issuer-Related Materials.
9.6-E(a) Discretion as to Customers'   FINRA Rule 3260 Discretionary
 Accounts and 9.6-E(b) Records of       Accounts and FINRA Rule
 Discretionary Accounts.                4512(a)(3) Customer Account
                                        Information.*
9.6-E(c) Marking Discretionary Orders  FINRA Rule 3260 Discretionary
                                        Accounts.
9.7-E(b) Use of Customer Securities..  FINRA Rule 2150(a) Improper use
                                        of Customers' Securities or
                                        Funds; Prohibition Against
                                        Guarantees and Sharing in
                                        Accounts, and FINRA Rule 2010
                                        Standards of Commercial Honor
                                        and Principles of Trade.
9.7-E(c) Customer Protection--         FINRA 4330(b)(1)(A) Customer
 Reserves and Custody of Securities.    Protection--Permissible Use of
                                        Customers' Securities and SM .01
                                        Definitions.
9.7-E(d) Agreements for Use of         FINRA 4330(a)Customer Protection--
 Customer Securities.                   Permissible Use of Customers'
                                        Securities.
9.11-E Confirmations.................  Temporary Dual FINRA NYSE Member
                                        Rule 409T(b) Statements of
                                        Accounts to Customer.\9\
9.12-E COD Orders--Partial Delivery..  FINRA Rule 11860 COD Orders.
9.14-E Account Designation...........  FINRA Rule 4515 Approval and
                                        Documentation of Changes in
                                        Account Name or Designation.
9.15-E Statements of Account to        FINRA Rule 2231 Customer Account
 Customers.                             Statements.
9.16-O Statement or Notice on          FINRA Rule 2360(b)(15) Options,
 Interest.                              FINRA Rule 2231(a) Customer
                                        Account Statements.
9.18-E(h) Doing a Public Business in   FINRA Rule 2360(b)(13) Options.
 Options.
9.19-E Transfer of Accounts..........  FINRA Rule 11870 Customer Account
                                        Transfer Contracts.
9.20-E(b) Telemarketing..............  FINRA Rule 3230 Telemarketing.
9.27-E(a) and (b) Registration of      FINRA Rule 1220 Registration
 Representatives .                     Categories, FINRA Rule 1240
                                        Continuing Education
                                        Requirements, FINRA Rule 1010(d)
                                        Electronic Filing Requirements
                                        for Uniform Forms, and FINRA By-
                                        Laws Article V Registered
                                        Representatives and Associated
                                        Persons.
9.29-E Borrowing From or Lending to    FINRA Rule 3240 Borrowing From or
 Customers.                             Lending to Customers.
11.22 Trading Ahead of Research        FINRA Rule 5280 Trading Ahead of
 Reports.                               Research Reports.
9.2010-E Standards of Commercial       FINRA Rule 2010 Standards of
 Honor and Principles of Trade.         Commercial Honor and Principles
                                        of Trade.*
9.2020-E Use of Manipulative,          FINRA Rule 2020 Use of
 Deceptive or Other Fraudulent          Manipulative, Deceptive or Other
 Devices.                               Fraudulent Devices.*
9.2150-E Improper Use of Customers'    FINRA Rule 2150 Improper Use of
 Securities or Funds' Prohibition       Customers' Securities or Funds;
 Against Guarantees and Sharing in      Prohibition Against Guarantees
 Accounts.                              and Sharing in Accounts.
9.2262-E Disclosure of Control         FINRA Rule 2262 Disclosure of
 Relationship with Issuer.              Control Relationship with
                                        Issuer.
9.2269-E Disclosure of Participation   FINRA Rule 2269 Disclosure of
 or Interest in Primary or Secondary    Participation or Interest in
 Distribution.                          Primary or Secondary
                                        Distribution.
9.3220-E Influencing or Rewarding      FINRA Rule 3220 Influencing or
 Employees of Others.                   Rewarding Employees of Others.
9.3270-E Outside Business Activities   FINRA Rule 3270 Outside Business
 of Registered Persons.                 Activities of Registered
                                        Persons.
9.5320-E Prohibition Against trading   FINRA Rule 5320 Prohibition
 Ahead of Customer Orders.              Against Trading Ahead of
                                        Customer Orders.
9.5190-E Notification Requirements     FINRA Rule 5190 Notification
 for Offering Participants .           Requirements for Offering
                                        Participants.\10\
9.5210-E Publication of Transactions   FINRA Rule 5210 Publication of
 and Quotations.                        Transactions and Quotations.
6.7410-E Definitions.................  FINRA Rule 7410 Definitions.
6.7420-E Applicability...............  FINRA Rule 7420 Applicability.
6.7430-E Synchronization of ETP        FINRA Rule 4590 Synchronization
 Holder Business Clock .               of Member Business Clocks.

6.7440-E Recording of Order            FINRA Rule 7440 Recording of
 Information.                           Order Information.
6.7450-E Order Data Transmission       FINRA Rule 7450 Order Data
 Requirements.                          Transmission Requirements.
6.7460-E Violation of Order Audit      FINRA Rule 7460 Violation of
 Trail System Rules.                    Order Audit Trail System Rules.
6.7470-E Exemption to the Order        FINRA Rule 7470 Exemption to the
 Recording and Data Transmission        Order Recording and Data
 Requirements .                        Transmission Requirements.
------------------------------------------------------------------------

    NYSE Arca Options Rule(s) \11\               FINRA Rule(s)
------------------------------------------------------------------------
2.23(a) Registration--OTPs .........  FINRA Rule 1210 Registration
                                        Requirements, FINRA Rule 1010(a)
                                        and (c) Electronic Filing
                                        Requirements for Uniform Forms,
                                        and FINRA By-Laws Article V,
                                        Sec. 2 Application for
                                        Registration.
2.23(b)(1) and (3) Registration ....  FINRA Rule 1210 and SM .03 and
                                        .07 Registration Requirements,
                                        and FINRA Rule 1220(a)(2), (7)
                                        and (b)(2) Registration
                                        Categories.
2.23(c) and .04 Registration.........  FINRA Rule 1210 SM .03 and .08
                                        Registration Requirements.
2.23(d) and .03 Registration and 9.27- FINRA Rule 1240 Continuing
 O(c) Continuing Education              Education Requirements.
 Requirements.
2.23(j) Registration.................  FINRA By-Laws Article V, Section
                                        2 Application for Registration.
9.1-O(c) Office Supervision ........  FINRA Rule 3110(a) Supervision.*
9.1-O(d) OTP Holders ...............  FINRA Rule 3110(a) Supervision.*
9.2-O(c) Customer Records............  FINRA Rule 4512 Customer Account
                                        Information.\12\
9.3-O(a) Employee Accounts...........  FINRA Rule 3210 Accounts at Other
                                        Broker-Dealers and Financial
                                        Institutions.\10\
9.3-O(b) OTP Firms, OTP Holder         FINRA Rule 3210 Accounts at Other
 Accounts.                              Broker-Dealers and Financial
                                        Institutions.
9.4-O Proxies Voting.................  FINRA Rule 2251(b) Forward of
                                        Proxies and Other Issuer-Related
                                        Materials.
9.5-O Solicitation Expense...........  FINRA Rule 2251(c)(1)(b) Forward
                                        of Proxies and Other Issuer-
                                        Related Materials.
9.6-O(a) Discretion as to Customers'   FINRA Rule 3260 Discretionary
 Accounts and 9.6-O(b) Records of       Accounts and FINRA Rule
 Discretionary Accounts.                4512(a)(3) Customer Account
                                        Information.*
9.6-O(c) Marking Discretionary Orders  FINRA Rule 3260 Discretionary
                                        Accounts.
9.7-O(b) Use Customer Securities.....  FINRA Rule 2150(a) Improper Use
                                        of Customers' Securities or
                                        Funds Prohibition and FINRA Rule
                                        2010 Standards of Commercial
                                        Honor and Principles of Trade.
9.7-O(c) Customer Protection--         FINRA Rule 4330(b)(1)(A) Customer
 Reserves and Customer's Securities.    Protection--Permissible Use of
                                        Customers' Securities and SM .01
                                        Definitions.
9.7-O(d) Agreements for Use of         FINRA Rule 4330(a) Customer
 Customer Securities.                   Protection--Permissible Use of
                                        Customers' Securities.
9.11-O Confirmations.................  Temporary Dual FINRA NYSE Member
                                        Rule 409T(b) Statements of
                                        Accounts to Customers.\11\
9.12-O COD Orders--Partial Delivery..  FINRA Rule 11860 COD Orders.
9.14-O Account Designation...........  FINRA Rule 4515 Approval and
                                        Documentation of Changes in
                                        Account Name or Designation.
9.15-O Statements of Accounts to       FINRA Rule 2231 Customer Account
 Customers .                           Statements.
9.16-O Statement or Notice on          FINRA Rule 2360(b)(15) Options,
 Interest.                              FINRA Rule 2231(a) Customer
                                        Account Statements.
9.18-O(h) Doing a Public Business in   FINRA Rule 2360(b)(13) Options.
 Options.
9.19-O Transfer of Accounts..........  FINRA Rule 11870 Customer Account
                                        Transfer Contracts.
9.20-O(b) Telemarketing..............  FINRA Rule 3230 Telemarketing.
9.29-O Borrowing From or Lending to    FINRA Rule 3240 Borrowing From or
 Customers.                             Lending to Customers.
------------------------------------------------------------------------
\1\ The rules in this section apply to ETP Holders, OTP Holders and OTP
  Firms, where applicable.
\2\ FINRA shall not have Regulatory Responsibilities for Rule
  2.1220(a)(4)(B) to the extent FINRA exempts a member from the
  requirement to have a Financial and Operations Principal.
\3\ FINRA shall not have Regulatory Responsibilities regarding NYSE Arca
  Rule 11.18(d).
\4\ The rules in this section apply specifically to ETP Holders.
\5\ This Certification only applies to the first two sentences of Rule
  2.24, which are not enumerated, and Commentary .02. Certifications to
  other parts of Rule 2.24 appear elsewhere in this Exhibit.
\6\ FINRA's requirements do not include an exercise of due diligence as
  to every order.
\7\ FINRA shall not have Regulatory Responsibilities for NYSE Arca Rule
  9.2-E(c) Commentary .01-.03 as it relates to institutional accounts
  and responsibility for such rule shall remain with NYSE Arca.
\8\ FINRA shall not have any Regulatory Responsibilities with respect to
  employees of NYSE Arca.
\9\ FINRA shall only have Regulatory Responsibilities to the extent the
  Common Member is subject to FINRA's Temporary Dual FINRA-NYSE Member
  Rule.
\10\ FINRA shall not have Regulatory Responsibilities for NYSE Arca Rule
  5190-E(e).
\11\ The rules in this section apply specifically to OTP Holders.
\12\ FINRA shall not have Regulatory Responsibilities for NYSE Arca Rule
  9.2-O(c) Commentary .01-.03 as it relates to institutional accounts
  and responsibility for such rule shall remain with NYSE Arca.
* FINRA shall not have any Regulatory Responsibilities for these rules
  as they pertain to violations insider trading activities, which is
  covered by a separate 17d-2 Agreement by and among Cboe BZX Exchange,
  Inc., Cboe BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange,
  Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory
  Authority, Inc., MEMX LLC, MIAX Pearl, LLC, Nasdaq BX, Inc., Nasdaq
  PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York
  Stock Exchange LLC, NYSE American LLC, NYSE Arca Inc., Investors'
  Exchange LLC and Long-Term Stock Exchange, Inc. effective September
  23, 2020, as may be amended from time to time.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number 4-523 on the subject line.

Paper Comments

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

All submissions should refer to File Number 4-523. This file number
should be included on the subject line if email is used. To help the
Commission process and review your comments more efficiently, please
use only one method. The Commission will post all comments on the
Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed plan that are filed with the
Commission, and all written communications relating to the proposed
plan between the Commission and any person, other than those that may
be withheld from the public in accordance with the provisions of 5
U.S.C. 552, will be available for website viewing and printing in the
Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the plan also will be available for inspection and
copying at the principal offices of FINRA and NYSE Arca. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number 4-523 and should be submitted on or before
February 19, 2021.

V. Discussion

    The Commission finds that the proposed Amended Plan is consistent
with the factors set forth in Section 17(d) of the Act \13\ and Rule
17d-2(c) thereunder \14\ in that the proposed Amended Plan is necessary
or appropriate in the public interest and for the protection of
investors, fosters cooperation and coordination among SROs, and removes
impediments to and fosters the development of the national market
system. In particular, the Commission believes that the proposed
Amended Plan should reduce unnecessary regulatory duplication by
allocating to FINRA certain examination and enforcement
responsibilities for Common Members that would otherwise be performed
by both FINRA and NYSE Arca. Accordingly, the proposed Amended Plan
promotes efficiency by reducing costs to Common Members. Furthermore,
because NYSE Arca and FINRA will coordinate their regulatory functions
in accordance with the Amended Plan, the Amended Plan should promote
investor protection.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78q(d).
    \14\ 17 CFR 240.17d-2(c).
---------------------------------------------------------------------------

    The Commission notes that, under the Amended Plan, NYSE Arca and
FINRA have allocated regulatory responsibility for those NYSE Arca
rules, set forth in the Certification, that are substantially similar
to the applicable FINRA rules in that examination for compliance with
such provisions and rules would not require FINRA to develop one or
more new examination standards, modules, procedures, or criteria in
order to analyze the application of the rule, or a Common Member's
activity, conduct, or output in relation to such rule. In addition,
under the Amended Plan, FINRA would assume regulatory responsibility
for certain provisions of the federal securities laws and the rules and
regulations thereunder that are set forth in the Certification. The
Common Rules covered by the Amended Plan are specifically listed in the
Certification, as may be amended by the Parties from time to time.
    According to the Amended Plan, NYSE Arca will review the
Certification at least annually, or more frequently if required by
changes in either the rules of NYSE Arca or FINRA, and, if necessary,
submit to FINRA an updated list of Common Rules to add NYSE Arca rules
not included on the then-current list of Common Rules that are
substantially similar to FINRA rules; delete NYSE Arca rules included
in the then-current list of Common Rules that no longer qualify as
common rules; and confirm that the remaining rules on the list of
Common Rules continue to be NYSE Arca rules that qualify as common
rules.\15\ FINRA will then confirm in writing whether the rules listed
in any updated list are Common Rules as defined in the Amended Plan.
Under the Amended Plan, NYSE Arca also will provide FINRA with a
current list of Common Members and will update the list no less
frequently than once each quarter.\16\ The Commission believes that
these provisions are designed to provide for continuing communication
between the Parties to ensure the continued accuracy of the scope of
the proposed allocation of regulatory responsibility.
---------------------------------------------------------------------------

    \15\ See paragraph 2 of the Amended Plan.
    \16\ See paragraph 3 of the Amended Plan.
---------------------------------------------------------------------------

    The Commission is hereby declaring effective an Amended Plan that,
among other things, allocates regulatory responsibility to FINRA for
the oversight and enforcement of all NYSE Arca rules that are
substantially similar to the rules of FINRA for Common Members of NYSE
Arca and FINRA. Therefore, modifications to the Certification need not
be filed with the Commission as an amendment to the Amended Plan,
provided that the Parties are only adding to, deleting from, or
confirming changes to NYSE Arca rules in the Certification in
conformance with the definition of Common Rules provided in the Amended
Plan. However, should the Parties decide to add a NYSE Arca rule to the
Certification that is not substantially similar to a FINRA rule; delete
a NYSE Arca rule from the Certification that is substantially similar
to a FINRA rule; or leave on the Certification a NYSE Arca rule that is
no longer substantially similar to a FINRA rule, then such a change
would constitute an amendment to the Amended Plan, which must be filed
with the Commission pursuant to Rule 17d-2 under the Act.\17\
---------------------------------------------------------------------------

    \17\ The addition to or deletion from the Certification of any
federal securities laws, rules, and regulations for which FINRA
would bear responsibility under the Amended Plan for examining, and
enforcing compliance by, Common Members, also would constitute an
amendment to the Amended Plan.
---------------------------------------------------------------------------

    Under paragraph (c) of Rule 17d-2, the Commission may, after
appropriate notice and comment, declare a plan, or any part of a plan,
effective. In this instance, the Commission believes that appropriate
notice and comment can take place after the proposed amendment is
effective. The primary purpose of the amendment is to remove Regulation
SHO from the Certification. The Commission notes that the prior version
of this plan immediately prior to this proposed amendment was published
for comment and the Commission did not receive any comments
thereon.\18\ Furthermore, the Commission does not believe that the
amendment to the plan raises any new

regulatory issues that the Commission has not previously considered.
---------------------------------------------------------------------------

    \18\ See supra note 12 (citing to Securities Exchange Act
Release No. 55505).
---------------------------------------------------------------------------

VI. Conclusion

    This order gives effect to the Amended Plan filed with the
Commission in File No. 4-523. The Parties shall notify all members
affected by the Amended Plan of their rights and obligations under the
Amended Plan.
    It is therefore ordered, pursuant to Section 17(d) of the Act, that
the Amended Plan in File No. 4-523, between the FINRA and NYSE Arca,
filed pursuant to Rule 17d-2 under the Act, hereby is approved and
declared effective.
    It is further ordered that NYSE Arca is relieved of those
responsibilities allocated to FINRA under the Amended Plan in File No.
4-523.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\19\
---------------------------------------------------------------------------

    \19\ 17 CFR 200.30-3(a)(34).
---------------------------------------------------------------------------

J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-01941 Filed 1-28-21; 8:45 am]
BILLING CODE 8011-01-P


Comment Info: =================

General Comment:Dear Mr. Zeller:

I am writing as an individual consumer to request an extension of the comment period for the Food and
Drug Administration's ("FDA") Proposed Rule Deeming Tobacco Propducts to be Subject to the
Federal Food, Drug, and Cosmetic Act, as amended by the Family Smoking and Prevention and
Tobacco Control Act (the "Proposed Rule") published at 79 Fed. Reg. 23,142 and Federal Register
No. 2014-09491.  I would like to request that the comment period for the Proposed Rule be extended
by the FDA for an additional 105 days, from its current 75-day period, to 180 days.

The Proposed Rule raises a number of significant issues and questions that are important and
relevant to me, as a consumer of products that are proposed for regulation under the Proposed Rule.
The Proposed Rule asks about a hundred different questions I might want to respond to.  I want to
provide my thoughts and comments on many of these issues, but my time to devote to researching
and providing thoughtful comments on these important questions is limited.  I have already spent hours
researching and dissecting these issues, but they take time.  I know that the FDA took many years to
even come up with the Proposed Rule, so I do not think it is at all unreasonable to allow the public a
mere six months to comment on it.  This is our only opportunity, as consumers, to provide our feedback.

I feel very strongly about e-cigarettes as an alternative to combustible cigarettes.  Quite simply, I
firmly believe that they saved my life.  I wish to provide you with my personal story, as well as science-
and evidence-based responses to your questions so that you can take my comment into account.  I
realize that the FDA has the authority under 21 CFR 10.40 to extend this time frame and that the FDA
has exercised this authority on numerous occasions in the past.  I would therefore ask that you do so
here, so that all stakeholders have the opportunity to provide their comments on this proposed
regulation.

I appreciate your consideration of my request and am happy to discuss this issue with you  further.

Sincerely
Shannon Brown


Meeting attendees:
[CAMD -- EPA's Clean Air Markets Division, GE-- General Electric]

Sam Napolitano [CAMD, Division Director]
Michael Cohen [CAMD, Environmental Scientist]
Jerry Polacek [GE]
Chet Thompson [Crowell & Moring]
Matt Hill [Edison International, Manager, Federal Affairs]
Jack Campbell [GE Commercial Finance, Director, Environmental Programs]
Jerry Eyster [GE Energy Financial Services, Senior Vice President, Investment Strategy]
Claudia O'Brien [Latham & Watkins for Edison International]
Robert Meyers [Crowell & Moring]
Linda Stuntz [Stuntz, Davis & Staffier]
James Shapiro [GE]
Kyle Mulhall [Gephardt Government Affairs for GE]
Erica Bowman [Edison Mission Marketing & Trading]

On April 12, 2011 representatives of General Electric (GE) and Edison International met with representatives of EPA's Clean Air Markets Division (CAMD) between 3:00 and 4:30 EST at EPA's 1310 L Street offices.  At this meeting GE and Edison International and their representatives went over their comments on the NODA to the Proposed Transport Rule submitted February 7, 2011.  No new comments were submitted.