[Federal Register: August 5, 2010 (Volume 75, Number 150)]
[Notices]
[Page 47329-47330]
[DOCID:fr05au10-100]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-62579; File No. SR-CBOE-2010-068]

Self-Regulatory Organizations; Chicago Board Options Exchange,
Incorporated; Notice of Filing and Immediate Effectiveness of Proposed
Rule Change To Amend Fees Schedule

July 28, 2010.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on July 16, 2010, Chicago Board Options Exchange, Incorporated
(``Exchange'' or ``CBOE'') filed with the Securities and Exchange
Commission (the ``Commission'') the proposed rule change as described
in Items I, II, and III below, which Items have been prepared by the
Exchange. The Exchange has designated this proposal as one establishing
or changing a due, fee, or other charge imposed by CBOE under Section
19(b)(3)(A)(ii) of the Act \3\ and Rule 19b-4(f)(2) thereunder.\4\ 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.
    \3\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \4\ 17 CFR 240.19b-4(f)(2).
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I. Self-Regulatory Organization's Statement of the Terms of the
Substance of the Proposed Rule Change

    The Exchange proposes to amend its Fees Schedule to make changes
related to options on Exchange-Traded Notes and Exchange-Traded Funds.
The text of the proposed rule change is available on the Exchange's Web
site at http://www.cboe.org/Legal, at the Exchange's Office of the
Secretary, on the Commission's Web site at http://www.sec.gov, 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
Statutory Basis for, the Proposed Rule Change

1. Purpose
Exchange-Traded Note (``ETN'') Options 5
    The first change being proposed by this filing is to codify the
Exchange's existing practice of assessing fees for transactions in ETN
options at the same rates charged for Exchange-Traded Fund (``ETF'')
options.\6\ To affect this change, the Exchange is proposing to amend
Section 1, Index Options, to the Fees Schedule by including references
to ETNs throughout that section. The transaction fees for ETN options
are as follows:
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    \5\ ETN options are also referred to as ``Index Linked
Securities'' in Interpretation and Policy .13 to Rule 5.3. See also
Securities Exchange Act Release No. 58204 (July 22, 2008), 73 FR
43807 (July 28, 2008) (order approving proposal to list and trade
ETN options) (SR-CBOE-2008-64).
    \6\ See e.g., Securities Exchange Act Release No. 61696 (March
12, 2010), 75 FR 13174 (March 18, 2010) (noting the Exchange's
belief that the marketplace and investors expect ETN options to
trade in a similar manner to ETF options) (SR-CBOE-2010-005).
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     $0.20 per contract for Market-Maker and Designated Primary
Market-Maker transactions;\7\
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    \7\ This is the standard rate that is subject to the Liquidity
Provider Sliding Scale as set forth in Footnote 10 to the Fees
Schedule.
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     $0.20 per contract for Clearing Trading Permit Holder
proprietary transactions;
     $0.25 per contract for manually executed broker-dealer
transactions;
     $0.45 per contract for electronically executed broker-
dealer transactions;
     $0.20 per contract for voluntary professional
transactions;
     $0.20 per contract for professional transactions;
     $0.18 per contract for customer transactions; and
     $0.10 per contract CFLEX surcharge fee.
    The Exchange is also proposing to amend Section 2, Marketing Fee,
to the Fees Schedule to codify the marketing fee ($0.25) that will be
assessed to any ETN options classes that participate in the Penny
Pilot. Currently, there are no ETN options classes in the Penny Pilot.
    In addition, the Exchange is proposing to add a reference to ETN
options to Footnote 6 regarding the assessment of the marketing fee,
which is $0.65 per contract for those classes not in the Penny
Pilot.\8\
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    \8\ See Section 2, Marketing Fee, of the Fees Schedule.
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    The Exchange is also proposing to add a reference to ETN options to
Footnote 9 regarding the waiver of transaction fees for customer orders
of 99 contracts or less and the charging of any leg of a complex order
in ETN options that exceed 99 contracts, even if the leg is only
partially executed below the 99 contract threshold.
    Lastly, the Exchange is proposing to add a reference to ETN options
to Section 18, Customer Large Trade Discount, which provides that
regular customer transaction fees will only be charged up to the first
3,000 contracts.
Exchange-Traded Note and HOLDRs Options
    The second change being proposed by this filing is to amend Section
2, Marketing Fee, to the Fees Schedule to codify the marketing fee
($0.25) that will be assessed to any ETF and Holding Company Depository
Receipts (``HOLDRs'') option classes that participate in the Penny
Pilot (other than those ETF options that are either assessed a modified
marketing fee or no marketing fee).
    In addition, the Exchange notes that options on the iShares MSCI
Emerging Markets Index Fund (``EEM'') and the iShares MSCI Taiwan Index
Fung [sic] (``EWT'') are not assessed a marketing fee.\9\ EEM and EWT
are classes that participate in the Penny Pilot. Similar to QQQQ and
IWM (which are not assessed a marketing fee and participate in the
Penny Pilot), the Exchange is proposing to add EEM and EWT to QQQQ and
IWM to Section 2, Marketing Fee, to clarify that no marketing fee
applies to these Penny Pilot classes.
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    \9\ See Footnote 6 of the Fees Schedule.
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2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the
Act,\10\ in general, and furthers the objectives of Section 6(b)(4)
\11\ of the Act in particular, in that it is designed to provide for
the equitable allocation of reasonable dues, fees, and other charges
among CBOE Trading Permit Holders and other persons using its
facilities. The Exchange believes the fee changes proposed by this
filing are equitable and reasonable in that [sic] will codify the
Exchange's existing practice of assessing fees for ETN options in a
manner similar to ETF options. In addition, the changes proposed by
this filing clarify CBOE's Fees Schedule.
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    \10\ 15 U.S.C. 78f(b).
    \11\ 15 U.S.C. 78f(b)(4).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    CBOE does not believe that the proposed rule change will impose any

burden on competition not necessary or appropriate in furtherance of
the purposes of the Act.

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

    The Exchange neither solicited nor received comments on the
proposal.

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

    Because the foregoing proposed rule change establishes or changes a
due, fee, or other charge imposed by the Exchange, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \12\ and
subparagraph (f)(2) of Rule 19b-4 \13\ thereunder. At any time within
60 days of the filing of the proposed rule change, the Commission may
summarily abrogate 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.
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    \12\ 15 U.S.C. 78s(b)(3)(A).
    \13\ 17 CFR 240.19b-4(f)(2).
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IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-CBOE-2010-068 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-CBOE-2010-068. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/
sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make publicly available. All
submissions should refer to File Number SR-CBOE-2010-068 and should be
submitted on or before August 26, 2010.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\14\
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    \14\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-19365 Filed 8-4-10; 8:45 am]
BILLING CODE 8010-01-P


Cooling Water Intake Structures  CWA Section § 316( b)  U. S. EPA Industrial Water Pollution Controls Recent Additions | Contact Us | Print Version Search: EPA Home > Water > Water Science > Industrial Water Pollution Controls > Cooling Water Intake Structures CWA Sec. § 316( b)

Effluent Guidelines Cooling Water Intake Structures 316( b)

Discharge Standards for Armed Forces Vessels Analytical Methods Cooling Water Intake Structures  CWA Sec. 316( b)

EPA is developing regulations under section § 316( b) of the Clean Water Act. Section § 316( b) requires that the location, design, construction and capacity of cooling water intake structures reflect the best technology available for minimizing adverse environmental impact. More than 1,500 industrial facilities use large volumes of cooling water from lakes, rivers, estuaries or oceans to cool their plants, including steam electric power plants, pulp and paper makers, chemical manufacturers, petroleum refiners, and manufacturers of primary metals like iron and steel and aluminum.

Cooling water intake structures cause adverse environmental impact by pulling large numbers of fish and shellfish or their eggs into a power plant's or factory's cooling system. There, the organisms may be killed or injured by heat, physical stress, or by chemicals used to clean the cooling system. Larger organisms may be killed or injured when they are trapped against screens at the front of an intake structure.

What's New l Final Rule Amending Phase I l A Symposium on Cooling Water Intake Technologies to Protect Aquatic Organisms l Phase III Information Collection Request l Notice of Data Availability ( NODA) for Phase II Existing Facilities l New Deadline for § 316( b) Regulations l Quarterly Status Reports to Court Proposed Rule for Phase II Existing Facilities m Federal Register Notice  Notice of Data Availability ( NODA) ( PDF) ( March 19, 2003)

n Fact Sheet m Federal Register Notice  Extension of Comment Period ( June 19, 2002)

http:// www. epa. gov/ waterscience/ 316b/ ( 1 of 3) [ 6/ 24/ 2003 11: 09: 25 AM] Cooling Water Intake Structures  CWA Section § 316( b)  U. S. EPA n Fact Sheet ( PDF, 89KB)

m Fact Sheet ( March 2002) ( PDF, 98KB)

m Federal Register Notice ( April 9, 2002)

n Economic and Benefits Analysis ( EPA 821 R 02 001)

n Case Study Analysis ( EPA 821 R 02 002)

n Technical Development Document ( EPA 821 R 02 003)

Final Rule for Phase I New Facilities m Amendment to Final Regulations n Final Rule  Federal Register Notice ( June 19, 2003)

n Fact Sheet n Withdrawal of Direct Final Rule  Federal Register Notice ( March 24, 2003)

n Fact Sheet n Direct Final Rule ( PDF)  Federal Register Notice ( December 26, 2002)

n Fact Sheet ( PDF, 24KB)

n Proposed Rule ( PDF)  Federal Register Notice ( December 26, 2002)

m Final Rule for New Facilities Federal Register Notice ( PDF, 775KB) ( December 18, 2001)

m Response to Public Comment m Fact Sheet m Supporting Document on Technical Development m Supporting Document on Economic Analysis Proposed Rule for New Facilities m Federal Register Notice  Reopening of Comment Period ( July 6, 2001)

m Fact Sheet for Notice of Data Availability ( May 2001)

m Federal Register Notice of Data Availability ( May 25, 2001)

m Fact Sheet ( July 2000)

m Federal Register Notice  Extension of Comment Period ( August 31, 2000)

m Federal Register Notice ( PDF) ( August 10, 2000)

m Economic and Engineering Analysis of the Proposed 316( b) Rule for New Facilities m Press Release ( July 21, 2000)

Quarterly Status Reports to Court http:// www. epa. gov/ waterscience/ 316b/ ( 2 of 3) [ 6/ 24/ 2003 11: 09: 25 AM] Cooling Water Intake Structures  CWA Section § 316( b)  U. S. EPA Questionnaires for Existing Facilities Public Meetings m Materials for the May 23, 2001 Technical Experts Meeting m Fact Sheet ( April 2001)  on Technical Experts Meeting ( May 23, 2001 from 9 a. m. to 4: 30 p. m.)

m Federal Register Notice  Announcement of Technical Experts Meeting ( FR Date  April 24, 2001)

m Public Meeting  September 10, 1998 m Public Meeting  June 29, 1998 Related Documents m DRAFT Guidance for Evaluating the Adverse Impact of Cooling Water Intake Structures on the Aquatic Environment: Section 316( b) P. L. 92 500 ( PDF, 139K)

You will need Adobe Acrobat Reader to view the Adobe PDF files on this page. See EPA's PDF page for more information about getting and using the free Acrobat Reader.

EPA Home | Privacy and Security Notice | Contact Us http:// www. epa. gov/ waterscience/ 316b/ ( 3 of 3) [ 6/ 24/ 2003 11: 09: 25 AM]


[Federal Register Volume 83, Number 43 (Monday, March 5, 2018)]
[Notices]
[Pages 9354-9357]
[FR Doc No: 2018-04419]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-82791; File No. SR-NASDAQ-2018-015]

Self-Regulatory Organizations; The Nasdaq Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Modify IM-5900-7 To Update the Values of, and Permit a Third-Party
Provider Selected by Nasdaq to Offer, Certain Complimentary Services
Provided to Certain Newly Listing Companies Pursuant to the Rule

February 28, 2018.
    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 February 15, 2018, The Nasdaq Stock Market LLC (``Nasdaq'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as described in
Items I and II below, which Items have been prepared by the Exchange.
The Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to modify IM-5900-7, which describes the
package of complimentary services provided to certain new listings, to
update the value of the services and allow services to be provided
either by Nasdaq Corporate Solutions or a third-party service provider
selected by Nasdaq.
    The text of the proposed rule change is available on the Exchange's
website at http://nasdaq.cchwallstreet.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 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
    Nasdaq offers complimentary services under IM-5900-7 to companies
listing on the Nasdaq Global and Global Select Markets in connection
with an initial public offering (other than a company listed under IM-
5101-2), upon emerging from bankruptcy, in connection with a spin-off
or carve-out from another company, or in conjunction with a business
combination that satisfies the conditions in Nasdaq IM-5101-2(b)
(``Eligible New Listings'') and to companies (other than a company
listed under IM-5101-2) switching their listing from the New York Stock
Exchange (``NYSE'') to the Global or Global Select Markets (``Eligible
Switches'').\3\ Nasdaq believes that the complimentary service program
offers valuable services to newly listing companies, designed to help
ease the transition of becoming a public company or switching markets,
makes listing on Nasdaq more attractive to these companies, and also
provides Nasdaq Corporate Solutions the opportunity to demonstrate the
value of its services and forge a relationship with the company. The
services offered include a whistleblower hotline, investor relations
website, disclosure services for earnings or other press releases,
webcasting, market analytic tools, and may include market advisory
tools such as stock surveillance.\4\
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    \3\ See Exchange Act Release No. 65963 (December 15, 2011), 76
FR 79262 (December 21, 2011) (SR-NASDAQ-2011-122) (adopting IM-5900-
7); Exchange Act Release No. 72669 (July 24, 2014), 79 FR 44234
(July 30, 2014) (SR-NASDAQ-2014-058) (adopting changes to IM-5900-
7); Exchange Act Release No. 78806 (September 9, 2016), 81 FR 63523
(September 15, 2016) (SR-NASDAQ-2016-098); Exchange Act Release No.
79366 (November 21, 2016), 81 FR 85663 (November 28, 2016) (SR-
NASDAQ-2016-106).
    \4\ In addition, all companies listed on Nasdaq receive services
from Nasdaq, including Nasdaq Online and the Market Intelligence
Desk.
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    Nasdaq proposes to update the values of the services contained in
IM-5900-7 to their current values. Depending on a company's market
capitalization and whether it is an Eligible New Listing or an Eligible
Switch, the total revised value of the services provided ranges from
$150,000 to $824,000, and one-time development fees of approximately
$5,000 are waived.\5\
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    \5\ The exact values are set forth in proposed IM-5900-7. Under
the current rule the stated value of the services provided ranges
from $141,000 to $754,000, and one-time development fees of
approximately $3,500 are waived. In describing the total value of
the services for companies that can select more than one market
advisory tool, Nasdaq presumes that a company would use stock
surveillance, which has an approximate retail value of $56,000 as
revised ($51,000 previously), and global targeting, which has an
approximate retail value of $44,000 as revised ($40,000 previously).
A company using the stock surveillance tool would be unlikely also
to use the monthly ownership analytics and event driven targeting
because there is considerable overlap between these services.
Companies could, of course, select different combinations of the
four offered services that do not overlap, but these other
combinations would have lower total approximate retail values. See
Exchange Act Release No. 78392 (July 22, 2016), 81 FR 49705, 49706
n.10 (July 28, 2016) (Notice of Filing for SR-NASDAQ-2016-098).

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    In addition, on January 29, 2018, Nasdaq, Inc., the parent of
Nasdaq, announced that it had entered into a definitive agreement to
sell the Public Relations Solutions and Digital Media Services units
within its Corporate Solutions business.\6\ Given that these units
include the investor relations website, disclosure services, audio
webcasting and whistleblower hotline services offered under Nasdaq Rule
IM-5900-7, Nasdaq proposes to modify IM-5900-7 to state that the
services will be provided either by Nasdaq Corporate Solutions or a
third-party service provider selected by Nasdaq. In the event that
Nasdaq Corporate Solutions no longer offers the services, this change
will allow Nasdaq to arrange for an alternate provider, such as the
purchaser of these units.\7\
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    \6\ See http://www.globenewswire.com/news-release/2018/01/29/1313528/0/en/West-Corporation-Agrees-to-Acquire-Nasdaq-s-Public-Relations-Solutions-and-Digital-Media-Services-Businesses.html. This
transaction is expected to close in the second quarter of 2018.
    \7\ Upon completion of the announced transaction, the purchaser
of the whistleblower hotline, investor relations website, disclosure
and audio webcasting services will be expected to provide those
services under IM-5900-7 pursuant to an exclusive agreement, subject
to meeting specific service level commitments. Nasdaq Corporate
Solutions is expected to continue to provide the market analytic and
market advisory tools, although under the proposed rule change
Nasdaq could instead select a third party provider for these
services in the future.
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    Finally, Nasdaq proposes to: (i) Update the preamble of IM-5900-7
to reflect the expiration of a transitional period that previously
allowed companies listed at the time of changes to the complimentary
services package in 2016 to choose to receive the package in effect at
the time of their listing or the revised package; and (ii) clarify that
the services described in IM-5900-7(a) are the only corporate solutions
services offered to companies, to the extent they qualify pursuant to
the rule. All companies will continue to receive additional services,
such as Nasdaq Online and the Market Intelligence Desk, on an equal
basis.
2. Statutory Basis
    Nasdaq believes that the proposed rule change is consistent with
the provisions of Section 6 of the Act,\8\ in general, and Sections
6(b)(4),\9\ 6(b)(5),\10\ and 6(b)(8),\11\ in particular, in that the
proposal is designed, among other things, to provide for the equitable
allocation of reasonable dues, fees, and other charges among Exchange
members and issuers and other persons using its facilities and to
promote just and equitable principles of trade, and is not designed to
permit unfair discrimination between issuers, and that the rules of the
Exchange do not impose any burden on competition not necessary or
appropriate in furtherance of the purposes of the Act.
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    \8\ 15 U.S.C. 78f.
    \9\ 15 U.S.C. 78f(4).
    \10\ 15 U.S.C. 78f(5).
    \11\ 15 U.S.C. 78f(8).
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    Nasdaq faces competition in the market for listing services,\12\
and competes, in part, by offering valuable services to companies.
Nasdaq believes that it is reasonable to offer complimentary services
to attract and retain listings as part of this competition. All
similarly situated companies are eligible for the same package of
services and the eligibility of companies for services is not changing
under this proposed rule change. The Commission has previously
indicated pursuant to Section 19(b) of the Act \13\ that updating the
values of the services within the rule is necessary,\14\ and Nasdaq
does not believe this update has an effect on the allocation of fees
nor does it permit unfair discrimination, as issuers will continue to
receive the same services. Further, this update will enhance the
transparency of Nasdaq's rules and the value of the services it offers
companies, thus promoting just and equitable principles of trade. As
such, the proposed rule change is consistent with the requirements of
Section 6(b)(4) and (5) of the Act.
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    \12\ The Justice Department has noted the intense competitive
environment for exchange listings. See ``NASDAQ OMX Group Inc. and
IntercontinentalExchange Inc. Abandon Their Proposed Acquisition Of
NYSE Euronext After Justice Department Threatens Lawsuit'' (May 16,
2011), available at http://www.justice.gov/atr/public/press_releases/2011/271214.htm.
    \13\ 15 U.S.C. 78s(b).
    \14\ See Exchange Act Release No. 72669 (July 24, 2014), 79 FR
44234 (July 30, 2014) (SR-NASDAQ-2014-058) (footnote 39 and
accompanying text: ``We would expect Nasdaq, consistent with Section
19(b) of the Act, to periodically update the retail values of
services offered should they change. This will help to provide
transparency to listed companies on the value of the free services
they receive and the actual costs associated with listing on
Nasdaq.'')
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    Nasdaq believes that the proposed change to allow services to be
provided by third-party providers, instead of an affiliated service
provider, reflects the current competitive environment for exchange
listings among national securities exchanges, and is appropriate and
consistent with Section 6(b)(8) in furtherance of the purposes of the
Act. Specifically, Nasdaq believes that the current competitive
environment for listings necessitates that it continue to offer
services described in IM-5900-7 through a third-party service provider
if its affiliate no longer offers those services. Further, Nasdaq
believes that the ability to select the third-party providers of these
services will enable it to select partners Nasdaq believes will provide
quality service to listed companies and make adjustments if that
quality is not maintained.\15\ While this may disadvantage third-party
providers that are not selected, the impact on competition among
service providers is expected to remain small, as it is today where
Nasdaq Corporate Solutions provides the services directly,\16\ and does
not impose an inappropriate burden on competition because issuers are
not forced or required to utilize the complimentary products and
services and other service providers can choose to offer their own
complimentary services to issuers.
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    \15\ Nasdaq expects that following the announced transaction it
will initially rely on the purchaser of the whistleblower hotline,
investor relations website, disclosure and audio webcasting services
as its selected third-party provider, subject to that provider
meeting specific service level commitments.
    \16\ See Exchange Act Release No. 65963, 76 FR at 79266-67.
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    Nasdaq notes that the proposed change to allow third-party service
providers does not affect the Commission's prior conclusion that
offering these services is an equitable allocation of reasonable dues,
fees, and other charges among exchange members and issuers and other
persons using its facilities and that the rule is designed to promote
just and equitable principles of trade, and is not designed to permit
unfair discrimination between issuers, consistent with Sections 6(b)(4)
and 6(b)(5) of the Act because the underlying services will not change
and all eligible companies will be given the identical choice of
service providers.
    Nasdaq believes that clarifying that the services described in IM-
5900-7(a) are the only corporate solutions services offered to
companies to the extent they qualify pursuant to the rule \17\ is

consistent with Section 6(b)(5) of the Act. Nasdaq represents, and this
proposed rule change will help ensure, that individual listed companies
are not given specially negotiated packages of products or services to
list, or remain listed, which the Commission has previously stated
would raise unfair discrimination issues under the Act.\18\
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    \17\ All companies listed on Nasdaq receive certain services
from Nasdaq on an equal basis, including Nasdaq Online and the
Market Intelligence Desk.
    \18\ See Exchange Act Release No. 79366, 81 FR 85663 at 85665
(citing Securities Exchange Act Release No. 65127 (August 12, 2011),
76 FR 51449, 51452 (August 18, 2011) (approving NYSE-2011-20)).
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    Finally, Nasdaq notes that the proposed update to the preamble of
IM-5900-7 to reflect the expiration of old transitional periods is
consistent with Section 6(b)(5) of the Act because it will clarify the
rule without making any substantive change.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. As noted above, Nasdaq faces
competition in the market for listing services, and competes, in part,
by offering valuable services to companies. The proposed rule changes
reflect that competition, but do not impose any burden on the
competition with other exchanges.
    Nasdaq also does not believe that allowing a third-party selected
by Nasdaq to provide certain services will impose any burden on
competition not necessary or appropriate in furtherance of the Act.
Such selection will allow Nasdaq to select third-party service
providers that it believes will provide quality service to listed
companies and make adjustments if that quality is not maintained.
Multiple third-party vendors offer similar services and listed
companies are not required to accept any discounted products and
services as a condition to listing. Nasdaq-listed companies are free to
purchase similar products and services from other vendors, or not to
use any such products and services, instead of accepting the products
and services offered by the Exchange. Other vendors can also choose to
offer their own complimentary packages to compete with Nasdaq's
offering. Further, complimentary services are only available to a
company for either two or four years. Thus, Nasdaq does not believe
that the proposed rule change will adversely impact competition for
such products and services in a manner not necessary or appropriate in
furtherance of the purposes of the Act.

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

    No written comments were either solicited or received.

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

    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 for 30
days from the date on which it was filed, or such shorter time as the
Commission may designate, it has become effective pursuant to Section
19(b)(3)(A) of the Act \19\ and Rule 19b-4(f)(6) thereunder.\20\
---------------------------------------------------------------------------

    \19\ 15 U.S.C. 78s(b)(3)(A).
    \20\ 17 CFR 240.19b-4(f)(6). As required under Rule 19b-
4(f)(6)(iii), the Exchange provided the Commission with written
notice of its intent to file the proposed rule change, along with a
brief description and the 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.
---------------------------------------------------------------------------

    A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the
Act \21\ normally does not become operative for 30 days after the date
of its filing. However, Rule 19b-4(f)(6)(iii) \22\ permits the
Commission to designate a shorter time if such action is consistent
with the protection of investors and the public interest. The Exchange
has asked the Commission to waive the 30-day operative delay so that
the accurate values of the complimentary services can immediately be
reflected in Nasdaq's rules and so that Nasdaq can rely upon a third-
party service provider if it chooses to do so. Because waiver of the
operative delay would increase transparency in the Exchange's rules by
allowing the Exchange to immediately update the current market values
of the complimentary services it provides to certain newly listing
companies, the Commission believes that waiver of the operative delay
is consistent with the protection of investors and the public interest.
Accordingly, the Commission hereby waives the operative delay and
designates the proposal as operative upon filing.\23\
---------------------------------------------------------------------------

    \21\ 17 CFR 240.19b-4(f)(6).
    \22\ 17 CFR 240.19b-4(f)(6)(iii).
    \23\ For purposes only of waiving the 30-day operative delay,
the Commission has also considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
File Number SR-NASDAQ-2018-015 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-NASDAQ-2018-015. 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 such filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. 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-NASDAQ-2018-015, and should be submitted
on or before March 26, 2018.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\24\
---------------------------------------------------------------------------

    \24\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-04419 Filed 3-2-18; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register: November 10, 2005 (Volume 70, Number 217)]
[Notices]
[Page 68415]
[DOCID:fr10no05-59]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP06-56-000]

CenterPoint Energy--Mississippi River Transmission Corporation;
Notice of Penalty Revenue Credit Report

November 2, 2005.
    Take notice that on October 28, 2005, CenterPoint Energy-
Mississippi River Transmission Corporation (MRT) tendered for filing a
refund report showing penalty revenues that will be refunded, with
interest, to the affected shippers upon approval from the Commission.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211 and 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed on or before November 9, 2005.
Anyone filing an intervention or protest must serve a copy of that
document on the Applicant. Anyone filing an intervention or protest on
or before the intervention or protest date need not serve motions to
intervene or protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov.
 Persons unable to file electronically should submit an

original and 14 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the

``eLibrary'' link and is available for review in the Commission's
Public Reference Room in Washington, DC. There is an ``eSubscription''
link on the Web site that enables subscribers to receive e-mail
notification when a document is added to a subscribed docket(s). For
assistance with any FERC Online service, please e-mail
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For

TTY, call<PHONE_NUMBER>.
    Comment Date: 5 p.m. Eastern Time on November 9, 2005.

Magalie R. Salas,
Secretary.
[FR Doc. E5-6192 Filed 11-9-05; 8:45 am]

BILLING CODE 6717-01-P


        Supporting Statement for Renewal of OECA Tips & Complaints
                      Regarding Environmental Violations
                                    Part A

1.	Identification of the Information Collection  -

 		1(a) 		Title of the Information Collection

              Tips and Complaints Regarding Environmental Violations (Renewal)
              EPA ICR Number 2219.05, OMB Control Number 2020-0032

 		1(b) 		Short Characterization/Abstract

              The Office of Enforcement and Compliance Assurance (OECA) is the component of the Environmental Protection Agency responsible for administrative, civil and criminal enforcement of the environmental laws that EPA administers. EPA's criminal enforcement program, and, to a lesser extent, its civil enforcement program are, like other federal law enforcement programs, dependent on tips and complaints from concerned citizens and members of the regulated community. The OECA Tips & Complaints web page provides a convenient means by which these individuals can voluntarily submit tips and complaints regarding suspected violations of environmental law. OECA is considering the use of a mobile-friendly version of the Tips and Complaints web pages that will complement the existing process.  Tips or complaints received are used by civil and/or criminal enforcement personnel at EPA to determine whether an investigation is warranted into the suspected or alleged misconduct. In some cases, EPA may decide to refer tips or complaints for investigation to other federal agencies or to State or local authorities within whose jurisdiction the matter may appropriately fall. The OECA Tips and Complaints web page or mobile-friendly versions does not replace or otherwise supplant other means of providing tips or complaints to EPA; it merely provides a convenient means by which to supply these tips or complaints.

              As with complaints provided by phone, fax, or electronic mail, we expect that tippers or complainants are already in the possession of information that leads them to suspect a violation of environmental law when they contact EPA to report the matter.  Accordingly, EPA believes that the burden associated with the reporting is merely that arising from the need to read the instructions and type or select information into the appropriate fields.

2.	Need For and Use of the Collection

 		2(a) 		Need/Authority for the Collection

              Under the statutes that EPA is charged to administer, apprehending violators and responding to ongoing environmental violations is central to the Agency's mission.  See, e.g., 33 U.S.C. § 1319 (Clean Water Act), 42 U.S.C. § 7413 (Clean Air Act).  EPA's criminal enforcement program, and, to a lesser extent, its civil enforcement program are, like other federal law enforcement programs, dependent on tips and complaints from concerned citizens and members of the regulated community.  In fact, in some cases, the statute expressly contemplates that EPA will take action on citizen complaints.  See, e.g., 15 U.S.C. § 2647(d) (citizen complaints regarding asbestos hazards).  These tips and complaints help EPA focus its investigative resources on violations of environmental law that could otherwise escape detection.

 		2(b) 		Practical Utility/Users of the Data

              Tips and complaints regarding environmental violations are used principally by civil and criminal law enforcement personnel at EPA to investigate reported accidental violations and intentional misconduct.  When appropriate, the collected information may be shared with other law enforcement agencies that may have jurisdiction over the matter reported.

3. 	Non-duplication, Consultations, and Other Collection Criteria

 		3(a) 		Non-duplication

              OECA's tips and complaints webpage or mobile friendly version does not duplicate other EPA web-based information collections.  OECA's Senior Information Resources Management Office (SIRMO) has previously confirmed that the tips and complaints webpage does not duplicate other web-based information collections.

              As noted in Section 1, above, the OECA tips and complaints webform does not replace or otherwise supplant other means of providing tips or complaints to EPA; it merely provides a convenient means by which to supply these tips or complaints online.  Accordingly, tippers or complainants remain free to submit their tips or complaints in person or by telephone, fax, or e-mail.

 		3(b) 		Public Notice Required Prior to ICR Submission to OMB.

              EPA has published notice of its intent to renew the ICR for the OECA tips and complaints regarding environmental violations.  The Federal Register Notice was published at 80 FR 67400 on November 2, 2015. There were no comments received.

 		3(c)		Consultations

              In order to confirm its burden estimates, EPA previously timed the entries of actual tippers or complainants who have used the OECA tips and complaints webpage.  In order to preserve the confidentiality of these tippers or complainants, EPA did not record the names of these tippers or complainants or otherwise record any identifying information.

 		3(d) 		Effects of Less Frequent Collection

              Tips and Complaints are provided to EPA on an entirely voluntary basis; accordingly, there is no specified frequency with which tips or complaints should or must be provided.  There is, therefore, no basis to assess the effects of less frequent collection.

 		3(e) 		General Guidelines

              The information collection requirements covered by this ICR adhere to the guidelines specified by OMB.

 		3(f)			Confidentiality

              Tippers or complainants are not required to provide contact information in order to submit a tip or complaint.  However, if contact information is provided, EPA may use this information to initiate follow-up communications with the tipper or complainant and may be shared by EPA with appropriate administrative, law enforcement, and judicial entities engaged in investigating or adjudicating the tip or complaint.  The information is otherwise protected from disclosure to third parties to the extent permitted by law.

              Access to the database in which tips and complaints are stored is limited by system administrator to a small, known universe of users.  Before this access is granted, these users are informed that any misuse of the information stored in the database will cause them to lose access to the database and subject them to disciplinary action.  Contractors do not have access to the database.

              EPA does not maintain hardcopies of the information supplied through the webform.  Tips or complaints not acted upon within 30 days are automatically purged from the database.  Tips or complaints upon which some action is taken are preserved for a period of five years, pursuant to the record schedule for criminal investigations.

 		3(g)		Sensitive Questions

              The tips and complaints regarding environmental violations does not pose any sensitive questions.

4. 	The Respondents and the Information Requested

 		4(a) 		Respondents/SIC Codes

              Respondents are expected to be members of the general public as well as employees of any company subject to federal environmental regulation.  There is no specific industry or group of industries about which EPA expects tips or complaints.  For the foregoing reasons, it is not possible to classify the expected universe of respondents by SIC code.

 		4(b) 		Information Requested

              (i) Data items, including recordkeeping requirements

              The information requested on the tips and complaints regarding environmental violations is listed below.  Items of information that are required in order to submit a tip or complaint are shown in italics.

 If known, the suspected violator's name
 If known, the suspected violator's street address
 If known, the suspected violator's city
 If known, the suspected violator's zip code
 Tipper's name
 Tipper's email address
 Tipper's phone number
 Tipper's street address
 Tippers city
 Tipper's zip code
 Is the violation is ongoing?
 Has the tipper has already contacted other authorities?
 If another authority already contacted, the name of the department contacted, if known.
 If known, is the violation accidental or intentional?
 What type of act constitutes the violation? (Release, dumping, spill, spraying, etc.)
 Does the violation affect land, water, air, workers, or documents?
 If known, is the violator an individual, company, or government/military agency or department?
 A description of the incident or hazard.
 Directions to the site of the violation.
 Checkbox attestation of awareness and understanding of the meaning and significance of submitting a tips or complaint.
 Optional photo upload tool. (To be added within the approval period).

              Generally speaking, the items of information requested are not dictated by environmental statute or regulation; instead, the information is intended to make it possible to route the tip or complaint within EPA (or to another, appropriate law enforcement agency) and to provide inspectors and/or investigators the information that they need to follow-up on the tip or complaint.  The sole exception is the checkbox attestation at the end of the web form.  The items of knowledge to which a tipper or complainant attests by checking this box are dictated by the general false statements provision of the U.S. Criminal Code, 18 U.S.C. § 1001.  In the event that EPA prosecutes a tipper of complainant for deliberately supplying false information on this web form, this attestation is intended to frustrate a mistake-of-fact defense that the tipper or complainant did not understand the nature and/or significance of submitting a tip or complaint using this web form.

              (ii) Respondent Activities

              Tippers or complainants are generally expected to review the form and complete the form by answering the questions posed.  Those who choose to do so may also review a general information link on reporting an environmental violation and/or a link that describes the EPA web privacy policy.

              Generally speaking, EPA expects tippers to be either a general member of the public or an employee who believes that their employer has violated an environmental law.  In either case, EPA expects that tippers or complainants will come to the form already in possession of all of the information needed to submit a tip or complaint.  Even where the form calls for information that a general member of the public may not have (say, for example, the address of the suspected violator), the instructions on the form explain that the tipper or complainant may simply enter/select "unknown" in the field provided for their response.

              EPA expects that tippers or complainants who are an employee of the company about which they are filing a tip or complaint will maintain, as a matter of customary business practice, the name and address of the suspected violator.  In all other cases, EPA has no basis to presume that data items would be maintained as a matter of customary business practice.

5.	The Information Collected  -  Agency Activities, Collection Methodology, and Information Management

 		5(a) 		Agency Activities

              Many of the activities associated with this form are either one-time events that have already occurred or are ongoing agency activities that are fully automated (such that they do not constitute an ongoing burden or expense).  The only activities that are ongoing but not automated are as follows:

 Answer respondent questions
 Review and distribute tips or complaints

 		5(b) 		Collection Methodology and Management

              Previously the EPA tips and complaints web form was tested as a "pilot" at a less prominent location on EPA's website for a period of months.  Only after this evaluation period did EPA provide a link to the web form on its internet home page.

              EPA does not check the quality of data entry by tippers or complainants.  Of course, where a tip or complaints appears to warrant further investigation, EPA conducts an investigation into the tip or complaint.  Only in this respect does EPA check data quality.

              EPA does not employ special machines or processing technology in evaluating tips or complaints.  The information supplied by the tipper or complainant automatically populates a database that is regularly reviewed by EPA personnel for matters that warrant investigation.  The information stored in this database cannot be accessed by the public and, within EPA, access to the database is limited by system administrator to a small universe of people who are responsible for reviewing the tips and complaints.

              EPA has not eliminated more traditional means of collecting tips and complaints; the tips and complaints form simply adds an additional, convenient method of providing a tip or complaint for those with internet access.  EPA expects that this method of accepting tips or complaints will reduce burden for many individuals.  As expected, the prominence of the tips and complaint web form on our site, the ease with which the form may be completed, and the relative anonymity that the internet affords tippers or complainants has resulted in a significant increase in the number of tips or complaints received.  The web form also elicits specific items of information that allow EPA to efficiently route tips or complaints within EPA to the appropriate office.  The standardized format of the form also represents an advantage over tips or complaints received by phone, where items of information needed to evaluate a tip or complaints are more likely to be accidentally omitted.

 		5(c) 		Small Entity Flexibility

              The tips and complaints form is an addition to, not a substitution for, other methods of supplying tips or complaints to EPA; accordingly, the form, itself, constitutes an increase in agency flexibility with respect to small entities as well as anyone else who may wish to supply a tip or complaint.

 		5(d)		Collection Schedule

              Individuals may submit a tip or complaint at any time. There is no schedule associated with this collection.

 6.	Estimation of the Burden and Cost of the Collection

 		6(a),(b)	Annual Respondent Burden & Cost

              EPA receives approximately 857 tips or complaints per month through the existing webpage, for a total of approximately 10,286 responses per year.  Reading instructions and completing the form takes approximately a half hour per response; accordingly, respondents collectively spend approximately 5,143 hours per year providing tips or complaints through the tips and complaints form.  Assuming an average annual wage of $19.88, the opportunity cost of these burden hours is approximately $102,242 per year.

 		6(c),(d)	Annual Agency Burden & Cost

 EPA technical staff spends approximately 10 hours per month on system maintenance and upkeep, for a total of 120 hours of technical work on the system per year.  At an hourly wage of $24, system maintenance costs EPA approximately $2,880 per year.

 EPA receives very few queries from respondents; accordingly, EPA desk officers little time answering respondent questions per year. At an hourly wage of $39, these functions collectively cost EPA approximately $11,232 per year.

                 Total agency cost: $2,880 + $11,232 = $14,112

 		6(e)	 	Bottom Line Burden & Cost

              The bottom line estimates to respondents are 5,143 annual burden hours, 10,286 responses per year, and $102,242 labor cost per year.

 		6(f)			Reasons for Burden Change

              There is an increase of 542 hours in the total estimated respondent burden compared with the ICR currently approved by OMB. This increase reflects the fact that tips and complaints are being filed at a higher rate than originally anticipated, a strong indication of the success of this program.  There has been no change in the information being reported or the estimated burden per respondent.

 		6(g)		Burden Statement

      ICR: Tips and Complaints Webpage Regarding Environmental Violations
                         OMB Control Number:  2020-0032
 --------------------------------------------------------------------------------
	Providing a tip or complaint to EPA is entirely voluntary and use of the tips and complaints webpage to provide a tip or complaint is also entirely a matter of tipper or complainant choice.  EPA estimates that it will take tippers or complainants approximately (1/2) hour to provide a tip or complaint using the tips and complaints webpage.  This estimate includes time for reading the instructions, gathering required information, and completing the webform.  There are no associated record-keeping requirements and, accordingly, no associated record-keeping burden.

              The annual public reporting and recordkeeping burden for this collection of information is estimated to average (1/2) hour per response. Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency.  This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information.  An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.  The OMB control numbers for EPA's regulations are listed in 40 CFR Part 9 and 48 CFR Chapter 15.

              To comment on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for this ICR under Docket ID Number EPA-HQ-OECA-2009-0494, which is available for online viewing at www.regulations.gov, or in person viewing at the Enforcement and Compliance Docket and Information Center in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue, NW, Washington, D.C.  The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays.  The telephone number for the Reading Room is<PHONE_NUMBER>, and the telephone number for the Enforcement and Compliance Docket and Information Center is<PHONE_NUMBER>.  An electronic version of the public docket is available at www.regulations.gov.  This site can be used to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically.  When in the system, select "search," then key in the Docket ID Number identified above.  Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, D.C. 20503, Attention: Desk Officer for EPA.  Please include the EPA Docket ID Number EPA-HQ-OECA-2009-0494 and OMB Control Number 2020-0032 in any correspondence.