[Federal Register Volume 76, Number 178 (Wednesday, September 14, 2011)]
[Rules and Regulations]
[Pages 56640-56641]
[FR Doc No: 2011-23463]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2011-0091]
RIN 1625-AA00

Safety Zone; Chicago Harbor, Navy Pier Southeast, Chicago, IL

AGENCY: Coast Guard, DHS.

ACTION: Notice of enforcement of regulation.

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SUMMARY: The Coast Guard will enforce the regulations found in 33 CFR
165.931 for Navy Pier Fireworks in Chicago, Illinois. This event occurs
in the Captain of the Port, Sector Lake Michigan's zone from September
10, 2011 through October 29, 2011. This action is necessary and
intended to ensure safety of life on the navigable waters of the United
States immediately prior to, during, and immediately after fireworks
events. During the aforementioned period, restrictions will be enforced
upon, and control movement of, vessels in a specified area immediately
prior to, during, and immediately after fireworks events. During the
enforcement period, no person or vessel may enter the safety zones
without permission of the Captain of the Port, Sector Lake Michigan.

DATES: The regulations in 33 CFR 165.931 will be enforced at various
times and on various dates between 9:15 on September 10, 2011 to 9:15
p.m. October 29, 2011.

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice,
call or e-mail BM1 Adam Kraft, Prevention Department, Coast Guard
Sector Lake Michigan, Milwaukee, WI at<PHONE_NUMBER>, e-mail
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Coast Guard will enforce the Safety
Zone; Chicago Harbor, Navy Pier Southeast, Chicago, IL listed in 33 CFR
165.931 for the following events:
    (1) Navy Pier Fireworks; on September 10, 2011 from 9:15 p.m.
through 10:30 p.m.; on September 21 from 8:45 p.m. through 9:20 p.m.;
October 1, 2011 from 8:45 p.m. through 9:15 p.m.; on October 8, 2011
from 8:45 p.m. through 9:15 p.m.; on October 15, 2011 from 8:45 p.m.
through 9:15 p.m.; on October 22, 2011 from 8:45 p.m. through 9:15
p.m.; and on October 29, 2011 from 8:45 p.m. through 9:15 p.m.
    All vessels must obtain permission from the Captain of the Port,
Sector Lake Michigan, or his or her on-scene representative to enter,
move within or exit the safety zone. Vessels and persons granted
permission to enter the safety zone shall obey all lawful orders or
directions of the Captain of the Port, Sector Lake Michigan, or his or
her on-scene representative. While within a safety zone, all vessels
shall operate at the minimum speed necessary to maintain a safe course.
    This notice is issued under authority of 33 CFR 165.931 and 5
U.S.C. 552(a). In addition to this notice in the Federal Register, the
Coast Guard will provide the maritime community with advance
notification of these enforcement periods via broadcast Notice to
Mariners or Local Notice to Mariners. The Captain of the Port, Sector
Lake Michigan, will issue a Broadcast Notice to Mariners notifying the
public when enforcement of the safety zone established by this section
is suspended. If the Captain of the Port, Sector Lake Michigan,
determines that the safety zone need not be enforced for the full
duration stated in this notice, he or she may use a Broadcast Notice to
Mariners to grant general permission to enter the safety zone. The
Captain of the Port, Sector Lake Michigan, or his or her on-scene
representative may be contacted via VHF Channel 16.

    Dated: August 31, 2011.
M.W. Sibley,
Captain, U.S. Coast Guard, Captain of the Port Lake Michigan.
[FR Doc. 2011-23463 Filed 9-13-11; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 78, Number 68 (Tuesday, April 9, 2013)]
[Notices]
[Pages 21134-21135]
[FR Doc No: 2013-08162]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

[Docket No. USCG-2011-1114]

Merchant Mariner Medical Advisory Committee; Vacancy

AGENCY: United States Coast Guard, DHS.

ACTION: Request for applications.

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SUMMARY: The United States Coast Guard is requesting applications from
qualified candidates seeking consideration for appointment as members
to the Merchant Mariner Medical Advisory Committee (MEDMAC). MEDMAC
provides advice to the United States Coast Guard on matters related to
medical certification determinations for issuance of licenses,
certificates of registry, and merchant mariners' documents; medical
standards and guidelines for the physical qualifications of operators
of commercial vessels; medical examiner education; and medical
research.

DATES: Applicants must send a cover letter describing their interest,
reasons for application, and qualifications, and should enclose a
complete professional biography or resume to LT Ashley Holm, the
Alternate Designated Federal Officer (ADFO). Applications will be
accepted from the time the notice is published until May 29, 2013.

ADDRESSES: Applicants must send their cover letter and resume to the
following address: USCG Headquarters, CG-CVC Office of Commercial
Vessel Compliance, ATTN: MEDMAC, 2100 2nd Street SW., Washington, DC
20593;

or by faxing<PHONE_NUMBER>; or by emailing to<EMAIL_ADDRESS>
FOR FURTHER INFORMATION CONTACT: Lieutenant Ashley Holm, ADFO of MEDMAC
at telephone<PHONE_NUMBER> or email to<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Merchant Mariner Medical Advisory
Committee (MEDMAC) is an advisory committee chartered under the Federal
Advisory Committee Act, 5 U.S.C. App. (Pub L. 92-463). The MEDMAC is
authorized under Title 46, United States Code, Section 7115, as amended
by section 210 of the Coast Guard Authorization Act of 2010 (Pub. L.
111-281.) The Committee's purpose is to advise the Secretary on matters
related to medical certification determinations for issuance of
licenses, certificates of registry, and merchant mariners' documents;
medical standards and guidelines for the physical qualifications of
operators of commercial vessels; medical examiner education; and
medical research.
    The Committee is expected to meet at least twice a year at various
locations around the country. It may also meet intercessionally for
extraordinary purposes. Working groups may also meet to consider
specific tasks as required.
    We will consider applications for three positions that expire on
August 8, 2013 and one position that became vacant on February 20,
2013.
    (a) Two professional mariners with knowledge and experience in
mariner occupational requirements.
    (b) Two health care professionals with particular expertise,
knowledge, or experience regarding medical examinations of merchant
mariners or occupational medicine.
    The members appointed will serve a term of office of 5 years.
However, due to a professional mariner resignation, when appointed, one
professional mariner will fill the unexpired term that expires on
August 8, 2016. The members may be considered to serve consecutive
terms. All members serve without compensation from the Federal
Government; however, members may be reimbursed for travel and per diem
depending on fiscal budgetary constraints.
    Members of MEDMAC will be appointed and serve as Special Government
Employees (SGEs) as defined in section 202(a) of title 18 of the United
States Code. As candidates for appointment as SGEs, applicants are
required to complete Confidential Financial Disclosure Reports (OGE
Form 450). Applicants can obtain this form by going to the Web site of
the Office of Government Ethics (www.oge.gov), or by contacting the
ADFO. Applications which are not accompanied by a completed OGE Form
450 will not be considered.
    Registered lobbyists are not eligible to serve on federal advisory
committees. Registered lobbyists are lobbyists required to comply with
the provisions contained in the Lobbying Disclosure Act of 1995 (Pub.
L. 104-65 as amended).
    The Department of Homeland Security (DHS) does not discriminate in
employment on the basis of race, color, religion, sex, national origin,
political affiliation, sexual orientation, gender identity, marital
status, disability and genetic information, age, membership in an
employee organization, or any other non-merit factor.
    If you are interested in applying for membership of the Committee,
send your cover letter and resume to LT Ashley Holm, ADFO of MEDMAC by
mail, fax, or email according to the instructions in the ADDRESSES
section of this notice.
    This notice is available in our online docket, USCG-2011-1114, at
http://www.regulations.gov by inserting USCG-2011-1114 in the
``Search'' box, and then clicking ``Search''. Please do not post your
resume on this site. During the vetting process, the applicants may be
asked by the White House Liaison Office, through the Coast Guard, to
provide their date of birth and social security number.

    Dated: April 1, 2013.
P.F. Thomas,
Captain, U.S. Coast Guard, Director of Inspections and Compliance.
[FR Doc. 2013-08162 Filed 4-8-13; 8:45 am]
BILLING CODE 9110-04-P


			  UNITED STATES OF AMERICA

		        DEPARTMENT OF TRANSPORTATION

			  OFFICE OF THE SECRETARY

			          WASHINGTON, D.C.

Issued by the Department of Transportation on May 30, 2003

NOTICE OF ACTION TAKEN -- DOCKET OST 2003-15252

________________________________________________________________________
________________________________________________________

This serves as notice to the public of the action described below, taken
by the Department official indicated (no additional confirming order
will be issued in this matter).

Joint Applicants:  AEROVIAS de MEXICO, S.A. de C.V. and DELTA AIR LINES,
INC.

Date Filed:  May 22, 2003

Relief requested:  Exemption under 49 U.S.C. 40109 to permit AEROMEXICO
to conduct, for a period of one year, scheduled foreign air
transportation of persons, property, and mail, between:  1) Mexico City,
Mexico, and Ft. Lauderdale, Florida; and 2) Monterrey, Mexico, and
Orlando, Florida.

Exemption under 49 U.S.C. 40109 to permit DELTA to conduct, for a period
of two years, scheduled foreign air transportation of persons, property,
and mail, between:  1) Mexico City, Mexico, and Ft. Lauderdale, Florida;
and 2) Monterrey, Mexico, and Orlando, Florida, and to combine this
exemption authority with all of its existing certificate and exemption
authority, consistent with international agreements.

Statement of Authorization under 14 CFR Part 212 to permit AEROMEXICO to
carry DELTA’s code, for an indefinite duration, on flights operated by
AEROMEXICO between:  1) Mexico City, Mexico, and Ft. Lauderdale,
Florida; and 2) Monterrey, Mexico, and Orlando, Florida.

If renewal, date and citation of last action:  New authority.

Applicants’ representatives:  Robert E. Cohn (Delta/202-663-8060) &
William C. Evans (AeroMexico/202-371-6030)

DOT analyst:  Allen F. Brown,<PHONE_NUMBER>

Responsive pleadings:  None.

	DISPOSITION

Action:  Approved, subject to conditions (see below).
                                       Action date:  May 30, 2003

Effective dates of authority granted:  The exemption authority granted
to AeroMexico is effective May 30, 2003, through May 30, 2004.  The
exemption authority granted to Delta is effective May 30, 2003, through
May 30, 2005.  The Statement of Authorization granted to AeroMexico is
effective May 30, 2003, for an indefinite duration.

Basis for approval:  The authority granted is consistent with the United
States-Mexico Air Transport Services Agreement of August 15, 1960, as
amended and extended.

Conditions:  Except to the extent exempted or waived, the exemption
authority granted to AeroMexico is subject to the terms, conditions, and
limitations of our Foreign Air Carrier Standard Exemption Conditions.

Except to the extent exempted or waived, the exemption authority granted
to Delta is subject to the terms, conditions, and limitations of
Delta’s certificates of public convenience and necessity and of our
U.S. Carrier Standard Exemption Conditions.  Also, this authority is
subject to the dormancy notice requirements set forth in condition 7 of
Appendix A of Order 88-10-2, and is limited to operations conducted on a
code-share basis only.  The root integration authority granted to Delta
is subject to the condition that any service provided under this
exemption shall be consistent with all applicable agreements between the
United States and the foreign countries involved.  Furthermore, a)
nothing in the award of the route integration granted should be
construed as conferring upon Delta rights (including fifth-freedom
intermediate and/or beyond rights) to serve markets where U.S. carrier
entry is limited unless Delta notifies the Department of its

intent to serve such a market and unless and until the Department has
completed any necessary carrier selection procedures to determine which
carrier(s) should be authorized to exercise such rights; and b) should
there be a request by any such carrier to use the limited-entry route
rights that are included in Delta’s authority by virtue of the route
integration authority granted here, but that are not then being used by
Delta, the holding of such authority by route integration will not be
considered as providing any preference for Delta in a competitive
carrier selection proceeding to determine which carrier(s) should be
entitled to use the authority at issue.

The code-share authority that we granted to AeroMexico is subject to the
following conditions:  1) This Statement of Authorization will remain in
effect only as long as AeroMexico and Delta continue to hold the
necessary underlying authority to operate the code-share services at
issue and their code-share agreement providing for these operations
remains in effect.  2) AeroMexico and/or Delta must promptly notify the
Department (Office of International Aviation) if the subject agreement
providing for these operations is no longer effective or the carriers
decide to cease operating any or all of the approved services.  (We
expect this notice to be received within ten days of such
noneffectiveness or of such decision and filed in Docket 2003-15252).
3) The code-share operations conducted under this authority must comply
with 14 CFR Part 257 and with any amendments to the Department’s
regulations concerning code-share arrangements that may be adopted.  4)
Notwithstanding any provisions in the contract between the subject
carriers, our approval here is expressly conditioned upon the
requirements that the subject foreign air transportation be sold in the
name of the carrier holding out the service in computer reservation
systems and elsewhere; that the carrier selling such transportation
(that is, the carrier shown on the ticket) accept responsibility for the
entirety of the code-share journey for all obligations established in
its contract of carriage with the passenger; and that the passenger
liability of the operating carrier be unaffected.  5) The operating
carrier shall not permit the code of its U.S. code-share partner to be
carried on any flight that enters, departs, or transits the airspace of
any area for whose airspace the Federal Aviation Administration has
issued a flight prohibition.  6) The code-share authority granted here
is specifically conditioned so that neither carrier shall give any force
or effect to any contractual provisions between themselves that are
contrary to these conditions.

Action taken by:   Paul L. Gretch, Director

		      Office of International Aviation

________________________________________________________________________
_______________________________________________________

Under authority assigned by the Department in its regulations, 14 CFR
Part 385, we found that (1) our action was consistent with Department
policy; (2) grant of the authority was consistent with the public
interest; and (3) grant of the authority would not constitute a major
regulatory action under the Energy Policy and Conservation Act of 1975.
To the extent not granted/deferred/dismissed, we denied all requests in
the referenced Docket.  We may amend, modify, or revoke the authority
granted in this Notice at any time without hearing at our discretion.

Persons entitled to petition the Department for review of the action set
forth in this Notice under the Department’s regulations, 14 CFR
§385.30, may file their petitions within seven (7) days after the date
of issuance of this Notice.  This action was effective when taken, and
the filing of a petition for review will not alter such effectiveness.

An electronic version of this document is available on the World Wide
Web at:

http://dms.dot.gov//reports/reports_aviation愮灳

c


dissolution, or has contributed, 25 percent or more of the capital.
    (2) Person associated with a security-based swap data repository
means:
    (i) Any partner, officer, or director of such security-based swap
data repository (or any person occupying a similar status or performing
similar functions);
    (ii) Any person directly or indirectly controlling, controlled by,
or under common control with such security-based swap data repository;
or
    (iii) Any employee of such security-based swap data repository.
    (b) A registered security-based swap data repository may withdraw
from registration by filing a notice of withdrawal with the Commission.
The security-based swap data repository shall designate on its notice
of withdrawal a person associated with the security-based swap data
repository to serve as the custodian of the security-based swap data
repository's books and records. Prior to filing a notice of withdrawal,
a security-based swap data repository shall file an amended Form SDR
(17 CFR 249.1500) to update any inaccurate information.
    (c) A notice of withdrawal from registration filed by a security-
based swap data repository shall become effective for all matters
(except as provided in this paragraph (c)) on the 60th day after the
filing thereof with the Commission, within such longer period of time
as to which such security-based swap data repository consents or which
the Commission, by order, may determine as necessary or appropriate in
the public interest or for the protection of investors, or within such
shorter period of time as the Commission may determine.
    (d) A notice of withdrawal that is filed pursuant to this section
shall be considered a ``report'' filed with the Commission for purposes
of Sections 18(a) and 32(a) of the Act (15 U.S.C. 78r(a) and 78ff(a))
and the rules and regulations thereunder and other applicable
provisions of the United States Code and the rules and regulations
thereunder.
    (e) If the Commission finds, on the record after notice and
opportunity for hearing, that any registered security-based swap data
repository has obtained its registration by making any false and
misleading statements with respect to any material fact or has violated
or failed to comply with any provision of the federal securities laws
and the rules and regulations thereunder, the Commission, by order, may
revoke the registration. Pending final determination of whether any
registration shall be revoked, the Commission, by order, may suspend
such registration, if such suspension appears to the Commission, after
notice and opportunity for hearing on the record, to be necessary or
appropriate in the public interest or for the protection of investors.
    (f) If the Commission finds that a registered security-based swap
data repository is no longer in existence or has ceased to do business
in the capacity specified in its application for registration, the
Commission, by order, may cancel the registration.

Sec.  240.13n-3  Registration of successor to registered security-based
swap data repository.

    (a) In the event that a security-based swap data repository
succeeds to and continues the business of a security-based swap data
repository registered pursuant to Section 13(n) of the Act (15 U.S.C.
78m(n)), the registration of the predecessor shall be deemed to remain
effective as the registration of the successor if, within 30 days after
such succession, the successor files an application for registration on
Form SDR (17 CFR 249.1500), and the predecessor files a notice of
withdrawal from registration with the Commission; provided, however,
that the registration of the predecessor security-based swap data
repository shall cease to be effective 90 days after the application
for registration on Form SDR is filed by the successor security-based
swap data repository.
    (b) Notwithstanding paragraph (a) of this section, if a security-
based swap data repository succeeds to and continues the business of a
registered predecessor security-based swap data repository, and the
succession is based solely on a change in the predecessor's date or
state of incorporation, form of organization, or composition of a
partnership, the successor may, within 30 days after the succession,
amend the registration of the predecessor security-based swap data
repository on Form SDR to reflect these changes. This amendment shall
be deemed an application for registration filed by the predecessor and
adopted by the successor.

Sec.  240.13n-4  Duties and core principles of security-based swap data
repository.

    (a) Definitions. For purposes of this section--
    (1) Affiliate of a security-based swap data repository means a
person that, directly or indirectly, controls, is controlled by, or is
under common control with the security-based swap data repository.
    (2) Board means the board of directors of the security-based swap
data repository or a body performing a function similar to the board of
directors of the security-based swap data repository.
    (3) Control (including the terms controlled by and under common
control with) means the possession, direct or indirect, of the power to
direct or cause the direction of the management and policies of a
person, whether through the ownership of voting securities, by
contract, or otherwise. A person is presumed to control another person
if the person:
    (i) Is a director, general partner, or officer exercising executive
responsibility (or having similar status or functions);
    (ii) Directly or indirectly has the right to vote 25 percent of
more of a class of voting securities or has the power to sell or direct
the sale of 25 percent or more of a class of voting securities; or
    (iii) In the case of a partnership, has the right to receive, upon
dissolution, or has contributed, 25 percent or more of the capital.
    (4) Director means any member of the board.
    (5) Direct electronic access means access, which shall be in a form
and manner acceptable to the Commission, to data stored by a security-
based swap data repository in an electronic format and updated at the
same time as the security-based swap data repository's data is updated
so as to provide the Commission or any of its designees with the
ability to query or analyze the data in the same manner that the
security-based swap data repository can query or analyze the data.
    (6) End-user means any counterparty to a security-based swap that
is described in Section 3C(g)(1) of the Act (15 U.S.C. 78c-3(g)(1)) and
the rules and regulations thereunder.
    (7) Market participant means any person participating in the
security-based swap market, including, but not limited to, security-
based swap dealers, major security-based swap participants, and any
other counterparties to a security-based swap transaction.
    (8) Nonaffiliated third party of a security-based swap data
repository means any person except:

    (i) The security-based swap data repository,
    (ii) Any affiliate of the security-based swap data repository, or
    (iii) A person employed by a security-based swap data repository
and any entity that is not the security-based swap data repository's
affiliate (and ``nonaffiliated third party'' includes such entity that
jointly employs the person).
    (9) Person associated with a security-based swap data repository
means:
    (i) Any partner, officer, or director of such security-based swap
data repository (or any person occupying a similar status or performing
similar functions);
    (ii) Any person directly or indirectly controlling, controlled by,
or under common control with such security-based swap data repository;
or
    (iii) Any employee of such security-based swap data repository.
    (b) Duties. To be registered, and maintain registration, as a
security-based swap data repository, a security-based swap data
repository shall:
    (1) Subject itself to inspection and examination by the Commission;
    (2) Accept data as prescribed in Regulation SBSR for each security-
based swap;
    (3) Confirm, as prescribed in Rule 13n-5, with both counterparties
to the security-based swap the accuracy of the data that was submitted;
    (4) Maintain, as prescribed in Rule 13n-5, the data described in
Regulation SBSR in such form, in such manner, and for such period as
provided therein and in the Act and the rules and regulations
thereunder;
    (5) Provide direct electronic access to the Commission (or any
designee of the Commission, including another registered entity);
    (6) Provide the information described in Regulation SBSR in such
form and at such frequency as prescribed in Regulation SBSR to comply
with the public reporting requirements set forth in Section 13(m) of
the Act (15 U.S.C. 78m(m)) and the rules and regulations thereunder;
    (7) At such time and in such manner as may be directed by the
Commission, establish automated systems for monitoring, screening, and
analyzing security-based swap data;
    (8) Maintain the privacy of any and all security-based swap
transaction information that the security-based swap data repository
receives from a security-based swap dealer, counterparty, or any
registered entity as prescribed in Rule 13n-9;
    (9) On a confidential basis, pursuant to Section 24 of the Act (15
U.S.C. 78x) and the rules and regulations thereunder, upon request, and
after notifying the Commission of the request, make available all data
obtained by the security-based swap data repository, including
individual counterparty trade and position data, to the following:
    (i) Each appropriate prudential regulator, as defined in Section
3(a)(74) of the Act (15 U.S.C. 78c(a)(74));
    (ii) The Financial Stability Oversight Council;
    (iii) The Commodity Futures Trading Commission;
    (iv) The Department of Justice; and
    (v) The Federal Deposit Insurance Corporation and any other person
that the Commission determines to be appropriate, including, but not
limited to--
    (A) Foreign financial supervisors (including foreign futures
authorities);
    (B) Foreign central banks; and
    (C) Foreign ministries;
    (10) Before sharing information with any entity described in
paragraph (b)(9) of this section, obtain a written agreement from each
entity stating that the entity shall abide by the confidentiality
requirements described in Section 24 of the Act (15 U.S.C. 78x) and the
rules and regulations thereunder relating to the information on
security-based swap transactions that is provided, and each entity
shall agree to indemnify the security-based swap data repository and
the Commission for any expenses arising from litigation relating to the
information provided under Section 24 of the Act (15 U.S.C. 78x) and
the rules and regulations thereunder; and
    (11) Designate an individual to serve as a chief compliance officer
who shall comply with Rule 13n-11.
    (c) Compliance with core principles. A security-based swap data
repository shall comply with the core principles as described in this
paragraph.
    (1) Market Access to Services and Data. Unless necessary or
appropriate to achieve the purposes of the Act and the rules and
regulations thereunder, the security-based swap data repository shall
not adopt any policies and procedures or take any action that results
in an unreasonable restraint of trade or impose any material
anticompetitive burden on the trading, clearing, or reporting of
transactions. To comply with this core principle, each security-based
swap data repository shall:
    (i) Ensure that any dues, fees, or other charges imposed by, and
any discounts or rebates offered by, a security-based swap data
repository are fair and reasonable and not unreasonably discriminatory.
Such dues, fees, other charges, discounts, or rebates shall be applied
consistently across all similarly-situated users of such security-based
swap data repository's services, including, but not limited to, market
participants, market infrastructures (including central
counterparties), venues from which data can be submitted to the
security-based swap data repository (including exchanges, security-
based swap execution facilities, electronic trading venues, and
matching and confirmation platforms), and third party service
providers;
    (ii) Permit market participants to access specific services offered
by the security-based swap data repository separately;
    (iii) Establish, monitor on an ongoing basis, and enforce clearly
stated objective criteria that would permit fair, open, and not
unreasonably discriminatory access to services offered and data
maintained by the security-based swap data repository as well as fair,
open, and not unreasonably discriminatory participation by market
participants, market infrastructures, venues from which data can be
submitted to the security-based swap data repository, and third party
service providers that seek to connect to or link with the security-
based swap data repository; and
    (iv) Establish, maintain, and enforce written policies and
procedures reasonably designed to review any prohibition or limitation
of any person with respect to access to services offered, directly or
indirectly, or data maintained by the security-based swap data
repository and to grant such person access to such services or data if
such person has been discriminated against unfairly.
    (2) Governance arrangements. Each security-based swap data
repository shall establish governance arrangements that are transparent
to fulfill public interest requirements under the Act and the rules and
regulations thereunder; to carry out functions consistent with the Act,
the rules and regulations thereunder, and the purposes of the Act; and
to support the objectives of the Federal Government, owners, and
participants. To comply with this core principle, each security-based
swap data repository shall:
    (i) Establish governance arrangements that are well defined and
include a clear organizational structure with effective internal
controls;
    (ii) Establish governance arrangements that provide for fair
representation of market participants;
    (iii) Provide representatives of market participants, including
end-users, with the opportunity to participate in the process for
nominating directors and

with the right to petition for alternative candidates; and
    (iv) Establish, maintain, and enforce written policies and
procedures reasonably designed to ensure that the security-based swap
data repository's senior management and each member of the board or
committee that has the authority to act on behalf of the board possess
requisite skills and expertise to fulfill their responsibilities in the
management and governance of the security-based swap data repository,
to have a clear understanding of their responsibilities, and to
exercise sound judgment about the security-based swap data repository's
affairs.
    (3) Conflicts of interest. Each security-based swap data repository
shall establish and enforce written policies and procedures reasonably
designed to minimize conflicts of interest in the decision-making
process of the security-based swap data repository and establish a
process for resolving any such conflicts of interest. Such conflicts of
interest include, but are not limited to: conflicts between the
commercial interests of a security-based swap data repository and its
statutory responsibilities; conflicts in connection with the commercial
interests of certain market participants or linked market
infrastructures, third party service providers, and others; conflicts
between, among, or with persons associated with the security-based swap
data repository, market participants, affiliates of the security-based
swap data repository, and nonaffiliated third parties; and misuse of
confidential information, material, nonpublic information, and/or
intellectual property. To comply with this core principle, each
security-based swap data repository shall:
    (i) Establish, maintain, and enforce written policies and
procedures reasonably designed to identify and mitigate potential and
existing conflicts of interest in the security-based swap data
repository's decision-making process on an ongoing basis;
    (ii) With respect to the decision-making process for resolving any
conflicts of interest, require the recusal of any person involved in
such conflict from such decision-making; and
    (iii) Establish, maintain, and enforce reasonable written policies
and procedures regarding the security-based swap data repository's non-
commercial and/or commercial use of the security-based swap transaction
information that it receives from a market participant, any registered
entity, or any other person.

    Note to Sec.  240.13n-4: This rule is not intended to limit, or
restrict, the applicability of other provisions of the Federal
securities laws, including, but not limited to, Section 13(m) of the
Act (15 U.S.C. 78m(m)) and the rules and regulations thereunder.

Sec.  240.13n-5  Data collection and maintenance.

    (a) Definitions. For purposes of this section--
    (1) Transaction data means all information reported to a security-
based swap data repository pursuant to the Act and the rules and
regulations thereunder.
    (2) Position means the gross and net notional amounts of open
security-based swap transactions aggregated by one or more attributes,
including, but not limited to, the:
    (i) Underlying instrument, index, or reference entity;
    (ii) Counterparty;
    (iii) Asset class;
    (iv) Long risk of the underlying instrument, index, or reference
entity; and
    (v) Short risk of the underlying instrument, index, or reference
entity.
    (3) Asset class means those security-based swaps in a particular
broad category, including, but not limited to, credit derivatives,
equity derivatives, and loan-based derivatives.
    (b) Requirements. Every security-based swap data repository
registered with the Commission shall comply with the following data
collection and data maintenance standards:
    (1) Transaction data.
    (i) Every security-based swap data repository shall establish,
maintain, and enforce written policies and procedures reasonably
designed for the reporting of transaction data to the security-based
swap data repository and shall accept all transaction data that is
reported in accordance with such policies and procedures.
    (ii) If a security-based swap data repository accepts any security-
based swap in a particular asset class, the security-based swap data
repository shall accept all security-based swaps in that asset class
that are reported to it in accordance with its policies and procedures
required by paragraph (b)(1) of this section.
    (iii) Every security-based swap data repository shall establish,
maintain, and enforce written policies and procedures reasonably
designed to satisfy itself by reasonable means that the transaction
data that has been submitted to the security-based swap data repository
is accurate, including clearly identifying the source for each trade
side and the pairing method (if any) for each transaction in order to
identify the level of quality of the transaction data.
    (iv) Every security-based swap data repository shall promptly
record the transaction data it receives.
    (2) Positions. Every security-based swap data repository shall
establish, maintain, and enforce written policies and procedures
reasonably designed to calculate positions for all persons with open
security-based swaps for which the security-based swap data repository
maintains records.
    (3) Every security-based swap data repository shall establish,
maintain, and enforce written policies and procedures reasonably
designed to ensure that the transaction data and positions that it
maintains are accurate.
    (4) Every security-based swap data repository shall maintain
transaction data for not less than five years after the applicable
security-based swap expires and historical positions for not less than
five years:
    (i) In a place and format that is readily accessible to the
Commission and other persons with authority to access or view such
information; and
    (ii) In an electronic format that is non-rewriteable and non-
erasable.
    (5) Every security-based swap data repository shall establish,
maintain, and enforce written policies and procedures reasonably
designed to prevent any provision in a valid security-based swap from
being invalidated or modified through the procedures or operations of
the security-based swap data repository.
    (6) Every security-based swap data repository shall establish
procedures and provide facilities reasonably designed to effectively
resolve disputes over the accuracy of the transaction data and
positions that are recorded in the security-based swap data repository.
    (7) If a security-based swap data repository ceases doing business,
or ceases to be registered pursuant to Section 13(n) of the Act (15
U.S.C. 78m(n)) and the rules and regulations thereunder, it must
continue to preserve, maintain and make accessible the transaction data
and historical positions required to be collected, maintained and
preserved by this section in the manner required by the Act and the
rules and regulations thereunder and for the remainder of the period
required by this section.
    (8) Every security-based swap data repository shall make and keep
current a plan to ensure that the transaction data and positions that
are recorded in the security-based swap data repository continue to be
maintained in accordance with Rule 13n-5(b)(7), which shall include
procedures for transferring the transaction data and positions to the
Commission or its

designee (including another registered security-based swap data
repository).

Sec.  240.13n-6  Automated systems.

    (a) Definitions. For purposes of this section--
    (1) Material system outage means an unauthorized intrusion into any
system, or an event at a security-based swap data repository that
causes a problem in its systems or procedures that results in:
    (i) A failure to maintain service level agreements or constraints;
    (ii) A disruption of normal operations, including switchover to
back-up equipment with no possibility of near-term recovery of primary
hardware;
    (iii) A loss of use of any system;
    (iv) A loss of transactions;
    (v) Excessive back-ups or delays in processing;
    (vi) A loss of ability to disseminate transaction data and
positions;
    (vii) A communication of an outage situation to other external
entities;
    (viii) A report or referral of an event to the security-based swap
data repository's board of directors, a body performing a function
similar to the board of the directors, or senior management;
    (ix) A serious threat to its systems operations even though its
systems operations were not disrupted;
    (x) A queuing of data between system components or queuing of
messages to or from customers of such duration that a customer's normal
service delivery is affected; or
    (xi) A failure to maintain the integrity of its systems that
results in the entry of erroneous or inaccurate transaction data or
other information in the security-based swap data repository or the
securities markets.
    (2) Material systems change means a change to automated systems of
a security-based swap data repository that:
    (i) Significantly affects its existing capacity or security;
    (ii) In itself, raises significant capacity or security issues,
even if it does not affect other existing systems;
    (iii) Relies upon substantially new or different technology;
    (iv) Is designed to provide a new service or function; or
    (v) Otherwise significantly affects the operations of the security-
based swap data repository.
    (3) Objective review means an internal or external review,
performed by competent, objective personnel following established
procedures and standards, and containing a risk assessment conducted
pursuant to a review schedule.
    (4) Competent, objective personnel means a recognized information
technology firm or a qualified internal department knowledgeable of
information technology systems.
    (5) Review schedule means a schedule in which each element
contained in paragraph (b)(1) of this section would be assessed at
specific, regular intervals.
    (6) Transaction data has the same meaning as in Rule 13n-5(a)(1).
    (7) Position has the same meaning as in Rule 13n-5(a)(2).
    (b) Requirements for security-based swap data repositories. Every
security-based swap data repository, with respect to those systems that
support or are integrally related to the performance of its activities,
shall:
    (1) Establish, maintain, and enforce written policies and
procedures reasonably designed to ensure that its systems provide
adequate levels of capacity, resiliency, and security. These policies
and procedures shall, at a minimum:
    (i) Establish reasonable current and future capacity estimates;
    (ii) Conduct periodic capacity stress tests of critical systems to
determine such systems' ability to process transactions in an accurate,
timely, and efficient manner;
    (iii) Develop and implement reasonable procedures to review and
keep current its system development and testing methodology;
    (iv) Review the vulnerability of its systems and data center
computer operations to internal and external threats, physical hazards,
and natural disasters; and
    (v) Establish adequate contingency and disaster recovery plans.
    (2) On an annual basis, submit an objective review to the
Commission within thirty calendar days of its completion. Where the
objective review is performed by an internal department, an objective,
external firm shall assess the internal department's objectivity,
competency, and work performance with respect to the review performed
by the internal department. The external firm must issue a report of
the objective review, which the security-based swap data repository
must submit to the Commission on an annual basis, within 30 calendar
days of completion of the review;
    (3) Promptly notify the Commission of material systems outages and
any remedial measures that have been implemented or are contemplated.
Prompt notification includes the following:
    (i) Immediately notify the Commission when a material systems
outage is detected;
    (ii) Immediately notify the Commission when remedial measures are
selected to address the material systems outage;
    (iii) Immediately notify the Commission when the material systems
outage is addressed; and
    (iv) Submit to the Commission within five business days of the
occurrence of the material systems outage a detailed written
description and analysis of the outage and any remedial measures that
have been implemented or are contemplated; and
    (4) Notify the Commission in writing at least thirty calendar days
before implementation of any planned material systems changes.
    (c) Electronic filing. Every security-based swap data repository
shall submit every notification, review, or description and analysis
that is required to be submitted to the Commission pursuant to this
section (other than the notifications pursuant to paragraph (b)(3)(i),
(ii), or (iii) of this section) in an appropriate electronic format.
Every such notification, review, or description and analysis shall be
submitted to the Division of Trading and Markets, Office of Market
Operations, at the principal office of the Commission in Washington,
DC. Every such notification, review, or description and analysis shall
be considered submitted when an electronic version is received at the
Division of Trading and Markets, Office of Market Operations, at the
principal office of the Commission in Washington, DC.
    (d) Confidential treatment. A person who submits a notification,
review, or description and analysis pursuant to this section for which
he or she seeks confidential treatment shall clearly mark each page or
segregable portion of each page with the words ``Confidential Treatment
Requested.'' A notification, review, or description and analysis
submitted pursuant to this section will be accorded confidential
treatment to the extent permitted by law.

Sec.  240.13n-7  Recordkeeping of security-based swap data repository.

    (a) Every security-based swap data repository shall make and keep
current the following books and records relating to its business:
    (1) A record for each office listing, by name or title, each person
at that office who, without delay, can explain the types of records the
security-based swap data repository maintains at that office and the
information contained in those records; and
    (2) A record listing each officer, manager, or person performing
similar functions of the security-based swap data repository
responsible for establishing policies and procedures

that are reasonably designed to ensure compliance with the Act and the
rules and regulations thereunder.
    (b) Recordkeeping rule for security-based swap data repositories.
    (1) Every security-based swap data repository shall keep and
preserve at least one copy of all documents, including all documents
and policies and procedures required by the Act and the rules and
regulations thereunder, correspondence, memoranda, papers, books,
notices, accounts, and other such records as shall be made or received
by it in the course of its business as such.
    (2) Every security-based swap data repository shall keep all such
documents for a period of not less than five years, the first two years
in a place that is immediately available to the staff of the Commission
for inspection and examination.
    (3) Every security-based swap data repository shall, upon request
of any representative of the Commission, promptly furnish to the
possession of such representative copies of any documents required to
be kept and preserved by it pursuant to paragraphs (a) and (b) of this
section.
    (c) If a security-based swap data repository ceases doing business,
or ceases to be registered pursuant to Section 13(n) of the Act (15
U.S.C. 78m(n)) and the rules and regulations thereunder, it must
continue to preserve, maintain, and make accessible the records/data
required to be collected, maintained and preserved by this section in
the manner required by this section and for the remainder of the period
required by this section.
    (d) This section does not apply to data collected and maintained
pursuant to Rule 13n-5.

Sec.  240.13n-8  Reports to be provided to the Commission.

    Every security-based swap data repository shall promptly report to
the Commission, in a form and manner acceptable to the Commission, such
information as the Commission determines to be necessary or appropriate
for the Commission to perform the duties of the Commission under the
Act and the rules and regulations thereunder.

Sec.  240.13n-9  Privacy requirements of security-based swap data
repository.

    (a) Definitions. For purposes of this section--
    (1) Affiliate of a security-based swap data repository means a
person that, directly or indirectly, controls, is controlled by, or is
under common control with the security-based swap data repository.
    (2) Control (including the terms controlled by and under common
control with) means the possession, direct or indirect, of the power to
direct or cause the direction of the management and policies of a
person, whether through the ownership of voting securities, by
contract, or otherwise. A person is presumed to control another person
if the person:
    (i) Is a director, general partner, or officer exercising executive
responsibility (or having similar status or functions);
    (ii) Directly or indirectly has the right to vote 25 percent of
more of a class of voting securities or has the power to sell or direct
the sale of 25 percent or more of a class of voting securities; or
    (iii) In the case of a partnership, has the right to receive, upon
dissolution, or has contributed, 25 percent or more of the capital.
    (3) Market participant means any person participating in the
security-based swap market, including, but not limited to, security-
based swap dealers, major security-based swap participants, and any
other counterparties to a security-based swap transaction.
    (4) Nonaffiliated third party of a security-based swap data
repository means any person except:
    (i) The security-based swap data repository,
    (ii) The security-based swap data repository's affiliate, or
    (iii) A person employed by a security-based swap data repository
and any entity that is not the security-based swap data repository's
affiliate (and nonaffiliated third party includes such entity that
jointly employs the person).
    (5) Nonpublic personal information means:
    (i) Personally identifiable information and
    (ii) Any list, description, or other grouping of market
participants (and publicly available information pertaining to them)
that is derived using personally identifiable information that is not
publicly available information.
    (6) Personally identifiable information means any information:
    (i) A market participant provides to a security-based swap data
repository to obtain service from the security-based swap data
repository,
    (ii) About a market participant resulting from any transaction
involving a service between the security-based swap data repository and
the market participant, or
    (iii) The security-based swap data repository obtains about a
market participant in connection with providing a service to that
market participant.
    (7) Person associated with a security-based swap data repository
means:
    (i) Any partner, officer, or director of such security-based swap
data repository (or any person occupying a similar status or performing
similar functions);
    (ii) Any person directly or indirectly controlling, controlled by,
or under common control with such security-based swap data repository;
or
    (iii) Any employee of such security-based swap data repository.
    (b) Each security-based swap data repository shall:
    (1) Establish, maintain, and enforce written policies and
procedures reasonably designed to protect the privacy of any and all
security-based swap transaction information that the security-based
swap data repository receives from a security-based swap dealer,
counterparty, or any registered entity. Such policies and procedures
shall include, but are not limited to, policies and procedures to
protect the privacy of any and all security-based swap transaction
information that the security-based swap data repository shares with
affiliates and nonaffiliated third parties; and
    (2) Establish and maintain safeguards, policies, and procedures
reasonably designed to prevent the misappropriation or misuse, directly
or indirectly, of:
    (i) Any confidential information received by the security-based
swap data repository, including, but not limited to, trade data,
position data, and any nonpublic personal information about a market
participant or any of its customers;
    (ii) Material, nonpublic information; and/or
    (iii) Intellectual property, such as trading strategies or
portfolio positions, by the security-based swap data repository or any
person associated with the security-based swap data repository for
their personal benefit or the benefit of others. Such safeguards,
policies, and procedures shall address, without limitation,
    (A) Limiting access to such confidential information, material,
nonpublic information, and intellectual property,
    (B) Standards pertaining to the trading by persons associated with
the security-based swap data repository for their personal benefit or
the benefit of others, and
    (C) Adequate oversight to ensure compliance with this subparagraph.

Sec.  240.13n-10  Disclosure requirements of security-based swap data
repository.

    (a) Definition. For purposes of this section--

    (1) Market participant means any person participating in the over-
the-counter derivatives market, including, but not limited to,
security-based swap dealers, major security-based swap participants,
and any other counterparties to a security-based swap transaction.
    (b) Before accepting any security-based swap data from a market
participant or upon a market participant's request, a security-based
swap data repository shall furnish to the market participant a
disclosure document that contains the following written information,
which must reasonably enable the market participant to identify and
evaluate accurately the risks and costs associated with using the
services of the security-based swap data repository:
    (1) The security-based swap data repository's criteria for
providing others with access to services offered and data maintained by
the security-based swap data repository;
    (2) The security-based swap data repository's criteria for those
seeking to connect to or link with the security-based swap data
repository;
    (3) A description of the security-based swap data repository's
policies and procedures regarding its safeguarding of data and
operational reliability to protect the confidentiality and security of
such data, as described in Rule 13n-6;
    (4) A description of the security-based swap data repository's
policies and procedures reasonably designed to protect the privacy of
any and all security-based swap transaction information that the
security-based swap data repository receives from a security-based swap
dealer, counterparty, or any registered entity, as described in Rule
13n-9(b)(1);
    (5) A description of the security-based swap data repository's
policies and procedures regarding its non-commercial and/or commercial
use of the security-based swap transaction information that it receives
from a market participant, any registered entity, or any other person;
    (6) A description of the security-based swap data repository's
dispute resolution procedures involving market participants, as
described in Rule 13n-5(b)(6);
    (7) A description of all the security-based swap data repository's
services, including any ancillary services;
    (8) The security-based swap data repository's updated schedule of
any dues; unbundled prices, rates, or other fees for all of its
services, including any ancillary services; any discounts or rebates
offered; and the criteria to benefit from such discounts or rebates;
and
    (9) A description of the security-based swap data repository's
governance arrangements.

Sec.  240.13n-11  Designation of chief compliance officer of security-
based swap data repository.

    (a) In general. Each security-based swap data repository shall
identify on Form SDR (17 CFR 249.1500) a person who has been designated
by the board to serve as a chief compliance officer of the security-
based swap data repository. The compensation and removal of the chief
compliance officer shall require the approval of a majority of the
security-based swap data repository's board.
    (b) Definitions. For purposes of this section--
    (1) Affiliate of a security-based swap data repository means a
person that, directly or indirectly, controls, is controlled by, or is
under common control with the security-based swap data repository.
    (2) Board means the board of directors of the security-based swap
data repository or a body performing a function similar to the board of
directors of the security-based swap data repository.
    (3) Director means any member of the board.
    (4) EDGAR Filer Manual has the same meaning as set forth in Rule 11
of Regulation S-T (17 CFR 232.11).
    (5) Material change means a change that a chief compliance officer
would reasonably need to know in order to oversee compliance of the
security-based swap data repository.
    (6) Material compliance matter means any compliance matter that the
board would reasonably need to know to oversee the compliance of the
security-based swap data repository and that involves, without
limitation:
    (i) A violation of the Federal securities laws by the security-
based swap data repository, its officers, directors, employees, or
agents;
    (ii) A violation of the policies and procedures of the security-
based swap data repository by the security-based swap data repository,
its officers, directors, employees, or agents; or
    (iii) A weakness in the design or implementation of the policies
and procedures of the security-based swap data repository.
    (7) Tag (including the term tagged) means an identifier that
highlights specific information submitted to the Commission that is in
the format required by the EDGAR Filer Manual, as described in Rule 301
of Regulation S-T (17 CFR 232.301).
    (c) Duties. Each chief compliance officer of a security-based swap
data repository shall:
    (1) Report directly to the board or to the chief executive officer
of the security-based swap data repository;
    (2) Review the compliance of the security-based swap data
repository with respect to the requirements and core principles
described in Section 13(n) of the Act (15 U.S.C. 78m(n)) and the rules
and regulations thereunder;
    (3) In consultation with the board or the chief executive officer
of the security-based swap data repository, resolve any conflicts of
interest that may arise;
    (4) Be responsible for administering each policy and procedure that
is required to be established pursuant to Section 13 of the Act (15
U.S.C. 78m) and the rules and regulations thereunder;
    (5) Ensure compliance with the Act and the rules and regulations
thereunder relating to security-based swaps, including each rule
prescribed by the Commission under Section 13 of the Act (15 U.S.C.
78m);
    (6) Establish procedures for the remediation of noncompliance
issues identified by the chief compliance officer through any--
    (i) Compliance office review;
    (ii) Look-back;
    (iii) Internal or external audit finding;
    (iv) Self-reported error; or
    (v) Validated complaint; and
    (7) Establish and follow appropriate procedures for the handling,
management response, remediation, retesting, and closing of
noncompliance issues.
    (d) Annual reports.
    (1) In general. The chief compliance officer shall annually prepare
and sign a report that contains a description of the compliance of the
security-based swap data repository with respect to the Act and the
rules and regulations thereunder and each policy and procedure of the
security-based swap data repository (including the code of ethics and
conflicts of interest policies of the security-based swap data
repository). Each compliance report shall also contain, at a minimum, a
description of:
    (i) The security-based swap data repository's enforcement of its
policies and procedures;
    (ii) Any material changes to the policies and procedures since the
date of the preceding compliance report;
    (iii) Any recommendation for material changes to the policies and
procedures as a result of the annual review, the rationale for such
recommendation, and whether such policies and procedures

were or will be modified by the security-based swap data repository to
incorporate such recommendation; and
    (iv) Any material compliance matters identified since the date of
the preceding compliance report.
    (2) Requirements. A financial report of the security-based swap
data repository shall be filed with the Commission as described in
paragraph (f) of this section and shall accompany a compliance report
as described in paragraph (d)(1) of this section. The compliance report
shall include a certification that, under penalty of law, the
compliance report is accurate and complete. The compliance report shall
also be filed in a tagged data format in accordance with the
instructions contained in the EDGAR Filer Manual, as described in Rule
301 of Regulation S-T (17 CFR 232.301).
    (e) The chief compliance officer shall submit the annual compliance
report to the board for its review prior to the submission of the
report to the Commission.
    (f) Financial report. Each financial report filed with a compliance
report shall:
    (1) Be a complete set of financial statements of the security-based
swap data repository that are prepared in accordance with U.S.
generally accepted accounting principles for the most recent two fiscal
years of the security-based swap data repository;
    (2) Be audited in accordance with the standards of the Public
Company Accounting Oversight Board by a registered public accounting
firm that is qualified and independent in accordance with Rule 2-01 of
Regulation S-X (17 CFR 210.2-01);
    (3) Include a report of the registered public accounting firm that
complies with paragraphs (a) through (d) of Rule 2-02 of Regulation S-X
(17 CFR 210.2-02);
    (4) If the security-based swap data repository's financial
statements contain consolidated information of a subsidiary of the
security-based swap data repository, provide condensed financial
information, in a financial statement footnote, as to the financial
position, changes in financial position and results of operations of
the security-based swap data repository, as of the same dates and for
the same periods for which audited consolidated financial statements
are required. Such financial information need not be presented in
greater detail than is required for condensed statements by Rules 10-
01(a)(2), (3), and (4) of Regulation S-X (17 CFR 210.10-01). Detailed
footnote disclosure that would normally be included with complete
financial statements may be omitted with the exception of disclosures
regarding material contingencies, long-term obligations, and
guarantees. Descriptions of significant provisions of the security-
based swap data repository's long-term obligations, mandatory dividend
or redemption requirements of redeemable stocks, and guarantees of the
security-based swap data repository shall be provided along with a
five-year schedule of maturities of debt. If the material
contingencies, long-term obligations, redeemable stock requirements,
and guarantees of the security-based swap data repository have been
separately disclosed in the consolidated statements, then they need not
be repeated in this schedule; and
    (5) Be provided in eXtensible Business Reporting Language
consistent with Rules 405 (a)(1), (a)(3), (b), (c), (d), and (e) of
Regulation S-T (17 CFR 232.405).
    (g) Reports filed pursuant to paragraphs (d) and (f) of this
section shall be filed within 60 days after the end of the fiscal year
covered by such reports.

PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934

    3. The authority citation for part 249 continues to read in part as
follows:

    Authority:  15 U.S.C. 78a et seq. and 7201; and 18 U.S.C. et
seq. unless otherwise noted.

    4. Subpart P consisting of Sec.  249.1500 is added to read as
follows:

Subpart P--Form for Registration of Security-Based Swap Data
Repositories

Sec.  249.1500  Form SDR, application for registration as a security-
based swap data repository.

    [Note: The text of Form SDR does not, and the amendments will
not, appear in the Code of Federal Regulations.]

    The form shall be used for registration as a security-based swap
data repository, and for the amendments to, such registration pursuant
to Section 13(n) of the Exchange Act (15 U.S.C. 78m(n)).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM SDR

APPLICATION OR AMENDMENT TO APPLICATION FOR REGISTRATION AS SECURITY-
BASED SWAP DATA REPOSITORY UNDER THE SECURITIES EXCHANGE ACT OF 1934
GENERAL INSTRUCTIONS FOR PREPARING AND FILING FORM SDR
    1. Form SDR and Exhibits thereto are to be filed electronically in
a tagged data format with the Securities and Exchange Commission by an
applicant for registration as a security-based swap data repository, or
by a registered security-based swap data repository amending its
registration, pursuant to Section 13(n) of the Securities Exchange Act
of 1934 (``Exchange Act'') and Rule 13n-1 thereunder. No application
for registration shall be effective unless the Commission grants such
registration.
    2. Individuals' names shall be given in full (last name, first
name, middle name).
    3. Form SDR shall be signed by a person who is duly authorized to
act on behalf of the security-based swap data repository.
    4. If Form SDR is being filed as an application for registration,
all applicable items must be answered in full. If any item is not
applicable, indicate by ``none'' or ``N/A'' as appropriate.
    5. Disclosure of the information specified on this form is
mandatory prior to processing of an application for registration as a
security-based swap data repository. The information will be used for
the principal purpose of determining whether the Commission should
grant or deny registration to an applicant. Except in cases where
confidential treatment is requested by the applicant and granted by the
Commission pursuant to the Freedom of Information Act and the rules of
the Commission thereunder, information supplied on this form will be
included routinely in the public files of the Commission and will be
available for inspection by any interested person. A form that is not
prepared and executed in compliance with applicable requirements may be
deemed as not acceptable for filing. Acceptance of this form, however,
shall not constitute any finding that it has been filed as required or
that the information submitted is true, current, or complete.
Intentional misstatements or omissions of fact constitute federal
criminal violations (see 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)).

    6. Rule 13n-1(e) under the Exchange Act requires a security-based
swap data repository to amend promptly Form SDR if any information
contained in items 1 through 16, 25, and 44 of this application, or any
supplement or amendment thereto, is or becomes inaccurate for any
reason.
    7. For the purposes of this form, the term ``applicant'' includes
any applicant for registration as a security-based swap data repository
or any registered security-based swap data repository that is amending
Form SDR.
    8. Applicants filing Form SDR as an amendment (other than an annual
amendment) need file only the cover page (items 1 through 3), the
signature page (item 12), and any pages on which an answer is being
amended, together with such exhibits as are being amended. An applicant
submitting an amendment represents that all unamended items and
exhibits remain true, current, and complete as previously filed.
    DEFINITIONS: Unless the context requires otherwise, all terms used
in this form have the same meaning as in the Exchange Act, as amended,
and in the rules and regulations of the Commission thereunder.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM SDR

APPLICATION OR AMENDMENT TO APPLICATION FOR REGISTRATION AS SECURITY-
BASED SWAP DATA REPOSITORY UNDER THE SECURITIES EXCHANGE ACT OF 1934
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(Exact Name of Applicant as Specified in Charter)

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(Address of Principal Executive Offices)

    If this is an APPLICATION for registration, complete in full and
check here [ballot]
    If this is an AMENDMENT to an application, or to an effective
registration (including an annual amendment), list all items that are
amended and check here [ballot]
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GENERAL INFORMATION

1. Name under which business is conducted, if different than name
specified herein:------------------------------------------------------

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2. If name of business is amended, state previous business name:-------

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3. Mailing address, if different than address specified herein:--------

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(Number and Street)

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(City) (State) (Zip Code)

4. List of principal office(s) and address(es) where security-based
swap data repository activities are conducted:

                  Office                               Address

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                                            ............................
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5. If the applicant is a successor (within the definition of Rule 12b-2
under the Exchange Act) to a previously registered security-based swap
data repository, please complete the following:

a. Date of succession--------------------------------------------------

b. Full name and address of predecessor security-based swap data
repository

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(Name)

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(Number and Street)

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(City) (State) (Zip Code)

6. List all asset classes of security-based swaps for which the
applicant is collecting and maintaining or for which it proposes to
collect and maintain.
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7. Furnish a description of the function(s) that the applicant performs
or proposes to perform.------------------------------------------------
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BUSINESS ORGANIZATION

8. Applicant is a:
[ballot] Corporation
[ballot] Partnership
[ballot] Other Form of Organization (Specify)--------------------------
9. If applicant is a corporation:
a. Date of incorporation-----------------------------------------------

b. Place of incorporation or state/country of formation----------------

10. If Applicant is a partnership:

a. Date of filing of partnership articles------------------------------
b. Place where partnership agreement was filed-------------------------
11. Applicant understands and consents that any notice or service of
process, pleadings, or other documents in connection with any action or
proceeding against the applicant may be effectuated by certified mail
to the officer specified or person named below at the U.S. address
given. Such officer or person cannot be a Commission member, official,
or employee.
(Name of Person or, if Applicant is a Corporation, Title of Officer)---

(Name of Applicant or Applicable Entity)-------------------------------

(Number and Street)----------------------------------------------------

(City) (State) (Zip Code)----------------------------------------------

(Area Code) (Telephone Number)

12. SIGNATURES: Applicant has duly caused this application or amendment
to be signed on its behalf by the undersigned, hereunto duly
authorized, this --------day of ------------------,----. Applicant and
the undersigned hereby represent that all information contained herein
is true, current, and complete. It is understood that all required
items and exhibits are considered integral parts of this form and that
the submission of any amendment represents that all unamended items and
Exhibits remain true, current, and complete as previously filed. If the
applicant is a non-resident security-based swap data repository,
Applicant and the undersigned further represent that the applicant can,
as a matter of law, provide the Commission with prompt access to the
applicant's books and records and that the applicant can submit to an
onsite inspection and examination by the Commission. For purposes of
this certification, ``non-resident security-based swap data
repository'' means (i) in the case of an individual, one who resides in
or has his principal place of business in any place not in the United
States; (ii) in the case of a corporation, one incorporated in or
having its principal place of business in any place not in the United
States; or (iii) in the case of a partnership or other unincorporated
organization or association, one having its principal place of business
in any place not in the United States.

(Name of Applicant)----------------------------------------------------

(Signature of General Partner, Managing Agent or Principal Officer)----

(Title)----------------------------------------------------------------

EXHIBITS--BUSINESS ORGANIZATION

13. List as Exhibit A any person as defined in Section 3(a)(9) of the

Exchange Act that owns 10 percent or more of the applicant's stock or
that, either directly or indirectly, through agreement or otherwise, in
any other manner, may control or direct the management or policies of
the applicant. State in Exhibit A the full name and address of each
such person and attach a copy of the agreement or, if there is none
written, describe the agreement or basis upon which such person
exercises or may exercise such control or direction.
14. Attach as Exhibit B the following information about the chief
compliance officer who has been appointed by the board of directors of
the security-based swap data repository or a person or group performing
a function similar to such board of directors:
    a. Name
    b. Title
    c. Date of commencement and, if appropriate, termination of present
term of position
    d. Length of time the chief compliance officer has held the same
position
    e. Brief account of the business experience of the chief compliance
officer over the last five years
    f. Any other business affiliations in the securities industry or
OTC derivatives industry
    g. Details of:
    (1) any order of the Commission with respect to such person
pursuant to Sections 15(b)(4), 15(b)(6), 19(h)(2), or 19(h)(3) of the
Exchange Act;
    (2) any conviction or injunction of a type described in Sections
15(b)(4)(B) or (C) of the Exchange Act within the past ten years;
    (3) any action of a self-regulatory organization with respect to
such person imposing a final disciplinary sanction pursuant to Sections
6(b)(6), 15A(b)(7), or 17A(b)(3)(G) of the Exchange Act;
    (4) any final action by a self-regulatory organization with respect
to such person constituting a denial, bar, prohibition, or limitation
of membership, participation, or association with a member, or of
access to services offered by, such organization of a member thereof;
and
    (5) any final action by another federal regulatory agency,
including the Commodity Futures Trading Commission, any state
regulatory agency, or any foreign financial regulatory authority
resulting in:
    i. a finding that such person has made a false statement or
omission, or has been dishonest, unfair, or unethical;
    ii. a finding that such person has been involved in a violation of
any securities-related regulations or statutes;
    iii. a finding that such person has been a cause of a business
having its authorization to do business denied, suspended, revoked, or
restricted;
    iv. an order entered, in the past ten years, against such person in
connection with a securities-related activity; or
    v. any disciplinary sanction, including a denial, suspension, or
revocation of such person's registration or license or otherwise, by
order, a prevention from associating with a securities-related business
or a restriction of such person's activities.
15. Attach as Exhibit C a list of the officers, directors, governors,
and persons performing similar functions, and the members of all
standing committees grouped by committee of the security-based swap
data repository or of the entity identified in item 18 that performs
the security-based swap data repository activities of the applicant,
indicating for each:
    a. Name
    b. Title
    c. Dates of commencement and, if appropriate, termination of
present term of office or position
    d. Length of time each present officer, director, governor, persons
performing similar functions, or member of a standing committee has
held the same office or position
    e. Brief account of the business experience of each officer,
director, governor, persons performing similar functions, or member of
a standing committee over the last five years
    f. Any other business affiliations in the securities industry or
OTC derivatives industry
    g. Details of:
    (1) any order of the Commission with respect to such person
pursuant to Sections l5(b)(4), 15(b)(6), 19(h)(2), or 19(h)(3) of the
Exchange Act;
    (2) any conviction or injunction of a type described in Sections
l5(b)(4)(B) or (C) of the Exchange Act within the past ten years;
    (3) any action of a self-regulatory organization with respect to
such person imposing a final disciplinary sanction pursuant to Sections
6(b)(6), l5A(b)(7), or 17A(b)(3)(G) of the Exchange Act;
    (4) any final action by a self-regulatory organization with respect
to such person constituting a denial, bar, prohibition, or limitation
of membership, participation, or association with a member, or of
access to services offered by, such organization of a member thereof;
and
    (5) any final action by another federal regulatory agency,
including the Commodity Futures Trading Commission, any state
regulatory agency, or any foreign financial regulatory authority
resulting in:
    i. a finding that such person has made a false statement or
omission, or has been dishonest, unfair, or unethical;
    ii. a finding that such person has been involved in a violation of
any securities-related regulations or statutes;
    iii. a finding that such person has been a cause of a business
having its authorization to do business denied, suspended, revoked, or
restricted;
    iv. an order entered, in the past ten years, against such person in
connection with a securities-related activity; or
    v. any disciplinary sanction, including a denial, suspension, or
revocation of such person's registration or license or otherwise, by
order, a prevention from associating with a securities-related business
or a restriction of such person's activities.
16. Attach as Exhibit D a copy of documents relating to the governance
arrangements of the applicant, including, but not limited to, the
nomination and selection process of the members on the applicant's
board of directors, a person or group performing a function similar to
a board of directors (collectively, ``board''), or any committee that
has the authority to act on behalf of the board; the responsibilities
of each of the board and such committee; the composition of each board
and such committee; and the applicant's policies and procedures
reasonably designed to ensure that the applicant's senior management
and each member of the board or such committee possess requisite skills
and expertise to fulfill their responsibilities in the management and
governance of the applicant, to have a clear understanding of their
responsibilities, and to exercise sound judgment about the applicant's
affairs.
17. Attach as Exhibit E a copy of the constitution, articles of
incorporation or association with all amendments thereto, existing by-
laws, rules, procedures, and

instruments corresponding thereto, of the applicant.
18. Attach as Exhibit F a narrative and/or graphic description of the
organizational structure of the applicant. Note: If the security-based
swap data repository activities of the applicant are conducted
primarily by a division, subdivision, or other segregable entity within
the applicant's corporation or organization, describe the relationship
of such entity within the overall organizational structure and attach
as Exhibit F the description that applies to the segregable entity.
19. Attach as Exhibit G a list of all affiliates of the security-based
swap data repository and indicate the general nature of the
affiliation. For purposes of this application, an ``affiliate'' of a
security-based swap data repository means a person that, directly or
indirectly, controls, is controlled by, or is under common control with
the security-based swap data repository.
20. Attach as Exhibit H a brief description of any material pending
legal proceeding(s), other than ordinary and routine litigation
incidental to the business, to which the applicant or any of its
affiliates is a party or to which any of its property is the subject.
Include the name of the court or agency in which the proceeding(s) are
pending, the date(s) instituted, the principal parties to the
proceeding, a description of the factual basis alleged to underlie the
proceeding(s) and the relief sought. Include similar information as to
any such proceeding(s) known to be contemplated by any governmental
agencies.
21. Attach as Exhibit I copies of all material contracts with any
security-based swap execution facility, clearing agency, central
counterparty, or third party service provider. To the extent that form
contracts are used by the applicant, submit a sample of each type of
form contract used. In addition, include a list of security-based swap
execution facilities, clearing agencies, central counterparties, and
third party service providers with whom the applicant has entered into
material contracts.
22. Attach as Exhibit J procedures implemented by the applicant to
minimize conflicts of interest in the decision-making process of the
security-based swap data repository and to resolve any such conflicts
of interest.

EXHIBITS--FINANCIAL INFORMATION

23. Attach as Exhibit K a balance sheet, statement of income and
expenses, statement of sources and application of revenues and all
notes or schedules thereto, as of the most recent fiscal year of the
applicant. If a balance sheet and statements certified by an
independent public accountant are available, such balance sheet and
statement shall be submitted as Exhibit K. Alternatively, a financial
report, as described in Rule 13n-11(f) under the Exchange Act, may be
filed as Exhibit K.
24. Attach as Exhibit L a balance sheet and statement of income and
expenses for each affiliate of the security-based swap data repository
as of the end of the most recent fiscal year of each such affiliate.
Alternatively, identify, if available, the most recently filed Annual
Report on Form 10-K under the Exchange Act for any such affiliate as
Exhibit L.
25. Attach as Exhibit M the following:
    a. A complete list of all dues, fees, and other charges imposed, or
to be imposed, as well as all discounts or rebates offered, or to be
offered, by or on behalf of the applicant for its services, including
the security-based swap data repository's services and any ancillary
services, and identify the service(s) provided for each such due, fee,
other charge, discount, or rebate;
    b. A description of the basis and methods used in determining at
least annually the level and structure of the services as well as the
dues, fees, other charges, discounts, or rebates listed in paragraph a
of this item; and
    c. If the applicant differentiates, or proposes to differentiate,
among its customers, or classes of customers in the amount of any dues,
fees, or other charges imposed or any discount or rebate offered for
the same or similar services, then state and indicate the amount of
each differential. In addition, identify and describe any differences
in the cost of providing such services, and any other factors, that
account for such differences.

EXHIBITS--OPERATIONAL CAPABILITY

26. Attach as Exhibit N a narrative description, or the functional
specifications, of each service or function listed in item 7 and
performed as a security-based swap data repository. Include a
description of all procedures utilized for the collection and
maintenance of information or records with respect to transactions or
positions in, or the terms and conditions of, security-based swaps
entered into by market participants.
27. Attach as Exhibit O a list of all computer hardware utilized by the
applicant to perform the security-based swap data repository functions
listed in item 7, indicating:
    a. Name of manufacturer and manufacturer's equipment identification
number;
    b. Whether such hardware is purchased or leased (If leased, state
from whom leased, duration of lease, and any provisions for purchase or
renewal); and
    c. Where such equipment (exclusive of terminals and other access
devices) is physically located.
28. Attach as Exhibit P a description of the personnel qualifications
for each category of professional, non-professional, and supervisory
employees employed by the security-based swap data repository or the
division, subdivision, or other segregable entity within the security-
based swap data repository as described in item 18.
29. Attach as Exhibit Q a description of the measures or procedures
implemented by the applicant to provide for the security of any system
employed to perform the functions of the security-based swap data
repository. Include a general description of any physical and
operational safeguards designed to prevent unauthorized access (whether
by input or retrieval) to the system. Describe any circumstances within
the past year in which the described security measures or safeguards
failed to prevent any such unauthorized access to the system and any
measures taken to prevent a reoccurrence. Describe any measures used by
the applicant to satisfy itself that the information received or
disseminated by the system is accurate.
30. Where security-based swap data repository functions are performed
by automated facilities or systems, attach as Exhibit R a description
of all backup systems or subsystems that are designed to prevent
interruptions in the performance of any such function as a result of
technical malfunctions or otherwise in the system itself, in any
permitted input or output system

connection, or as a result of any independent source.
31. Attach as Exhibit S the following:
    a. For each of the security-based swap data repository functions
described in item 7:
    (1) quantify in appropriate units of measure the limits on the
security-based swap data repository's capacity to receive (or collect),
process, store, or display the data elements included within each
function; and
    (2) identify the factors (mechanical, electronic or other) that
account for the current limitations reported in answer to (1) on the
security-based swap data repository's capacity to receive (or collect),
process, store, or display the data elements included within each
function.
    b. If the applicant is able to employ, or presently employs, its
system(s) for any use other than for performing the functions of a
security-based swap data repository, state the priorities of assignment
of capacity between such functions and such other uses, and state the
methods used or able to be used to divert capacity between such
functions and other uses.

EXHIBITS--ACCESS TO SERVICES AND DATA

32. Attach as Exhibit T the following:
    a. State the number of persons who subscribe, or who have notified
the applicant of their intention to subscribe, to the security-based
swap data repository's services.
    b. For each instance during the past year in which any person has
been prohibited or limited with respect to access to services offered
or data maintained by the applicant, indicate the name of each such
person and the reason for the prohibition or limitation.
    c. For each service that is furnished in machine-readable form,
state the storage media of any service furnished and define the data
elements of such service.
33. Attach as Exhibit U copies of all contracts governing the terms by
which persons may subscribe to the security-based swap data repository
services and any ancillary services provided by the applicant. To the
extent that form contracts are used by the applicant, submit a sample
of each type of form contract used.
34. Attach as Exhibit V a description of any specifications,
qualifications, or other criteria that limit, are interpreted to limit,
or have the effect of limiting access to or use of any security-based
swap data repository services offered or data maintained by the
applicant and state the reasons for imposing such specifications,
qualifications, or other criteria.
35. Attach as Exhibit W any specifications, qualifications, or other
criteria required of persons who supply security-based swap information
to the applicant for collection and maintenance by the applicant or of
persons who seek to connect to or link with the applicant.
36. Attach as Exhibit X any specifications, qualifications, or other
criteria required of any person, including, but not limited to,
regulators, market participants, market infrastructures, venues from
which data could be submitted to the applicant, and third party service
providers who request access to data maintained by the applicant.
37. Attach as Exhibit Y policies and procedures implemented by the
applicant to review any prohibition or limitation of any person with
respect to access to services offered or data maintained by the
applicant and to grant such person access to such services or data if
such person has been discriminated against unfairly.

EXHIBITS--OTHER POLICIES AND PROCEDURES

38. Attach as Exhibit Z policies and procedures implemented by the
applicant to protect the privacy of any and all security-based swap
transaction information that the security-based swap data repository
receives from a market participant or any registered entity.
39. Attach as Exhibit AA a description of safeguards, policies, and
procedures implemented by the applicant to prevent the misappropriation
or misuse of (a) any confidential information received by the
applicant, including, but not limited to, trade data, position data,
and any nonpublic personal information about a market participant or
any of its customers; (b) material, nonpublic information; and/or (c)
intellectual property by applicant or any person associated with the
applicant for their personal benefit or the benefit of others.
40. Attach as Exhibit BB policies and procedures implemented by the
applicant regarding its use of the security-based swap transaction
information that it receives from a market participant, any registered
entity, or any person for non-commercial and/or commercial purposes.
41. Attach as Exhibit CC procedures and a description of facilities of
the applicant for effectively resolving disputes over the accuracy of
the transaction data and positions that are recorded in the security-
based swap data repository.
42. Attach as Exhibit DD policies and procedures relating to the
applicant's calculation of positions.
43. Attach as Exhibit EE policies and procedures implemented by the
applicant to prevent any provision in a valid security-based swap from
being invalidated or modified through the procedures or operations of
the applicant.
44. Attach as Exhibit FF a plan to ensure that the transaction data and
position data that are recorded in the applicant continue to be
maintained after the applicant withdraws from registration as a
security-based swap data repository, which shall include procedures for
transferring the transaction data and position data to the Commission
or its designee (including another registered security-based swap data
repository).
45. Attach as Exhibit GG all of the policies and procedures required
under Regulation SBSR.

EXHIBIT--LEGAL OPINION

46. If the applicant is a non-resident security-based swap data
repository, then attach as Exhibit HH an opinion of counsel that the
security-based swap data repository can, as a matter of law, provide
the Commission with prompt access to the books and records of such
security-based swap data repository and that the security-based swap
data repository can, as a matter of law, submit to onsite inspection
and examination by the Commission.

    By the Commission.

    Dated: November 19, 2010.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2010-29719 Filed 12-9-10; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 86, Number 165 (Monday, August 30, 2021)]
[Notices]
[Pages 48419-48420]
[FR Doc No: 2021-18617]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 10742-004]

Mesa Conolidated Water District; Notice of Application for
Surrender of Conduit Exemption, Soliciting Comments, Motions To
Intervene, and Protests

    Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection:
    a. Type of Proceeding: Application for surrender of conduit
exemption.
    b. Project No.: 10742-004.
    c. Date Filed: August 19, 2021.
    d. Licensee: Mesa Consolidated Water District.
    e. Name of Project: Mesa Hydroelectric Project.
    f. Location: The project is located at 1965 Placentia Avenue, on
the water distribution system of the city of Costa Mesa in Orange
County, California.
    g. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791a-825r.
    h. Licensee Contact: Andrew Wiesner, Mesa Consolidated Water
District, 1965 Placentia Avenue, Costa Mesa, CA 92627,<PHONE_NUMBER>.
    i. FERC Contact: Rebecca Martin,<PHONE_NUMBER>,
<EMAIL_ADDRESS>    j. Deadline for filing comments, interventions, and protests
Deadline for filing comments, motions to intervene, and protests:
September 23, 2021.
    The Commission strongly encourages electronic filing. Please file
comments, motions to intervene, and protests using the Commission's
eFiling system at http://www.ferc.gov/docs-filing/efiling.asp.
Commenters can submit brief comments up to 6,000 characters, without
prior registration, using the eComment system at http://www.ferc.gov/docs-filing/ecomment.asp. You must include your name and contact
information at the end of your comments. For assistance, please contact
FERC Online Support at<EMAIL_ADDRESS>(866) 208-3676 (toll
free), or<PHONE_NUMBER> (TTY). In lieu of electronic filing, you may
submit a paper copy. Submissions sent via the U.S. Postal Service must
be addressed to: Kimberly D. Bose,

Secretary, Federal Energy Regulatory Commission, 888 First Street NE,
Room 1A, Washington, DC 20426. Submissions sent via any other carrier
must be addressed to: Kimberly D. Bose, Secretary, Federal Energy
Regulatory Commission, 12225 Wilkins Avenue, Rockville, Maryland 20852.
The first page of any filing should include docket number P-10742-004.
Comments emailed to Commission staff are not considered part of the
Commission record.
    The Commission's Rules of Practice and Procedure require all
intervenors filing documents with the Commission to serve a copy of
that document on each person whose name appears on the official service
list for the project. Further, if an intervenor files comments or
documents with the Commission relating to the merits of an issue that
may affect the responsibilities of a particular resource agency, they
must also serve a copy of the document on that resource agency.
    k. Description of Request: The Licensee proposes to surrender its
conduit exemption and remove the two turbines located in one of its two
drinking water storage reservoirs. The turbines have rarely operated
since they were installed. The exemptee is proposing to remove them as
part of an upgrade to the pump station.
    l. Locations of the Application: This filing may be viewed on the
Commission's website at http://www.ferc.gov using the ``eLibrary''
link. Enter the docket number excluding the last three digits in the
docket number field to access the document. You may also register
online at http://www.ferc.gov/docs-filing/esubscription.asp to be
notified via email of new filings and issuances related to this or
other pending projects. For assistance, call 1-866-208-3676 or email
<EMAIL_ADDRESS>for TTY, call<PHONE_NUMBER>. Agencies may
obtain copies of the application directly from the applicant.
    m. Individuals desiring to be included on the Commission's mailing
list should so indicate by writing to the Secretary of the Commission.
    n. Comments, Protests, or Motions to Intervene: Anyone may submit
comments, a protest, or a motion to intervene in accordance with the
requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211,
.214, respectively. In determining the appropriate action to take, the
Commission will consider all protests or other comments filed, but only
those who file a motion to intervene in accordance with the
Commission's Rules may become a party to the proceeding. Any comments,
protests, or motions to intervene must be received on or before the
specified comment date for the particular application.
    o. Filing and Service of Documents: Any filing must (1) bear in all
capital letters the title ``COMMENTS'', ``PROTEST'', or ``MOTION TO
INTERVENE'' as applicable; (2) set forth in the heading the name of the
applicant and the project number of the application to which the filing
responds; (3) furnish the name, address, and telephone number of the
person commenting, protesting or intervening; and (4) otherwise comply
with the requirements of 18 CFR 385.2001 through 385.2005. All
comments, motions to intervene, or protests must set forth their
evidentiary basis. Any filing made by an intervenor must be accompanied
by proof of service on all persons listed in the service list prepared
by the Commission in this proceeding, in accordance with 18 CFR
385.2010.

    Dated: August 24, 2021.
Kimberly D. Bose,
Secretary.
[FR Doc. 2021-18617 Filed 8-27-21; 8:45 am]
BILLING CODE 6717-01-P