[Federal Register Volume 88, Number 22 (Thursday, February 2, 2023)]
[Notices]
[Pages 7091-7093]
[FR Doc No: 2023-02172]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2014-N-0086]

Agency Information Collection Activities; Proposed Collection;
Comment Request; Potential Tobacco Product Violations Reporting Form

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA, Agency, or we) is
announcing an opportunity for public comment on the proposed collection
of certain information by the Agency. Under the Paperwork Reduction Act
of 1995 (PRA), Federal Agencies are required to publish notice in the
Federal Register concerning each proposed collection of information,
including each proposed extension of an existing collection of
information, and to allow 60 days for public comment in response to the
notice. This notice solicits comments on the Potential Tobacco Product
Violations Reporting Form.

DATES: Either electronic or written comments on the collection of
information must be submitted by April 3, 2023.

ADDRESSES: You may submit comments as follows. Please note that late,
untimely filed comments will not be considered. The https://www.regulations.gov electronic filing system will accept comments until
11:59 p.m. Eastern Time at the end of April 3, 2023. Comments received
by mail/hand delivery/courier (for written/paper submissions) will be
considered timely if they are received on or before that date.

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments. Comments submitted
electronically, including attachments, to https://www.regulations.gov
will be posted to the docket unchanged. Because your comment will be
made public, you are solely responsible for ensuring that your comment
does not include any confidential information that you or a third party
may not wish to be posted, such as medical information, your or anyone
else's Social Security number, or confidential business information,
such as a manufacturing process. Please note that if you include your
name, contact information, or other information that identifies you in
the body of your comments, that information will be posted on https://www.regulations.gov.
     If you want to submit a comment with confidential
information that you do not wish to be made available to the public,
submit the comment as a written/paper submission and in the manner
detailed (see ``Written/Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand Delivery/Courier (for written/paper
submissions): Dockets Management Staff (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets
Management Staff, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2014-N-0086 for ``Potential Tobacco Product Violations Reporting
Form.'' Received comments, those filed in a timely manner (see
ADDRESSES), will be placed in the docket and, except for those
submitted as ``Confidential Submissions,'' publicly viewable at https://www.regulations.gov or at the Dockets Management Staff between 9 a.m.
and 4 p.m., Monday through Friday,<PHONE_NUMBER>.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The

second copy, which will have the claimed confidential information
redacted/blacked out, will be available for public viewing and posted
on https://www.regulations.gov. Submit both copies to the Dockets
Management Staff. If you do not wish your name and contact information
to be made publicly available, you can provide this information on the
cover sheet and not in the body of your comments and you must identify
this information as ``confidential.'' Any information marked as
``confidential'' will not be disclosed except in accordance with 21 CFR
10.20 and other applicable disclosure law. For more information about
FDA's posting of comments to public dockets, see 80 FR 56469, September
18, 2015, or access the information at: https://www.govinfo.gov/content/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852,<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Amber Sanford, Office of Operations,
Food and Drug Administration, Three White Flint North, 10A-12M, 11601
Landsdown St., North Bethesda, MD 20852,<PHONE_NUMBER>,
[email protected].

SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501-3521), Federal
Agencies must obtain approval from the Office of Management and Budget
(OMB) for each collection of information they conduct or sponsor.
``Collection of information'' is defined in 44 U.S.C. 3502(3) and 5 CFR
1320.3(c) and includes Agency requests or requirements that members of
the public submit reports, keep records, or provide information to a
third party. Section 3506(c)(2)(A) of the PRA (44 U.S.C. 3506(c)(2)(A))
requires Federal Agencies to provide a 60-day notice in the Federal
Register concerning each proposed collection of information, including
each proposed extension of an existing collection of information,
before submitting the collection to OMB for approval. To comply with
this requirement, FDA is publishing notice of the proposed collection
of information set forth in this document.
    With respect to the following collection of information, FDA
invites comments on these topics: (1) whether the proposed collection
of information is necessary for the proper performance of FDA's
functions, including whether the information will have practical
utility; (2) the accuracy of FDA's estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used; (3) ways to enhance the quality,
utility, and clarity of the information to be collected; and (4) ways
to minimize the burden of the collection of information on respondents,
including through the use of automated collection techniques, when
appropriate, and other forms of information technology.

Potential Tobacco Product Violations Reporting Form

OMB Control Number 0910-0716--Extension

    This information collection supports the opportunity to accept
consumer and other stakeholder feedback and notification of potential
violations of the FD&C Act, as amended by the Tobacco Control Act.
Tobacco products are generally governed by chapter IX of the Federal
Food, Drug, and Cosmetic Act (FD&C Act) (sections 900 through 920) (21
U.S.C. 387 through 21 U.S.C. 387t). The FD&C Act provides FDA authority
to monitor compliance with Federal tobacco laws and regulations and
take corrective action when violations occur.
    As part of its enforcement strategy, FDA accepts information from
the public regarding potential tobacco product violations of the FD&C
Act. Potential tobacco product violations include (but are not limited
to): (1) sales to underage purchasers (persons under 21); (2) flavored
cigarette sales; (3) illegal marketing and advertising; (4)
distribution of free samples of tobacco products except in limited
circumstances; (5) placement of cigarette or smokeless tobacco product
vending machines in prohibited areas (or providing access to self-
service or direct access of tobacco products in prohibited areas); and
(6) sale of cigarettes in packages of less than 20.
    FDA currently provides a form that may be used to collect this
information from the public (Form FDA 3779, Potential Tobacco Product
Violations Report). The Potential Tobacco Product Violations Report,
Form FDA 3779, asks for the following information: (1) date potential
violation occurred; (2) product type (e.g., cigarette, smokeless, roll-
your-own, cigar, e-cigarette, hookah, pipe tobacco); (3) tobacco brand;
(4) potential violation type; (5) type of potentially violative
promotional materials; (6) who potentially violated; (7) name, address,
phone number, and email address of the potential violator (if known);
(8) potential violator's website or internet address URL (if
available); (9) description of the potential violation; and (10) any
additional files or information pertinent to the potential violation.
    The public and interested stakeholders can report possible tobacco
product violations of the FD&C Act by submitting information on Form
FDA 3779 online, via email or postal mail, or by calling FDA's Tobacco
Call Center. Information on how to submit possible tobacco product
violations using the options above can be found at https://www.accessdata.fda.gov/scripts/ptvr/index.cfm. Further details about
reporting possible tobacco product violations of the FD&C Act can also
be found at https://www.fda.gov/tobacco-products/compliance-enforcement-training/report-potential-tobacco-product-violation.
    FDA estimates the burden of this collection of information as
follows:

                                 Table 1--Estimated Annual Reporting Burden \1\
----------------------------------------------------------------------------------------------------------------
                                                   Number of
  Activity and form FDA 3779       Number of     responses per   Total annual    Average burden     Total hours
                                  respondents     respondent       responses      per response
----------------------------------------------------------------------------------------------------------------
Reporting potential tobacco              3,000               2           6,000  0.25 (15                   1,500
 product violations of the                                                       minutes).
 FD&C Act.
----------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.

    The burden hour estimates for this collection of information were
based on the type and rate of reporting submitted through the Potential
Tobacco Violation Report Form and based on a review of the information
collection since our last

request for OMB approval. FDA estimates that submitting the information
(online, telephone, email, or mail) will take 0.25 hours (i.e., 15
minutes) per response.
    FDA estimates the number of annual respondents to this collection
of information will be 3,000, who will each submit 2 reports. Each
report is expected to take 0.25 hours to complete and submit;
therefore, total burden hours for this collection of information is
estimated to be 1,500 hours (6,000 responses x 0.25 hours per
response).
    Our estimated burden for the information collection reflects an
overall increase of 157 hours and a corresponding increase of 630
responses. We attribute this adjustment to an increase in the number of
submissions we received over the last few years.

    Dated: January 30, 2023.
Lauren K. Roth,
Associate Commissioner for Policy.
[FR Doc. 2023-02172 Filed 2-1-23; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register Volume 77, Number 245 (Thursday, December 20, 2012)]
[Notices]
[Pages 75496-75498]
[FR Doc No: 2012-30637]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2010-0327; FMCSA-2004-19477]

Qualification of Drivers; Exemption Applications; Vision

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

ACTION: Notice of renewal of exemptions; request for comments.

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SUMMARY: FMCSA announces its decision to renew the exemptions from the
vision requirement in the Federal Motor Carrier Safety Regulations for
11 individuals. FMCSA has statutory authority to exempt individuals
from the vision requirement if the exemptions granted will not
compromise safety. The Agency has concluded that granting these
exemption renewals will provide a level of safety that is equivalent to
or greater than the level of safety maintained without the exemptions
for these commercial motor vehicle (CMV) drivers.

DATES: This decision is effective January 14, 2013. Comments must be
received on or before January 22, 2013.

ADDRESSES: You may submit comments bearing the Federal Docket
Management System (FDMS) numbers: Docket No. [FMCSA-2010-0327; FMCSA-
2004-19477], using any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the on-line instructions for submitting
comments.
     Mail: Docket Management Facility; U.S. Department of
Transportation, 1200 New Jersey Avenue SE., West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery or Courier: West Building Ground Floor, Room
W12-140, 1200 New Jersey Avenue SE., Washington, DC, between 9 a.m. and
5 p.m., Monday through Friday, except Federal Holidays.
     Fax: 1-202-493-2251.
    Instructions: Each submission must include the Agency name and the
docket number for this notice. Note that DOT posts all comments
received without change to http://www.regulations.gov, including any
personal information included in a comment. Please see the Privacy Act
heading below.
    Docket: For access to the docket to read background documents or
comments, go to http://www.regulations.gov at any time or Room W12-140
on the ground level of the West Building, 1200 New Jersey Avenue SE.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays. The Federal Docket Management System (FDMS) is
available 24 hours each day, 365 days each year. If you want
acknowledgment that we received your comments, please include a self-
addressed, stamped envelope or postcard or print the acknowledgement
page that appears after submitting comments on-line.
    Privacy Act: Anyone may search the electronic form of all comments
received into any of our dockets by the name of the individual
submitting the comment (or of the person signing the comment, if
submitted on behalf of an association, business, labor union, etc.).
You may review DOT's Privacy Act Statement for the FDMS published in
the Federal Register on January 17, 2008 (73 FR 3316), or you may visit
http://edocket.access.gpo.gov/2008/pdf/E8-785.pdf.

FOR FURTHER INFORMATION CONTACT: Elaine M. Papp, Chief, Medical
Programs Division,<PHONE_NUMBER><EMAIL_ADDRESS>FMCSA,
Department of Transportation, 1200 New Jersey Avenue SE., Room W64-224,
Washington, DC 20590-0001. Office hours are from 8:30 a.m. to 5 p.m.
Monday through Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION:

Background

    Under 49 U.S.C. 31136(e) and 31315, FMCSA may renew an exemption
from the vision requirements in 49 CFR 391.41(b)(10), which applies to
drivers of CMVs in interstate commerce, for a two-year period if it
finds ``such exemption would likely achieve a level of safety that is
equivalent to or greater than the level that would be achieved absent
such exemption.'' The procedures for requesting an exemption (including
renewals) are set out in 49 CFR part 381.

Exemption Decision

    This notice addresses 11 individuals who have requested renewal of
their exemptions in accordance with FMCSA procedures. FMCSA has
evaluated these 11 applications for renewal on their merits and decided
to extend each exemption for a renewable two-year period. They are:

Charles L. Alsager (IA)
Ross E. Burroughs (NJ)
Lester W. Carter (CA)
Christopher L. Depuy (OH)
John B. Etheridge (GA)
Larry J. Folkerts (IA)
Paul W. Hunter (AL)
Ray P. Lenz (IA)
Francis M. McMullin (PA)
Norman Mullins (OH)
David J. Triplett (KY)

    The exemptions are extended subject to the following conditions:
(1) That each individual has a physical examination every year (a) by
an ophthalmologist or optometrist who attests that the vision in the
better eye continues to meet the requirements in 49 CFR 391.41(b)(10),
and (b) by a medical examiner who attests that the individual is
otherwise physically qualified under 49 CFR 391.41; (2) that each
individual provides a copy of the ophthalmologist's or optometrist's
report to the medical examiner at the time of the annual medical
examination; and (3) that each individual provide a copy of the annual
medical certification to the employer for retention in the driver's
qualification file and retains a copy of the certification on his/her
person while driving for presentation to a duly authorized Federal,
State, or local enforcement official. Each exemption will be valid for
two years unless rescinded earlier by FMCSA. The exemption will be
rescinded if: (1) The person fails to comply with the terms and
conditions of the exemption; (2) the exemption has resulted in a lower
level of safety than was maintained before it was granted; or (3)
continuation of the exemption would not be consistent with the goals
and objectives of 49 U.S.C. 31136(e) and 31315.

Basis for Renewing Exemptions

    Under 49 U.S.C. 31315(b)(1), an exemption may be granted for no
longer than two years from its approval date and may be renewed upon
application for additional two year periods. In accordance with 49
U.S.C. 31136(e) and 31315, each of the 11 applicants has satisfied the
entry conditions for obtaining an exemption from the vision
requirements (69 FR 64806; 70 FR 2705; 72 FR 1056; 73 FR 76439; 75 FR
65057; 75 FR 79081; 75 FR 79084). Each of these 11 applicants has
requested renewal of the exemption and has submitted evidence showing
that the vision in the better eye continues to meet the requirement
specified at 49 CFR 391.41(b)(10) and that the vision impairment is
stable. In addition, a review of each record of safety while driving
with the respective vision deficiencies over the past two years
indicates each applicant continues to meet the vision exemption
requirements.
    These factors provide an adequate basis for predicting each
driver's ability to continue to drive safely in interstate commerce.
Therefore, FMCSA concludes that extending the exemption for each
renewal applicant for a period of two years is likely to achieve a
level of safety equal to that existing without the exemption.

Request for Comments

    FMCSA will review comments received at any time concerning a

particular driver's safety record and determine if the continuation of
the exemption is consistent with the requirements at 49 U.S.C. 31136(e)
and 31315. However, FMCSA requests that interested parties with
specific data concerning the safety records of these drivers submit
comments by January 22, 2013.
    FMCSA believes that the requirements for a renewal of an exemption
under 49 U.S.C. 31136(e) and 31315 can be satisfied by initially
granting the renewal and then requesting and evaluating, if needed,
subsequent comments submitted by interested parties. As indicated
above, the Agency previously published notices of final disposition
announcing its decision to exempt these 11 individuals from the vision
requirement in 49 CFR 391.41(b)(10). The final decision to grant an
exemption to each of these individuals was made on the merits of each
case and made only after careful consideration of the comments received
to its notices of applications. The notices of applications stated in
detail the qualifications, experience, and medical condition of each
applicant for an exemption from the vision requirements. That
information is available by consulting the above cited Federal Register
publications.
    Interested parties or organizations possessing information that
would otherwise show that any, or all, of these drivers are not
currently achieving the statutory level of safety should immediately
notify FMCSA. The Agency will evaluate any adverse evidence submitted
and, if safety is being compromised or if continuation of the exemption
would not be consistent with the goals and objectives of 49 U.S.C.
31136(e) and 31315, FMCSA will take immediate steps to revoke the
exemption of a driver.

    Issued on: December 12, 2012.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2012-30637 Filed 12-19-12; 8:45 am]
BILLING CODE 4910-EX-P


[Federal Register Volume 79, Number 174 (Tuesday, September 9, 2014)]
[Notices]
[Pages 53490-53492]
[FR Doc No: 2014-21359]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-72965; File No. SR-BX-2014-039]

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change Relating to
Common Ownership

September 3, 2014.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on August 20, 2014, NASDAQ OMX BX, Inc. (``BX'' or ``Exchange'') filed
with the Securities and Exchange Commission (``SEC'' or ``Commission'')
the proposed rule change as described in Items I, II, and III below,
which Items have been prepared by the Exchange. The Commission is
publishing this notice to solicit comments on the proposed rule change
from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange is filing a proposed rule change to harmonize the
process by which it collects information from its equity members and
Options Participants for aggregating the activity of affiliated
entities for the purposes of assessing charges or credits.
    The Exchange requests that this filing become operative on December
1, 2014.
    The text of the proposed rule change is set forth below. Proposed
new language is in italics; deleted text is in brackets.
* * * * *

Chapter XV Options Pricing

    BX Options Market Participants may be subject to the Charges for
Membership, Services and Equipment in the Rule 7000 Series as well as
the fees in this Chapter XV. For purposes of assessing fees and paying
rebates, the following references should serve as guidance.
    The term ``Customer'' or (``C'') applies to any transaction that is
identified by a Participant for clearing in the Customer range at The
Options Clearing Corporation (``OCC'') which is not for the account of
broker or dealer or for the account of a ``Professional'' (as that term
is defined in Chapter I, Section 1(a)(48)).
    The term ``BX Options Market Maker'' or (``M'') is a Participant
that has registered as a Market Maker on BX Options pursuant to Chapter
VII, Section 2, and must also remain in good standing pursuant to
Chapter VII, Section 4. In order to receive Market Maker pricing in all
securities, the Participant must be registered as a BX Options Market
Maker in at least one security.
    The term ``Non-BX Options Market Maker'' or (``O'') is a registered
market maker on another options exchange that is not a BX Options
Market Maker. A Non-BX Options Market Maker must append the proper Non-
BX Options Market Maker designation to orders routed to BX Options.
    The term ``Firm'' or (``F'') applies to any transaction that is
identified by a Participant for clearing in the Firm range at OCC.
    The term ``Professional'' or (``P'') means any person or entity
that (i) is not a broker or dealer in securities, and (ii) places more
than 390 orders in listed options per day on average during a calendar
month for its own beneficial account(s) pursuant to Chapter I, Section
1(a)(48). All Professional orders shall be appropriately marked by
Participants.
    The term ``Broker-Dealer'' or (``B'') applies to any transaction
which is not subject to any of the other transaction fees applicable
within a particular category.
    The term ``Common Ownership'' shall mean Participants under 75%
common ownership or control.
    (a) For purposes of applying any options transaction fee or rebate
where the fee assessed, or rebate provided by BX depends upon the
volume of an Options Participant's activity, an Options Participant may
request that BX aggregate its activity with the activity of its
affiliates.
    (1) An Options Participant requesting aggregation of affiliate
activity shall be required to certify to BX the affiliate status of
entities whose activity it seeks to aggregate prior to receiving
approval for aggregation, and shall be required to inform BX
immediately of any event that causes an entity to cease to be an
affiliate. BX shall review available information regarding the
entities, and reserves the right to request additional information to
verify the affiliate status of an entity. BX shall approve a request
unless it determines that the certification is not accurate.
    (2) If two or more Options Participants become affiliated on or
prior to the sixteenth day of a month, and submit the required request
for aggregation on or prior to the twenty-second day of the month, an
approval of the request by BX shall be deemed to be effective as of the
first day of that month. If two or more Options Participants become
affiliated after the sixteenth day of a month, or submit a request for
aggregation after the twenty-second day of the month, an approval of
the request by BX shall be deemed to be effective as of the first day
of the next calendar month.
    (b) For purposes of applying any options transaction fee or rebate
where the fee assessed, or rebate provided, by BX depends upon the
volume of an Options Participant's activity, references to an entity
(including references to a ``Options Participant'') shall be deemed to
include the entity and its affiliates that have been approved for
aggregation.
    (c) For purposes of options pricing, the term ``affiliate'' of an
Options Participant shall mean any Options Participant under 75% common
ownership or control of that Options Participant.
    With respect to Chapter XV, Sections 2(1) and (2) the order that is
received by the trading system first in time shall be considered an
order adding liquidity and an order that trades against that order
shall be considered an order removing liquidity.
* * * * *

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

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

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

1. Purpose
    The Exchange is proposing to amend BX Options Rules at Chapter XV,
entitled ``Options Pricing,'' to

harmonize the process by which the Exchange will collect information
from Options Participants that desire their activity to be aggregated
for the purposes of assessing charges or credits with the process
currently required for equity members on BX. The Exchange proposes to
adopt the process that is used by equity members today without changing
that process. The Exchange believes that this filing is non-
controversial because the process, as proposed, will not change.
    Today, equity members may aggregate affiliate activity based on
volume of activity for purposes of pricing.\3\ Today, the Exchange does
not offer the ability to aggregate pricing to its Options Participants.
The Exchange is proposing to define Common Ownership, in the same
manner it is defined today for options participants at The NASDAQ
Options Market LLC (``NOM'') and NASDAQ OMX PHLX LLC (``Phlx''). The
term ``Common Ownership'' means Participants under 75 percent common
ownership or control. The Exchange proposes to define Common Ownership
in the instance that BX Options offered the ability to aggregate
pricing. Further, the Exchange proposes to adopt the same process that
exists today for equity members with respect to the manner in which it
would collect information to aggregate pricing.
---------------------------------------------------------------------------

    \3\ See BX Rule 7027(a).
---------------------------------------------------------------------------

    Today, a BX equity member requesting aggregation of affiliate
activity is required to certify to BX the affiliate status of entities
whose activity it seeks to aggregate prior to receiving approval for
aggregation, and also is required to inform BX immediately of any event
that causes an entity to cease to be an affiliate. BX reviews available
information regarding the entities, and reserves the right to request
additional information to verify the affiliate status of an entity. BX
approves a request unless it determines that the certification is not
accurate. Further, if two or more members become affiliated on or prior
to the sixteenth day of a month, and submit the required request for
aggregation on or prior to the twenty-second day of the month, an
approval of the request by BX is deemed to be effective as of the first
day of that month. If two or more members become affiliated after the
sixteenth day of a month, or submit a request for aggregation after the
twenty-second day of the month, an approval of the request by BX is
deemed to be effective as of the first day of the next calendar month.
    The Exchange proposes to amend BX Options Rules at Chapter XV to
adopt language consistent with the requirements applied today to BX
equity members and require BX Options Participants to provide the same
type of information in order to receive aggregated pricing.
    The Exchange believes that harmonizing the Options Rules of BX to
conform to those of NOM and Phlx with respect to Common Ownership and
also requiring all BX members, equity and options, to provide
information with respect to affiliates promotes consistency and avoids
confusion.
    The Exchange proposes to apply this pricing as of December 1, 2014
and issue an Options Trader Alert to its members.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act \4\ in general, and furthers the objectives of Section
6(b)(5) of the Act \5\ in particular, that it is designed to promote
just and equitable principles of trade, to remove impediments to and
perfect the mechanism of a free and open market and a national market
system, and, in general to protect investors and the public interest,
in that the proposal will harmonize its Common Ownership Rules with
those of NOM and Phlx and also will harmonize the process by which the
Exchange collects information from equity members and Options
Participants regarding the aggregation of activity of affiliated
entities for the purpose of assessing charges or credits.
---------------------------------------------------------------------------

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

    The Exchange believes that applying the same 75% standard for
Common Ownership as NOM and Phlx will provide consistency among these
exchanges with respect to aggregating volume. In addition, the Exchange
believes that harmonizing the process by which the Exchange collects
information related to aggregation for equity members and Options
Participants will provide consistency to market participants with
respect to meeting the requirements to aggregate on BX. Also, the
Exchange believes that adopting this method for collecting such
information on aggregated pricing, with respect to Options
Participants, will ensure proper validation for firms entitled to the
aggregation.

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

    BX does not believe that the proposed rule change will impose any
burden on competition not necessary or appropriate in furtherance of
the purposes of the Act. The Exchange is merely seeking to harmonize
the manner in which it aggregates pricing and collects information
related to the aggregation of activity of affiliated entities for the
purposes of assessing charges or credits for equity members and Options
Participants. The Exchange intends to apply a uniform process to
request such aggregation for all BX members and BX Options
Participants.

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

    No written comments were either solicited or received.

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

    Because the foregoing proposed rule change does not significantly
affect the protection of investors or the public interest; does not
impose any significant burden on competition; and by its terms does not
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate., it has become
effective pursuant to Section 19(b)(3)(A) \6\ of the Act and Rule 19b-
4(f)(6)(iii) thereunder.\7\
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78s(b)(3)(A).
    \7\ 17 CFR 240.19b-4(f)(6)(iii).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is: necessary
or appropriate in the public interest; for the protection of investors;
or otherwise in furtherance of the purposes of the Act. If the
Commission takes such action, the Commission shall institute
proceedings to determine whether the proposed rule should be approved
or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-BX-2014-039 on the subject line.

Paper Comments

     Send paper comments in triplicate to Secretary, Securities
and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
All submissions should refer to File Number SR-BX-2014-039. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml).
    Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for Web site viewing and printing in
the Commission's Public Reference Room, 100 F Street NE., Washington,
DC 20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change; the Commission does not edit
personal identifying information from submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File Number SR-BX-2014-039 and should be
submitted on or before September 30, 2014.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\8\
---------------------------------------------------------------------------

    \8\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O' Neill,
Deputy Secretary.
[FR Doc. 2014-21359 Filed 9-8-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 84, Number 30 (Wednesday, February 13, 2019)]
[Notices]
[Pages 3843-3846]
[FR Doc No: 2019-02115]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-85071; File No. SR-NYSE-2019-01]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend Rule 7.31 Relating to the Minimum Trade Size Modifier

February 7, 2019.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that on January 28, 2019, New York Stock Exchange LLC (``NYSE''
or the ``Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the

proposed rule change as described in Items I and II below, which Items
have been prepared by the self-regulatory organization. The Commission
is publishing this notice to solicit comments on the proposed rule
change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

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

    The Exchange proposes to amend Rule 7.31 relating to the Minimum
Trade Size Modifier. The proposed rule change is available on the
Exchange's website at www.nyse.com, at the principal office of the
Exchange, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The Exchange proposes to amend Rule 7.31 relating to the Minimum
Trade Size (``MTS'') Modifier. Specifically, the Exchange proposes to
make the MTS Modifier available for Non-Displayed Limit Orders \4\ and
Non-Displayed Primary Pegged Orders.\5\ The Exchange also proposes to
provide additional optionality for member organizations using the MTS
Modifier with Limit IOC Orders, Non-Displayed Limit Orders, and Mid-
Point Liquidity (``MPL'') Orders. As proposed, member organizations
could choose how such orders would trade on arrival to trade either
with (i) orders that in the aggregate meet the MTS (current
functionality), or (ii) individual orders that each meet the MTS
(proposed functionality).
---------------------------------------------------------------------------

    \4\ See Rule 7.31(d)(2). In sum, a Non-Displayed Limit Order is
a Limit Order that is not displayed and does not route. Id.
    \5\ See Rule 7.31(h)(4). In sum, A Non-Displayed Primary Pegged
Order is a Pegged Order to buy (sell) with a working price that is
pegged to the PBB (PBO), with no offset allowed, that is not
displayed and does not route. Id.
---------------------------------------------------------------------------

    The MTS Modifier is currently available for Limit IOC Orders \6\
and MPL Orders.\7\ As such, the MTS Modifier is currently available
only for orders that are not displayed and do not route. On arrival,
both Limit IOC Orders and MPL Orders with an MTS Modifier will trade
against contra-side orders in the Exchange Book that in the aggregate,
meet the MTS. Once resting, MPL Orders with an MTS Modifier function
similarly: If a contra-side order does not meet the MTS, the incoming
order will not trade with and may trade through the resting order with
the MTS Modifier. In addition, MPL Orders with an MTS Modifier will be
cancelled if such orders are traded in part or reduced in size and the
remaining quantity is less than the MTS.
---------------------------------------------------------------------------

    \6\ See Rule 7.31(b)(2)(A). In sum, a Limit Order designated IOC
is to be traded in whole or in part on the Exchange as soon as such
order is received, and the quantity not so traded is cancelled. Id.
    \7\ See Rule 7.31(d)(3). In sum, an MPL Order is a ``Limit Order
that is not displayed and does not route, with a working price at
the midpoint of the PBBO.'' Id.
---------------------------------------------------------------------------

    The Exchange proposes to amend its rules to make MTS Modifier
functionality available for two additional non-displayed orders that do
not route, i.e., Non-Displayed Limit Orders and Non-Displayed Primary
Pegged Orders.\8\
---------------------------------------------------------------------------

    \8\ The Exchange also proposes to make related changes to
paragraph (F) of Rule 7.31(i)(3) and Rule 7.37 to refer to orders
with an MTS Modifier generally to accommodate the additional order
types that may include an MTS Modifier.
---------------------------------------------------------------------------

    The Exchange also proposes to add an option that an order with an
MTS Modifier would trade on entry only with individual orders that each
meet the MTS. This proposed change is based on the rules of its
affiliate, NYSE American LLC (``NYSE American''), which offers the
option for orders with an MTS to trade on entry only with individual
orders that each meet the MTS of the incoming order.\9\ Both of these
proposed changes are also based on the rules of the Nasdaq Stock Market
LLC (``Nasdaq'') and Investors Exchange LLC (``IEX''), which both offer
minimum trade size functionality for orders that are not displayed and
that do not route.\10\ Nasdaq and IEX, as well as Cboe BYX Exchange,
Inc. (``BYX''), Cboe BZX Exchange, Inc. (``BZX''), Cboe EDGA Exchange,
Inc. (``EDGA''), and Cboe EDGX Exchange, Inc. (``EDGX'', together with
BYX, BZX, and EDGA, the ``Cboe Equity Exchanges''), also all offer the
option for orders with a minimum trade size to trade on entry only with
individual orders that each meet the minimum trade size condition of
the incoming order.\11\
---------------------------------------------------------------------------

    \9\ See NYSE American Rule 7.31E(i)(3)(B). See also Securities
Exchange Act Release No. 81672 (September 21, 2017), 82 FR 45099
(September 27, 2017) (SR-NYSEAMER-2017-17) (Notice of Filing and
Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31E
Relating to the Minimum Trade Size Modifier for Additional Order
Types and Expanding the Minimum Trade Size Modifier for Existing
Order Types). The Exchange understands that NYSE American as well as
its other affiliated exchanges, NYSE Arca, Inc. (``NYSE Arca''), and
NYSE National, Inc. (``NYSE National'', together with the Exchange
and NYSE Arca, the ``Affiliate SROs'') intend to file similar
proposed rule changes with the Commission to extend the availability
of their respective MTS Modifiers to Non-Displayed Limit Orders.
    \10\ See Nasdaq Rule 4703(e) (Nasdaq's ``Minimum Quantity
Order'' may not be displayed and will be rejected if it includes an
instruction to route) and IEX Rule 11.190(b)(11)(A) (IEX's ``Minimum
Quantity Order'' or ``MQTY'' is a non-displayed, non-routable
order'').
    \11\ See Nasdaq Rule 4703(e) (Nasdaq's ``Minimum Quantity''
order attribute allows for a Nasdaq participant to specify one of
two alternatives to how a Minimum Quantity Order would be processed
at the time of entry, one of which is that ``the minimum quantity
condition must be satisfied by execution against one or more orders,
each of which must have a size that satisfies the minimum quantity
condition'') and IEX Rule 11.190(b)(11)(G)(iii)(B) (On arrival,
IEX's ``Minimum Execution Size with All-or-None Remaining''
qualifier for IEX's MQTY executes against each willing resting order
in priority, provided that each individual execution size meets its
effective minimum quantity.) See also BYX Rule 11.9(c)(5); BZX Rule
11.9(c)(5); EDGA Rule 11.6(h); and EDGX Rule 11.6(h) (The Cboe
Equity Exchanges each allow a User to alternatively specify the
order not execute against multiple aggregated orders simultaneously
and that the minimum quantity condition be satisfied by each
individual order resting on the book.)
---------------------------------------------------------------------------

    Rule 7.31(i)(3) currently states that on arrival, an order to buy
(sell) with an MTS Modifier will trade with sell (buy) orders in the
Exchange Book that in the aggregate meet such order's MTS. As amended,
Rule 7.31(i)(3)(B) would now require a member organization to specify
one of the following instructions with respect to how an order with an
MTS Modifier would trade on arrival (new text underlined):

[GRAPHIC] [TIFF OMITTED] TN13FE19.001

    Proposed paragraph (i)(3)(B)(ii) is new and reflects the Exchange's
proposal to add an alternative to how an order with an MTS Modifier
would trade on arrival. An order with an MTS Modifier that is to trade
upon entry only with individual orders that each meet the MTS would
execute against resting orders in accordance with Rules
7.31(i)(3)(F)(i) and 7.36, Order Ranking and Display, until it reaches
an order that does not satisfy the MTS, at which point it would be
posted or cancelled in accordance with the terms of the order. This
proposed rule text is also based on NYSE American Rule
7.31E(i)(3)(B).\12\ Proposed Exchange Rule 7.31(i)(3)(B)(i) would
describe the existing functionality as one of the instructions that
would be available to member organizations.
---------------------------------------------------------------------------

    \12\ See supra note 9.
---------------------------------------------------------------------------

    As discussed above, the addition of this instruction for how orders
with an MTS Modifier would trade on entry is based on the rules of NYSE
American, Nasdaq, IEX, and the Cboe Equity Exchanges.\13\
---------------------------------------------------------------------------

    \13\ See supra notes 9 and 11.
---------------------------------------------------------------------------

    For parity allocation purposes, the Exchange proposes to treat an
order with an MTS Modifier that is to execute on entry only with
individual orders that each meet the MTS the same as a resting order
with an MTS Modifier that becomes an Aggressing Order. Rule
7.31(i)(3)(F)(ii) sets forth how a resting order to buy (sell) with an
MTS that becomes an Aggressing Order trades with sell (buy) orders in a
priority category that allocates orders on parity. Because in a parity
allocation model, more than one contra-side resting order may
participate in an allocation, the Aggressing Order to buy (sell) with
an MTS Modifier does not trade with any contra-side orders if at least
one sell (buy) order that would have been considered for allocation
does not meet the MTS. The Exchange proposes that this allocation logic
would be applicable both when an order is resting and becomes an
Aggressing Order (current functionality) or when an order is designated
to execute on entry only with individual orders that each meet the MTS
(proposed functionality). In such scenario, if the arriving order
cannot trade, it would be ranked on the Exchange Book.
    Because of the technology changes associated with this proposed
rule change, the Exchange will announce the implementation date of this
proposed rule change by Trader Update. The Exchange anticipates that
the implementation date will be in the first quarter of 2019.
2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the
Securities Exchange Act of 1934 (the ``Act''),\14\ in general, and
furthers the objectives of Section 6(b)(5),\15\ in particular, because
it is designed to prevent fraudulent and manipulative acts and
practices, to promote just and equitable principles of trade, to foster
cooperation and coordination with persons engaged in facilitating
transactions in securities, to remove impediments to, and perfect the
mechanism of, a free and open market and a national market system and,
in general, to protect investors and the public interest.
---------------------------------------------------------------------------

    \14\ 15 U.S.C. 78f(b).
    \15\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that the proposal to expand the availability
of the Exchange's existing MTS Modifier to two additional non-
displayed, non-routable orders, e.g., Non-Displayed Limit Orders and
Non-Displayed Primary Pegged Orders, would remove impediments to, and
perfect the mechanism of, a free and open market and a national market
system and, in general, to protect investors and the public interest,
because the proposed rule change is based on similar minimum trade size
functionality on Nasdaq and IEX, which both similarly make minimum
trade size functionality available to non-displayed, non-routable
orders.\16\
---------------------------------------------------------------------------

    \16\ See supra note 10.
---------------------------------------------------------------------------

    The Exchange also believes that the proposal would remove
impediments to, and perfect the mechanism of, a free and open market
and a national market system and, in general, to protect investors and
the public interest because it would provide member organizations with
the option for orders with a MTS Modifier to trade on entry only with
individual orders that each meets the MTS of the incoming order,
thereby providing member organizations with more control in how such
orders could execute. The proposed rule change is based on similar
options available for users of minimum trade size functionality on the
Exchange's affiliate, NYSE American, as well as Nasdaq, IEX, and the
Cboe Equity Exchanges.\17\ The Exchange further believes that this
proposed option would remove impediments to, and perfect the mechanism
of, a free and open market and a national market system because it
would allow member organizations to provide an instruction that an
order with an MTS Modifier would not trade with orders that are smaller
in size than the MTS for such order, thereby providing member
organizations with more control over when an order with an MTS Modifier
may be executed.
---------------------------------------------------------------------------

    \17\ See supra notes 9 and 11.
---------------------------------------------------------------------------

    The Exchange believes that if a member organization designates an
order with an MTS Modifier, that member organization has instructed the
Exchange not to trade that order with contra-side orders that are
smaller in size than the MTS. Because in a parity allocation, resting
orders are allocated based on their position on an allocation wheel, it
would be consistent with the incoming order's instruction and current
functionality for resting orders with an MTS that become an Aggressing
Order not to trade at all rather than to trade with even one order in
the parity allocation that that does not meet the MTS.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The Exchange believes that
the proposed rule change is designed to increase competition by making
available on the Exchange functionality that is already available on
Nasdaq, IEX, and the Cboe Equity Exchanges. The Exchange also believes
that the proposed rule change would promote competition by providing
market participants with an additional venue to which to route non-
displayed, non-routable orders with an MTS Modifier.

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

    No written comments were solicited or received with respect to the
proposed rule change.

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \18\ and Rule 19b-4(f)(6) thereunder.\19\
Because the proposed rule change does not: (i) Significantly affect the
protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative prior to
30 days from the date on which it was filed, or such shorter time as
the Commission may designate, if consistent with the protection of
investors and the public interest, the proposed rule change has become
effective pursuant to Section 19(b)(3)(A) of the Act and Rule 19b-
4(f)(6)(iii) thereunder.\20\
---------------------------------------------------------------------------

    \18\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \19\ 17 CFR 240.19b-4(f)(6).
    \20\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)
requires the Exchange to give the Commission written notice of its
intent to file the proposed rule change, along with a brief
description and text of the proposed rule change, at least five
business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \21\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \21\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSE-2019-01 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2019-01. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSE-2019-01 and should be submitted on
or before March 6, 2019.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\22\
---------------------------------------------------------------------------

    \22\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-02115 Filed 2-12-19; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 10 (Tuesday, January 17, 2012)]
[Notices]
[Pages 2291-2292]
[FR Doc No: 2012-692]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RM98-1-000]

Records Governing Off-the-Record Communications; Public Notice

    This constitutes notice, in accordance with 18 CFR 385.2201(b), of
the receipt of prohibited and exempt off-the-record communications.
    Order No. 607 (64 FR 51222, September 22, 1999) requires Commission
decisional employees, who make or receive a prohibited or exempt off-
the-record communication relevant to the merits of a contested
proceeding, to deliver to the Secretary of the Commission, a copy of
the communication, if written, or a summary of the substance of any
oral communication.
    Prohibited communications are included in a public, non-decisional
file associated with, but not a part of, the decisional record of the
proceeding. Unless the Commission determines that the prohibited
communication and any responses thereto should become a part of the
decisional record, the prohibited off-the-record communication will not
be considered by the Commission in reaching its decision. Parties to a
proceeding may seek the opportunity to respond to any facts or
contentions made in a prohibited off-the-record communication, and may
request that the Commission place the prohibited communication and
responses thereto in the decisional record. The Commission will grant
such a request only when it determines that fairness so requires. Any
person identified below as having made a prohibited off-the-record
communication shall serve the document on all parties listed on the
official service list for the applicable proceeding in accordance with
Rule 2010, 18 CFR 385.2010.
    Exempt off-the-record communications are included in the decisional
record of the proceeding, unless the communication was with a
cooperating agency as described by 40 CFR 1501.6, made under 18 CFR
385.2201(e)(1)(v).
    The following is a list of off-the-record communications recently
received by the Secretary of the Commission. The communications listed
are grouped by docket numbers in ascending order. These filings are
available for review at the Commission in the Public Reference Room or
may be viewed on the Commission's Web site 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. For
assistance, please contact FERC, Online Support at
<EMAIL_ADDRESS>or toll free at<PHONE_NUMBER>, or for TTY,
contact<PHONE_NUMBER>.

----------------------------------------------------------------------------------------------------------------
                                                 Document
                  Docket No.                      dated                    Presenter or requester
----------------------------------------------------------------------------------------------------------------
Prohibited:
    1. CP07-444-000..........................     11-18-11  Several Individuals.\1\
    2. EC11-60-000...........................     12-17-11  Marshall Burkes.
    3. RM10-23-002...........................     12-22-11  Theodore J. Skerpon.
Exempt:
    1. P-2503-147............................      11-1-11  Commission Staff.\2\
    2. CP11-515-000..........................      11-2-11  Janice and Kevin O'Keeffe
    3. CP11-515-000..........................     11-14-11  Commission Staff.\3\
    4. DI10-9-000............................     11-18-11  Hon. John Williamson, M.P.
    5. P-2277-023............................     11-21-11  Commission Staff.\4\
    6. CP11-56-000...........................     11-28-11  Commission Staff.\5\
    7. CP11-161-000..........................     11-28-11  Commission Staff.\6\
    8. P-13417-000...........................      12-5-11  Hon. Herb Kohl
    9. CP11-72-000...........................      12-9-11  Commission Staff.\7\
    10. CP12-30-000..........................     12-15-11  Hon. Leonard Lance.
    11. P-14263-000..........................     12-16-11  Gov. Matthew H. Mead.
    12. CP11-14-000..........................     12-20-11  Commission Staff``. \8\
    13. P-12632-002..........................     12-20-11  Hon. Troy Fraser.
    14. P-2188-000...........................     12-22-11  Hon. Max Baucus.
----------------------------------------------------------------------------------------------------------------
\1\ Form letters were submitted from 379 individuals over the period of 11/18 to 12/22.
\2\ Telephone record.
\3\ Telephone records and email exchanges that occurred on 11/14 and 11/29.
\4\ Telephone record.
\5\ Telephone record from three occurrences--11/28, 12/7 and 12/20.
\6\ Telephone record.
\7\ Telephone record from two occurrences--12/9 and 12/13.
\8\ Email exchanges that occurred on 12/20 and 12/27.

    Dated: January 10, 2012.
 Nathaniel J. Davis, Sr.,
 Deputy Secretary.
[FR Doc. 2012-692 Filed 1-13-12; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 76, Number 23 (Thursday, February 3, 2011)]
[Proposed Rules]
[Pages 6094-6095]
[FR Doc No: 2011-2317]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Parts 27 and 29

FAA Public Forum To Conduct Regulatory Review

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of public meeting.

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

SUMMARY: The FAA announces an informal meeting to discuss the FAA
rotorcraft rules, 14 CFR parts 27 and 29, and to gather any relevant
information that will help with drafting any future rule changes.

DATES: The public meeting will be held on March 8, 2011, from 1 to 5
p.m. (ET).

ADDRESSES: The meeting is in conjunction with the Helicopter
Association International (HAI) Heli-Expo at the Orange County
Convention Center, Room S.310, South Concourse, 9899 International
Drive, Orlando, Florida. Attendees are not required to register for the
Heli-Expo conference to participate in this public forum.

FOR FURTHER INFORMATION CONTACT: Fred Stellar, Rotorcraft Standards
Staff, ASW-110, 2601 Meacham Boulevard, Fort Worth, TX 76137; telephone
(817) 222-5179; or by e-mail at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The meeting is announced pursuant to 49
U.S.C. 40113 and 49 U.S.C. 44701 to take actions the FAA considers
necessary in order to enhance safety in air commerce and the DOT
policies and procedures to seek public participation in that process.

Purpose of the Public Meeting

    The purpose of this informal meeting is to gather information that
may drive regulatory changes. The FAA will review and consider all
material presented by participants at the public meeting. FAA will use
the information to analyze the need and scope for potential rule
changes to enhance rotorcraft safety. The goal is to reduce the
accident/incident rate for rotorcraft through promulgation of minimum
safety standards in line with today's technology and helicopter
operations. The FAA will have management and technical specialists
available from the Aircraft Certification Service to entertain
questions and discuss issues presented by the audience. Attendance is
open to all interested persons, but will be limited to the space
available.

Public Meeting Procedures

    At this meeting, we will outline our approach to conduct a
comprehensive review of 14 CFR parts 27 and 29 rules for rotorcraft
airworthiness. We will give a brief presentation discussing the primary
safety concerns driving potential revision of rotorcraft rules.
Following the brief presentation, the audience will be encouraged to
comment or make suggestions regarding potential changes to the
regulations governing rotorcraft airworthiness. An FAA representative
will facilitate the meeting per the following procedures:

    (1) The meeting will be informal and non-adversarial. No individual
will be subject to cross examination by any other participant. FAA
representatives on the panel may ask questions to clarify statements
and to ensure an accurate record. Any statement made during the meeting
by a panel member should not be construed as an official position of
the government.
    (2) There will be no admission fees or other charges to attend or
to participate in the public meeting. The meeting will be open to all
persons, subject to availability of space in the meeting room. The FAA
will make every effort to accommodate all persons wishing to attend.
    (3) Speakers may be limited to 5-10 minute statements.
    (4) The meeting will be recorded by a court reporter.

    Issued in Fort Worth, Texas on January 27, 2011.
Kimberly K. Smith,
Manager, Rotorcraft Directorate, Aircraft Certification Service.
[FR Doc. 2011-2317 Filed 2-2-11; 8:45 am]
BILLING CODE 4910-13-P