[Federal Register: March 4, 2010 (Volume 75, Number 42)]
[Notices]
[Page 9976-9981]
[DOCID:fr04mr10-118]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-61589; File No. S7-966]

Program for Allocation of Regulatory Responsibilities Pursuant to
Rule 17d-2; Notice of Filing and Order Approving and Declaring
Effective an Amendment to the Plan for the Allocation of Regulatory
Responsibilities Among the BATS Exchange, Inc., the Chicago Board
Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the
International Securities Exchange, LLC, Financial Industry Regulatory
Authority, Inc., the New York Stock Exchange LLC, NYSE Amex LLC, NYSE
Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and
NASDAQ OMX PHLX, Inc. Concerning Options-Related Sales Practice Matters

February 25, 2010.
    Notice is hereby given that the Securities and Exchange Commission
(``Commission'') has issued an Order, pursuant to Section 17(d) of the
Securities Exchange Act of 1934 (``Act''),\1\ approving and declaring
effective an amendment to the plan for allocating regulatory
responsibility filed pursuant to Rule 17d-2 of the Act,\2\ by the BATS
Exchange, Inc. (``BATS''), the Chicago Board Options Exchange,
Incorporated (``CBOE''), C2 Options Exchange, Incorporated (``C2''),
the International Securities Exchange, LLC (``ISE''), Financial
Industry Regulatory Authority, Inc. (``FINRA''), the New York Stock
Exchange LLC (``NYSE''), NYSE Amex LLC (``Amex''), NYSE Arca,
Inc.(``Arca''), The NASDAQ Stock Market LLC (``NASDAQ''), NASDAQ OMX
BX, Inc. (``BX''), and NASDAQ OMX PHLX, Inc. (``Phlx'') (collectively,
``SRO participants'').
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    \1\ 15 U.S.C. 78q(d).
    \2\ 17 CFR 240.17d-2.
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I. Introduction

    Section 19(g)(1) of the Act,\3\ among other things, requires every
self-regulatory organization (``SRO'') registered as either a national
securities exchange or national securities association to examine for,
and enforce compliance by, its members and persons associated with its
members with the Act, the rules and regulations thereunder, and the
SRO's own rules, unless the SRO is relieved of this responsibility
pursuant to Section 17(d) \4\ or Section 19(g)(2) \5\ of the Act.

Without this relief, the statutory obligation of each individual SRO
could result in a pattern of multiple examinations of broker-dealers
that maintain memberships in more than one SRO (``common members'').
Such regulatory duplication would add unnecessary expenses for common
members and their SROs.
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    \3\ 15 U.S.C. 78s(g)(1).
    \4\ 15 U.S.C. 78q(d).
    \5\ 15 U.S.C. 78s(g)(2).
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    Section 17(d)(1) of the Act \6\ was intended, in part, to eliminate
unnecessary multiple examinations and regulatory duplication.\7\ With
respect to a common member, Section 17(d)(1) authorizes the Commission,
by rule or order, to relieve an SRO of the responsibility to receive
regulatory reports, to examine for and enforce compliance with
applicable statutes, rules, and regulations, or to perform other
specified regulatory functions.
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    \6\ 15 U.S.C. 78q(d)(1).
    \7\ See Securities Act Amendments of 1975, Report of the Senate
Committee on Banking, Housing, and Urban Affairs to Accompany S.
249, S. Rep. No. 94-75, 94th Cong., 1st Session 32 (1975).
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    To implement Section 17(d)(1), the Commission adopted two rules:
Rule 17d-1 and Rule 17d-2 under the Act.\8\ Rule 17d-1 authorizes the
Commission to name a single SRO as the designated examining authority
(``DEA'') to examine common members for compliance with the financial
responsibility requirements imposed by the Act, or by Commission or SRO
rules.\9\ When an SRO has been named as a common member's DEA, all
other SROs to which the common member belongs are relieved of the
responsibility to examine the firm for compliance with the applicable
financial responsibility rules. On its face, Rule 17d-1 deals only with
an SRO's obligations to enforce member compliance with financial
responsibility requirements. Rule 17d-1 does not relieve an SRO from
its obligation to examine a common member for compliance with its own
rules and provisions of the Federal securities laws governing matters
other than financial responsibility, including sales practices and
trading activities and practices.
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    \8\ 17 CFR 240.17d-1 and 17 CFR 240.17d-2, respectively.
    \9\ See Securities Exchange Act Release No. 12352 (April 20,
1976), 41 FR 18808 (May 7, 1976).
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    To address regulatory duplication in these and other areas, the
Commission adopted Rule 17d-2 under the Act.\10\ Rule 17d-2 permits
SROs to propose joint plans for the allocation of regulatory
responsibilities with respect to their common members. Under paragraph
(c) of Rule 17d-2, the Commission may declare such a plan effective if,
after providing for notice and comment, it determines that the plan is
necessary or appropriate in the public interest and for the protection
of investors, to foster cooperation and coordination among the SROs, to
remove impediments to, and foster the development of, a national market
system and a national clearance and settlement system, and is in
conformity with the factors set forth in Section 17(d) of the Act.
Commission approval of a plan filed pursuant to Rule 17d-2 relieves an
SRO of those regulatory responsibilities allocated by the plan to
another SRO.
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    \10\ See Securities Exchange Act Release No. 12935 (October 28,
1976), 41 FR 49091 (November 8, 1976).
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II. The Plan

    On September 8, 1983, the Commission approved the SRO participants'
plan for allocating regulatory responsibilities pursuant to Rule 17d-
2.\11\ On May 23, 2000, the Commission approved an amendment to the
plan that added the ISE as a participant.\12\ On November 8, 2002, the
Commission approved another amendment that replaced the original plan
in its entirety and, among other things, allocated regulatory
responsibilities among all the participants in a more equitable
manner.\13\ On February 5, 2004, the parties submitted an amendment to
the plan, primarily to include the BSE, which was establishing a new
options trading facility to be known as the Boston Options Exchange
(``BOX''), as an SRO participant.\14\ On December 5, 2007, the parties
submitted an amendment to the plan to, among other things, provide that
the National Association of Securities Dealers (``NASD'') (n/k/a the
Financial Industry Regulatory Authority, Inc. or ``FINRA'') and NYSE
are Designated Options Examining Authorities under the plan.\15\ On
June 5, 2008, the parties submitted an amendment to the plan primarily
to remove the NYSE as a Designated Options Examining Authority, leaving
FINRA as the sole Designated Options Examining Authority for all common
members that are members of FINRA.\16\
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    \11\ See Securities Exchange Act Release No. 20158 (September 8,
1983), 48 FR 41256 (September 14, 1983).
    \12\ See Securities Exchange Act Release No. 42816 (May 23,
2000), 65 FR 34759 (May 31, 2000).
    \13\ See Securities Exchange Act Release No. 46800 (November 8,
2002), 67 FR 69774 (November 19, 2002).
    \14\ See Securities Exchange Act Release No. 49197 (February 5,
2004), 69 FR 7046 (February 12, 2004).
    \15\ See Securities Exchange Act Release No. 55532 (March 26,
2007), 72 FR 15729 (April 2, 2007).
    \16\ See Securities Exchange Act Release No. 57987 (June 18,
2008), 73 FR 36156 (June 25, 2008).
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    The plan reduces regulatory duplication for a large number of firms
currently members of two or more of the SRO participants by allocating
regulatory responsibility for certain options-related sales practice
matters to one of the SRO participants. Generally, under the current
plan, the SRO participant responsible for conducting options-related
sales practice examinations of a firm, and investigating options-
related customer complaints and terminations for cause of associated
persons of that firm, is known as the firm's ``Designated Options
Examining Authority'' (``DOEA''). Pursuant to the current plan, any
other SRO of which the firm is a member is relieved of these
responsibilities during the period in which the firm is assigned to
another SRO acting as that firm's DOEA.

III. Proposed Amendment to the Plan

    On February 9, 2010, the parties submitted a proposed amendment to
the plan. The primary purpose of the amendment is to add BATS Exchange,
Inc. and C2 Options Exchange, Incorporated as an SRO participant and to
reflect the name changes of the American Stock Exchange LLC to the NYSE
Amex LLC, the Boston Stock Exchanges, Inc., to the NASDAQ OMX BX, Inc.
and the Philadelphia Stock Exchange, Inc. to the NASDAQ OMX PHLX, Inc.
The amended agreement replaces the previous agreement in its entirety.
The text of the proposed amended 17d-2 plan is as follows (additions
are italicized; deletions are [bracketed]):
* * * * *
Agreement by and among [the American Stock Exchange, LLC, the Boston
Stock] BATS Exchange, Inc., the Chicago Board Options Exchange, [Inc.]
Incorporated, C2 Options Exchange, Incorporated, the International
Securities Exchange, LLC, Financial Industry Regulatory Authority,
Inc., the New York Stock Exchange[,] LLC, the NYSE Amex LLC, the NYSE
Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc. and the
[Philadelphia Stock Exchange] NASDAQ OMX PHLX, Inc. Pursuant to Rule
17d-2 under the Securities Exchange Act of 1934.
    This agreement (``Agreement''), by and among [the American Stock
Exchange, LLC, the Boston Stock]BATS Exchange, Inc., the Chicago Board
Options Exchange, [Inc.]Incorporated, C2 Options Exchange,
Incorporated, the International Securities Exchange, LLC, Financial
Industry Regulatory Authority, Inc. (``FINRA''), The NASDAQ Stock
Market LLC (``NASDAQ''), NASDAQ OMX BX, Inc., the New York Stock
Exchange LLC (``NYSE''), the NYSE Amex LLC, the NYSE Arca, Inc., and
the [Philadelphia

Stock Exchange]NASDAQ OMX PHLX, Inc., hereinafter collectively referred
to as the Participants, is made this [27th]5th day of [December,
2008]February, 2010, pursuant to the provisions of Rule 17d-2 under the
Securities Exchange Act of 1934 (the ``Exchange Act''), which allows
for plans among self-regulatory organizations to allocate regulatory
responsibility. This Agreement shall be administered by a committee
known as the Options Self-Regulatory Council (the ``Council'').
    This Agreement amends and restates the agreement entered into among
the Participants on [December 27, 2007]June 5, 2008, entitled
``Agreement by and among the American Stock Exchange, LLC, the Boston
Stock Exchange, Inc., the Chicago Board Options Exchange, [Inc.]
Incorporated, the International Securities Exchange, LLC, Financial
Industry Regulatory Authority, Inc., the New York Stock Exchange[,]
LLC, the NYSE Arca, Inc., the NASDAQ Stock Market LLC, and the
Philadelphia Stock Exchange, Inc., Pursuant to Rule 17d-2 under the
Securities Exchange Act of 1934.''
    Whereas, the Participants are desirous of allocating regulatory
responsibilities with respect to broker-dealers, and persons associated
therewith, that are members \1\ of more than one Participant (the
``Common Members'') and conduct a public business for compliance with
Common Rules (as hereinafter defined) relating to the conduct by
broker-dealers of accounts for listed options, index warrants, currency
index warrants and currency warrants (collectively, ``Covered
Securities''); and
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    \1\ In the case of [the Boston Stock Exchange]NASDAQ OMX BX,
Inc.[,] and NASDAQ members are those persons who are options
participants (as defined in the BOX and NASDAQ Options Market
Rules).
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    Whereas, the Participants are desirous of executing a plan for this
purpose pursuant to the provisions of Rule 17d-2 and filing such plan
with the Securities and Exchange Commission (``SEC'' or the
``Commission'') for its approval;
    Now, therefore, in consideration of the mutual covenants contained
hereafter, the Participants agree as follows:
    I. As used herein the term Designated Options Examining Authority
(``DOEA'') shall mean: (1) FINRA insofar as it shall perform Regulatory
Responsibility (as hereinafter defined) for its broker-dealer members
that also are members of another Participant or (2) the Designated
Examination Authority (``DEA'') pursuant to SEC Rule 17d-1 under the
Securities Exchange Act (``Rule 17d-1'') for a broker-dealer that is a
member of a more than one Participant (but not a member of FINRA).
    II. As used herein, the term ``Regulatory Responsibility'' shall
mean the examination and enforcement responsibilities relating to
compliance by Common Members with the rules of the applicable
Participant that are substantially similar to the rules of the other
Participants (the ``Common Rules''), insofar as they apply to the
conduct of accounts for Covered Securities. A list of the current
Common Rules of each Participant applicable to the conduct of accounts
for Covered Securities is attached hereto as Exhibit A. Each year
within 30 days of the anniversary date of the commencement of operation
of this Agreement, each Participant shall submit in writing to FINRA
and each DEA performing as a DOEA for any members of such Participant
any revisions to Exhibit A reflecting changes in the rules of the
Participant, and confirm that all other rules of the Participant listed
in Exhibit A continue to meet the definition of Common Rules as defined
in this Agreement. Within 30 days from the date that FINRA and each DEA
performing as a DOEA has received revisions and/or confirmation that no
change has been made to Exhibit A from all Participants, FINRA and each
DEA performing as a DOEA shall confirm in writing to each Participant
whether the rules listed in any updated Exhibit A are Common Rules as
defined in this Agreement. Notwithstanding anything herein to the
contrary, it is explicitly understood that the term ``Regulatory
Responsibility'' does not include, and each of the Participants shall
(unless allocated pursuant to Rule 17d-2 otherwise than under this
Agreement) retain full responsibility for, each of the following:
    (a) Surveillance and enforcement with respect to trading activities
or practices involving its own marketplace, including without
limitation its rules relating to the rights and obligations of
specialists and other market makers;
    (b) Registration pursuant to its applicable rules of associated
persons;
    (c) Discharge of its duties and obligations as a DEA; and
    (d) Evaluation of advertising, responsibility for which shall
remain with the Participant to which a Common Member submits same for
approval.
    III. Apparent violations of another Participant's rules discovered
by a DOEA, but which rules are not within the scope of the discovering
DOEA's Regulatory Responsibility, shall be referred to the relevant
Participant for such action as the Participant to which such matter has
been referred deems appropriate. Notwithstanding the foregoing, nothing
contained herein shall preclude a DOEA in its discretion from
requesting that another Participant conduct an enforcement proceeding
on a matter for which the requesting DOEA has Regulatory
Responsibility. If such other Participants agree, the Regulatory
Responsibility in such case shall be deemed transferred to the
accepting Participant and confirmed in writing by the Participants
involved. Each Participant agrees, upon request, to make available
promptly all relevant files, records and/or witnesses necessary to
assist another Participant in an investigation or enforcement
proceeding.
    IV. The Council shall be composed of one representative designated
by each of the Participants. Each Participant shall also designate one
or more persons as its alternate representative(s). In the absence of
the representative of a Participant, such alternate representative
shall have the same powers, duties and responsibilities as the
representative. Each Participant may, at any time, by notice to the
then Chair of the Council, replace its representative and/or its
alternate representative on such Council. A majority of the Council
shall constitute a quorum and, unless specifically otherwise required,
the affirmative vote of a majority of the Council members present (in
person, by telephone or by written consent) shall be necessary to
constitute action by the Council. The representative from FINRA shall
serve as Chair of the Council. All notices and other communications for
the Council shall be sent to it in care of the Chair or to each of the
representatives.
    V. The Council shall determine the times and locations of Council
meetings, provided that the Chair, acting alone, may also call a
meeting of the Council in the event the Chair determines that there is
good cause to do so. To the extent reasonably possible, notice of any
meeting shall be given at least ten-business days prior thereto.
Notwithstanding anything herein to the contrary, representatives shall
always be given the option of participating in any meeting
telephonically at their own expense rather than in person.
    VI. FINRA shall have Regulatory Responsibility for all Common
Members that are members of FINRA. For the purpose of fulfilling the
Participants' Regulatory Responsibilities for Common Members that are
not members of FINRA, the Participant that is the DEA shall serve as
the DOEA. All Participants shall promptly notify the DOEAs no later
than the next scheduled

meeting of any change in membership of Common Members. A DOEA may
request that a Common Member that is allocated to it be reallocated to
another DOEA by giving thirty days written notice thereof. The DOEAs in
their discretion may approve such request and reallocate such Common
Member to another DOEA.
    VII. Each DOEA shall conduct an examination of each Common Member.
The Participants agree that, upon request, relevant information in
their respective files relative to a Common Member will be made
available to the applicable DOEA. At each meeting of the Council, each
DOEA shall be prepared to report on the status of its examination
program for the previous quarter and any period prior thereto that has
not previously been reported to the Council.
    VIII. Each DOEA will promptly furnish a copy of the Examination
report, relating to Covered Securities, of any examination made
pursuant to the provisions of this Agreement to each other Participant
of which the Common Member examined is a member.
    IX. Each DOEA's Regulatory Responsibility shall for each Common
Member allocated to it include investigations into terminations ``for
cause'' of associated persons relating to Covered Securities, unless
such termination is related solely to another Participant's market. In
the latter instance, that Participant to whose market the termination
for cause relates shall discharge Regulatory Responsibility with
respect to such termination for cause. In connection with a DOEA's
examination, investigation and/or enforcement proceeding regarding a
Covered Security-related termination for cause, the other Participants
of which the Common Member is a member shall furnish, upon request,
copies of all pertinent materials related thereto in their possession.
As used in this Section, ``for cause'' shall include, without
limitation, terminations characterized on Form U5 under the label
``Permitted to Resign,'' ``Discharge'' or ``Other.''
    X. Each DOEA shall discharge the Regulatory Responsibility for each
Common Member allocated to it relative to a Covered Securities-related
customer complaint \2\ unless such complaint is uniquely related to
another Participant's market. In the latter instance, the DOEA shall
forward the matter to that Participant to whose market the matter
relates, and the latter shall discharge Regulatory Responsibility with
respect thereto. If a Participant receives a customer complaint for a
Common Member related to a Covered Security for which the Participant
is not the DOEA, the Participant shall promptly forward a copy of such
complaint to the DOEA.
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    \2\ For purposes of complaints, they can be reported pursuant to
Form U4, Form U5 or RE-3 and any amendments thereto.
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    XI. Any written notice required or permitted to be given under this
Agreement shall be deemed given if sent by certified mail, return
receipt requested, or by a comparable means of electronic communication
to each Participant entitled to receipt thereof, to the attention of
the Participant's representative on the Council at the Participant's
then principal office or by e-mail at such address as the
representative shall have filed in writing with the Chair.
    XII. The Participants shall notify the Common Members of this
Agreement by means of a uniform joint notice approved by the Council.
    XIII. This Agreement may be amended in writing duly approved by
each Participant.
    XIV. Any of the Participants may manifest its intention to cancel
its participation in this Agreement at any time by giving the Council
written notice thereof at least 90 days prior to the effective date of
such cancellation. Upon receipt of such notice the Council shall
allocate, in accordance with the provisions of this Agreement, any
Common Members for which the petitioning party was the DOEA. Until such
time as the Council has completed the reallocation described above; the
petitioning Participant shall retain all its rights, privileges, duties
and obligations hereunder.
    XV. The cancellation of its participation in this Agreement by any
Participant shall not terminate this Agreement as to the remaining
Participants. This Agreement will only terminate following notice to
the Commission, in writing, by the then Participants that they intend
to terminate the Agreement and the expiration of the applicable notice
period. Such notice shall be given at least six months prior to the
intended date of termination, provided that in the event a notice of
cancellation is received from a Participant that, assuming the
effectiveness thereof, would result in there being just one remaining
member of the Council, notice to the Commission of termination of this
Agreement shall be given promptly upon the receipt of such notice of
cancellation, which termination shall be effective upon the
effectiveness of the cancellation that triggered the notice of
termination to the Commission.
    XVI. No Participant nor the Council nor any of their respective
directors, governors, officers, employees or representatives shall be
liable to any other Participant in this Agreement for any liability,
loss or damage resulting from or claimed to have resulted from any
delays, inaccuracies, errors or omissions with respect to the provision
of Regulatory Responsibility as provided hereby or for the failure to
provide any such Responsibility, except with respect to such liability,
loss or damages as shall have been suffered by one or more of the
Participants and caused by the willful misconduct of one or more of the
other participants or their respective directors, governors, officers,
employees or representatives. No warranties, express or implied, are
made by any or all of the Participants or the Council with respect to
any Regulatory Responsibility to be performed by each of them
hereunder.
    XVII. Pursuant to Section 17(d)(1)(A) of the Securities Exchange
Act of 1934 and Rule 17d-2 promulgated pursuant thereto, the
Participants join in requesting the Securities and Exchange Commission,
upon its approval of this Agreement or any part thereof, to relieve
those Participants which are from time to time participants in this
Agreement which are not the DOEA as to a Common Member of any and all
Regulatory Responsibility with respect to the matters allocated to the
DOEA.

                              Common Rules
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------------------------------------------------------------------------
                           Opening of Accounts
------------------------------------------------------------------------
AMEX................................  Rules 411, 921 and 1101.
BATS................................  Rule 26.2.
CBOE................................  Rule 9.7.
C2*.................................  CBOE Rule 9.7.
ISE.................................  Rule 608.
FINRA...............................  Rules 2360(b)(16) and 2352.
NYSE................................  Rule 721.\1\
PHLX................................  Rule 1024(b) and (c).\2\
NYSE ARCA...........................  Rule 9.2(a) and Rule 9.18(b).
BX/BOX..............................  Chapter XI, Section 9.
NASDAQ..............................  Chapter XI, Section 7.
------------------------------------------------------------------------
                               Supervision
------------------------------------------------------------------------
AMEX................................  Rules 411, 922 and 1104.
BATS................................  Rule 26.3.
CBOE................................  Rule 9.8.
C2..................................  CBOE Rule 9.8.
ISE.................................  Rule 609.
FINRA...............................  Rules 2360(b)(20), 2360(b)(17)(B),
                                       2355 and 2358.
NYSE................................  N/A.
PHLX................................  Rule 1025.
NYSE ARCA...........................  Rules 9.2(b) and 9.18(d)(2)(G).
BX/BOX..............................  Chapter XI, Section 10.

NASDAQ..............................  Chapter XI, Section 8.
------------------------------------------------------------------------
                               Suitability
------------------------------------------------------------------------
AMEX................................  Rules 923 and 1102.
BATS................................  Rule 26.4.
CBOE................................  Rule 9.9.
C2..................................  CBOE Rule 9.9.
ISE.................................  Rule 610.
FINRA...............................  Rule 2360(b)(19) and 2353.
NYSE................................  Rule 723.
PHLX................................  Rule 1026.
NYSE ARCA...........................  Rule 9.18(c).
BX/BOX..............................  Chapter XI, Section 11.
NASDAQ..............................  Chapter XI, Section 9.
------------------------------------------------------------------------
                         Discretionary Accounts
------------------------------------------------------------------------
AMEX................................  Rules 421, 924 and 1103.
BATS................................  Rule 26.5.\3\
CBOE................................  Rule 9.10.
C2..................................  CBOE Rule 9.10.
ISE.................................  Rule 611.
FINRA...............................  Rules 2360(b)(18) and 2354.
NYSE................................  N/A.
PHLX................................  Rule 1027.
NYSE ARCA...........................  Rule 9.18(e).
BX/BOX..............................  Chapter XI, Section 12.
NASDAQ..............................  Chapter XI, Section 10.
------------------------------------------------------------------------
                  Customer Communications (Advertising)
------------------------------------------------------------------------
AMEX................................  Rules 991 and 1106.
BATS................................  Rule 26.16.
CBOE................................  Rule 9.21.\4\
C2..................................  CBOE Rule 9.21.\4\
ISE.................................  Rule 623.\4\
FINRA...............................  Rules 2220 and 2357.
NYSE................................  N/A.
PHLX................................  N/A.
NYSE ARCA...........................  N/A.
BX/BOX..............................  Chapter XI, Section 24.\4\
NASDAQ..............................  Chapter XI, Section 22.
------------------------------------------------------------------------
                           Customer Complaints
------------------------------------------------------------------------
AMEX................................  Rules 932 and 1105.
BATS................................  Rule 26.17.
CBOE................................  Rule 9.23.
C2..................................  CBOE Rule 9.23.
ISE.................................  Rule 625.
FINRA...............................  FINRA Rules 2360(b)(17)(A) and
                                       2356 and NASD Rule 3070(a) and
                                       (c).
NYSE................................  Rules 732 & 351(a) and (d).
PHLX................................  Rule 1070.
NYSE ARCA...........................  Rule 9.18(I).
BX/BOX..............................  Chapter XI, Section 26.
NASDAQ..............................  Chapter XI, Section 24.
------------------------------------------------------------------------
                           Customer Statements
------------------------------------------------------------------------
AMEX................................  Rules 419 and 930.
BATS................................  Rule 26.7.
CBOE................................  Rule 9.12.
C2..................................  CBOE Rule 9.12.
ISE.................................  Rule 613.
FINRA...............................  Rule 2360(b)(15).
NYSE................................  Rule 730.
PHLX................................  Rule 1032.
NYSE ARCA...........................  Rule 9.18(j).
BX/BOX..............................  Chapter XI, Sections 14.
NASDAQ..............................  Chapter XI, Sections 12.
------------------------------------------------------------------------
                              Confirmations
------------------------------------------------------------------------
AMEX................................  Rule 925.
BATS................................  Rule 26.6.
CBOE................................  Rule 9.11.
C2..................................  CBOE Rule 9.11.
ISE.................................  Rule 612.
FINRA...............................  Rule 2360(b)(12).
NYSE................................  Rule 725.\5\
PHLX................................  Rule 1028.
NYSE ARCA...........................  Rule 9.18(f).
BX/BOX..............................  Chapter XI, Section 13.
NASDAQ..............................  Chapter XI, Section 11.
------------------------------------------------------------------------
                Allocation of Exercise Assignment Notices
------------------------------------------------------------------------
AMEX................................  Rule 981.
BATS................................  Rule 23.2.
CBOE................................  Rule 11.2.
C2..................................  CBOE Rule 11.2.
ISE.................................  Rule 1101.
FINRA...............................  Rule 2360(b)(23)(C).
NYSE................................  Rule 781.
PHLX................................  Rule 1043.
NYSE ARCA...........................  Rule 6.25(a).
BX/BOX..............................  Chapter VII, Section 2.
NASDAQ..............................  Chapter VIII, Section 2.
------------------------------------------------------------------------
                          Disclosure Documents
------------------------------------------------------------------------
AMEX................................  Rules 921 and 926.
BATS................................  Rule 26.10.
CBOE................................  Rule 9.15.
C2..................................  CBOE Rule 9.15.
ISE.................................  Rule 616.
FINRA...............................  Rule 2360(b)(11).
NYSE................................  Rule 726(a) and (c).
PHLX................................  Rule 1024(b)(v), 1029.
NYSE ARCA...........................  Rule 9.18(g).
BX/BOX..............................  Chapter XI, Section 17.
NASDAQ..............................  Chapter XI, Section 15.
------------------------------------------------------------------------
                 Branch Offices of Member Organizations
------------------------------------------------------------------------
AMEX................................  Rule 922(d).\6\
CBOE................................  Rule 9.6.
C2..................................  CBOE Rule 9.6.
ISE.................................  Rule 607.
FINRA...............................  Rules 2360(b)(20)(B) and 2355.
NYSE................................  N/A.
PHLX................................  N/A.
NYSE ARCA...........................  Rule 9.18(m).
BX/BOX..............................  Chapter XI, Section 8.
NASDAQ..............................  Chapter XI, Section 6.
------------------------------------------------------------------------
                     Prohibition Against Guarantees
------------------------------------------------------------------------
AMEX................................  Rule 390.
BATS................................  Rule 26.13.
CBOE................................  Rule 9.18.
C2..................................  CBOE Rule 9.18.
ISE.................................  Rules 619 and 620.
FINRA...............................  Rule 2150(b).
NYSE................................  Rule 2150(b).
PHLX................................  Rule 777.
NYSE ARCA...........................  Rule 9.1(e).
BX/BOX..............................  Chapter XI, Sections 20 and 21.
NASDAQ..............................  Chapter XI, Sections 18 and 19.
------------------------------------------------------------------------
                           Sharing in Accounts
------------------------------------------------------------------------
AMEX................................  Rule 390.\7\
BATS................................  Rule 26.14.
CBOE................................  Rule 9.18(b).\8\
C2..................................  CBOE Rule 9.18(b).\8\
ISE.................................  Rule 620.\7\
FINRA...............................  Rule 2150(c).
NYSE................................  Rule 2150(c).
PHLX................................  N/A.
NYSE ARCA...........................  Rule 9.1(f).
BX/BOX..............................  Chapter XI, Section 21.\8\
NASDAQ..............................  Chapter XI, Section 19.\8\
------------------------------------------------------------------------
                           Registration of ROP
------------------------------------------------------------------------
AMEX................................  Rule 920.
BATS................................  17.2(g)(1), (2), (6) and (7).
CBOE................................  Rule 9.2.
C2..................................  CBOE Rule 9.2.
ISE.................................  Rule 601.
FINRA...............................  NASD Rules 1022(f) & IM-1022-1.
NYSE................................  N/A.
PHLX................................  Rule 1024(a)(i).
NYSE ARCA...........................  Rule 9.26.
BX/BOX..............................  Chapter XI, Section 2.
NASDAQ..............................  Chapter XI, Section 2.
------------------------------------------------------------------------
                  Certification of Registered Personnel
------------------------------------------------------------------------
AMEX................................  Rule 920.
BATS................................  Rule 2.5 Interpretation .01(c) and
                                       11.4(e).
CBOE................................  Rule 9.3.
C2..................................  CBOE Rule 9.3.
ISE.................................  Rule 602.
FINRA...............................  NASD Rule 1032(d).
NYSE................................  N/A.
PHLX................................  Rule 1024.
NYSE ARCA...........................  Rule 9.27(a).
BX/BOX..............................  Chapter XI, Section 3.
NASDAQ..............................  Chapter XI, Section 3.
------------------------------------------------------------------------
*Pursuant to C2 Chapters 9 and 11, the rules contained in CBOE Chapters
  IX and XI and referenced herein shall apply to C2.
\1\ FINRA shall not have any Regulatory Responsibility regarding opening
  short uncovered option accounts requirements.
\2\ FINRA shall not have any Regulatory Responsibility regarding foreign
  currency option requirements specified in any of the PHLX rules in
  this Exhibit A.
\3\ FINRA shall not have any Regulatory Responsibility to enforce this
  rule as to time and price discretion in institutional accounts.
\4\ FINRA shall not have any Regulatory Responsibility regarding the
  self regulatory organization's (``SRO'') requirements to the extent
  that a customer would meet FINRA's definition of Institutional
  Investor and Institutional Sales Material but would not meet the
  requirements for such definitions in under the SRO's rule. In
  addition, FINRA shall not have any Regulatory Responsibility regarding
  the SRO's requirements regarding approval of all market letters.
\5\ FINRA shall not have any Regulatory Responsibility regarding the
  requirement in confirmations to distinguish between NYSE option
  transactions and other transactions in option contracts.
\6\ FINRA shall only have Regulatory Responsibility for the first
  paragraph and shall not have any Regulatory Responsibility regarding
  the requirements for debt options.

\7\ FINRA shall not have any Regulatory Responsibility regarding the
  self regulatory organization's requirements to the extent such rules
  do not contain an exception to permit sharing in the profits and
  losses of an account.
\8\ FINRA shall not have any Regulatory Responsibility regarding the
  self regulatory organization's requirements to the extent such rules
  do not contain an exception addressing immediate family.

IV. Solicitation of Comments

    In order to assist the Commission in determining whether to approve
the 17d-2 plan, interested persons are invited to submit written data,
views, and arguments concerning the foregoing. Comments may be
submitted by any of the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/other.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number S7-966 on the subject line.

Paper Comments

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

All submissions should refer to File Number S7-966. 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/other.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed plan that are filed with the
Commission, and all written communications relating to the proposed
plan between the Commission and any person, other than those that may
be withheld from the public in accordance with the provisions of 5
U.S.C. 552, will be available for Web site viewing and printing in the
Commission's Public Reference Room, on official business days between
the hours of 10 a.m. and 3 p.m. Copies of the plan also will be
available for inspection and copying at the principal offices of BATS,
CBOE, C2, ISE, FINRA, NYSE, Amex, Arca, NASDAQ, BX and the Phlx. 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 S7-966 and should be submitted
on or before March 25, 2010.

V. Discussion

    The Commission continues to believe that the proposed plan is an
achievement in cooperation among the SRO participants, and will reduce
unnecessary regulatory duplication by allocating to the designated SRO
the responsibility for certain options-related sales practice matters
that would otherwise be performed by multiple SROs. The plan promotes
efficiency by reducing costs to firms that are members of more than one
of the SRO participants. In addition, because the SRO participants
coordinate their regulatory functions in accordance with the plan, the
plan promotes, and will continue to promote, investor protection.
    Under paragraph (c) of Rule 17d-2, the Commission may, after
appropriate notice and comment, declare a plan, or any part of a plan,
effective. In this instance, the Commission believes that appropriate
notice and comment can take place after the proposed amendment is
effective. The primary purpose of the amendment is to add BATS
Exchange, Inc. and C2 Options Exchange, Incorporated as SRO
participants and to reflect the name changes of the American Stock
Exchange, LLC to the NYSE Amex LLC, the Boston Stock Exchange, Inc. to
the NASDAQ OMX BX, Inc., and the Philadelphia Stock Exchange, Inc. to
the NASDAQ OMX PHLX, Inc. The Commission notes that the prior version
of this plan immediately prior to this proposed amendment was published
for comment and the Commission did not receive any comments
thereon.\17\ Furthermore, the Commission does not believe that the
amendment to the plan raises any new regulatory issues that the
Commission has not previously considered.
---------------------------------------------------------------------------

    \17\ See supra note 16 (citing to Securities Exchange Act
Release No. 57987).
---------------------------------------------------------------------------

VI. Conclusion

    This order gives effect to the amended plan submitted to the
Commission that is contained in File No. S7-966.
    It is therefore ordered, pursuant to Section 17(d) of the Act,\18\
that the amended plan dated February 5, 2010 by and between the BATS,
CBOE, C2, ISE, FINRA, NYSE, Amex, Arca, NASDAQ, BX and the Phlx filed
pursuant to Rule 17d-2 is hereby approved and declared effective.
---------------------------------------------------------------------------

    \18\ 15 U.S.C. 78q(d).
---------------------------------------------------------------------------

    It is further ordered that those SRO participants that are not the
DOEA as to a particular common member are relieved of those regulatory
responsibilities allocated to the common member's DOEA under the
amended plan to the extent of such allocation.

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

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

Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-4456 Filed 3-3-10; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: October 29, 2009 (Volume 74, Number 208)]
[Rules and Regulations]
[Page 55761-55763]
[DOCID:fr29oc09-5]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2009-0654; Directorate Identifier 2008-NM-083-AD;
Amendment 39-16058 AD 2009-22-07]
RIN 2120-AA64

Airworthiness Directives; Saab AB, Saab Aerosystems Model SAAB
2000 Airplanes

AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).

ACTION: Final rule.

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

SUMMARY: We are adopting a new airworthiness directive (AD) for the
products listed above. This AD results from mandatory continuing
airworthiness information (MCAI) originated by an aviation authority of
another country to identify and correct an unsafe condition on an
aviation product. The MCAI describes the unsafe condition as:

    There have been reported incidents of brinelling to the self-
sealing coupling Part Number (P/N) 9304000-303 (Nipple Assembly).
The wear is visible in the groove of the nipple, caused by the
socket locking balls. During tear down investigations of self-
sealing coupling P/N 9304000-305 (Socket Assembly), internal socket
wear has been observed. Wear that exceeds the allowable limits could
lead to reduced oil flow, and further wear could contribute to
separation of the Self-Seal Coupling, making the engine inoperable
and subsequent shut down. As secondary damage, the generator may
fail, releasing oil into the nacelle and increasing the possibility
of fire.
* * * * *
We are issuing this AD to require actions to correct the unsafe
condition on these products.

DATES: This AD becomes effective December 3, 2009.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of December 3,
2009.

ADDRESSES: You may examine the AD docket on the Internet at http://
www.regulations.gov or in person at the U.S. Department of
Transportation, Docket Operations, M-30, West Building Ground Floor,
Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC.

FOR FURTHER INFORMATION CONTACT: Shahram Daneshmandi, International
Branch, ANM-116, Transport Airplane Directorate, FAA, 1601 Lind Avenue,
SW., Renton, Washington 98057-3356; telephone<PHONE_NUMBER>; fax (425)
227-1149.

SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 to include an AD that would apply to the specified products.
That NPRM was published in the Federal Register on July 21, 2009 (74 FR
35828). That NPRM proposed to correct an unsafe condition for the
specified products. The MCAI states:

    There have been reported incidents of brinelling to the self-
sealing coupling Part Number (P/N) 9304000-303 (Nipple Assembly).
The wear is visible in the groove of the nipple, caused by the
socket locking balls. During tear down investigations of self-
sealing coupling P/N 9304000-305 (Socket Assembly), internal socket
wear has been observed. Wear that exceeds the allowable limits could
lead to reduced oil flow, and further wear could contribute to
separation of the Self-Seal Coupling, making the engine inoperable
and subsequent shut down. As secondary damage, the generator may
fail, releasing oil into the nacelle and increasing the possibility
of fire.
    For the reason described above, this Airworthiness Directive
(AD) requires the inspection of the affected nipple- and socket
assemblies and, if wear is found outside the specified limits,
replacement of worn parts.

You may obtain further information by examining the MCAI in the AD
docket.

Comments

    We gave the public the opportunity to participate in developing
this AD. We received no comments on the NPRM or on the determination of
the cost to the public.

Conclusion

    We reviewed the available data and determined that air safety and
the public interest require adopting the AD as proposed.

Differences Between This AD and the MCAI or Service Information

    We have reviewed the MCAI and related service information and, in
general, agree with their substance. But we might have found it
necessary to use different words from those in the MCAI to ensure the
AD is clear for U.S. operators and is enforceable. In making these
changes, we do not intend to differ substantively from the information
provided in the MCAI and related service information.
    We might also have required different actions in this AD from those
in the MCAI in order to follow our FAA policies. Any such differences
are highlighted in a Note within the AD.

Costs of Compliance

    We estimate that this AD will affect 6 products of U.S. registry.
We also estimate that it will take about 1 work-hour per product to
comply with the basic requirements of this AD. The average labor rate
is $80 per work-hour. Based on these figures, we estimate the cost of
this AD to the U.S. operators to be $480, or $80 per product.

Authority for This Rulemaking

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

products identified in this rulemaking action.

Regulatory Findings

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

Examining the AD Docket

    You may examine the AD docket on the Internet at http://
www.regulations.gov; or in person at the Docket Operations office
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains the NPRM, the regulatory evaluation,
any comments received, and other information. The street address for
the Docket Operations office (telephone<PHONE_NUMBER>) is in the
ADDRESSES section. Comments will be available in the AD docket shortly
after receipt.

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

0
Accordingly, under the authority delegated to me by the Administrator,
the FAA amends 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new AD:

2009-22-07 Saab AB, Saab Aerosystems: Amendment 39-16058. Docket No.
FAA-2009-0654; Directorate Identifier 2008-NM-083-AD.

Effective Date

    (a) This airworthiness directive (AD) becomes effective December
3, 2009.

Affected ADs

    (b) None.

Applicability

    (c) This AD applies to Saab AB, Saab Aerosystems Model SAAB 2000
airplanes, certificated in any category, serial numbers 004 through
063 inclusive.

Subject

    (d) Air Transport Association (ATA) of America Code 79: Engine
oil.

Reason

    (e) The mandatory continuing airworthiness information (MCAI)
states:
    There have been reported incidents of brinelling to the self-
sealing coupling Part Number (P/N) 9304000-303 (Nipple Assembly).
The wear is visible in the groove of the nipple, caused by the
socket locking balls. During tear down investigations of self-
sealing coupling P/N 9304000-305 (Socket Assembly), internal socket
wear has been observed. Wear that exceeds the allowable limits could
lead to reduced oil flow, and further wear could contribute to
separation of the Self-Seal Coupling, making the engine inoperable
and subsequent shut down. As secondary damage, the generator may
fail, releasing oil into the nacelle and increasing the possibility
of fire.
    For the reason described above, this Airworthiness Directive
(AD) requires the inspection of the affected nipple- and socket
assemblies and, if wear is found outside the specified limits,
replacement of worn parts.

Actions and Compliance

    (f) Unless already done, do the following actions.
    (1) Within 12 months after the effective date of this AD:
Inspect the affected nipple assembly part number (P/N) 9304000-303
and socket assembly P/N 9304000-305 for signs of damage, wear, and
leaking of the nipple and socket, in accordance with the
Accomplishment Instructions of Saab Service Bulletin 2000-79-006,
Revision 01, dated October 15, 2007. Repeat the inspection
thereafter at intervals not to exceed 4,000 flight hours.
    (2) If any wear is found during any inspection required by
paragraph (f)(1) of this AD that is beyond the limits specified in
Saab Service Bulletin 2000-79-006, Revision 01, dated October 15,
2007, prior to further flight, replace the part with a new or
serviceable unit having the same part number, in accordance with
Saab Service Bulletin 2000-79-006, Revision 01, dated October 15,
2007.
    (3) If any leak or damage is found during any inspection
required by paragraph (f)(1) of this AD, prior to further flight,
replace the part with a new or serviceable unit having the same part
number in accordance with step 2.C.(1)(a)6 or step 2.C.(1)(a)10, as
applicable, of Saab Service Bulletin 2000-79-006, Revision 01, dated
October 15, 2007.
    (4) Replacement of parts does not constitute terminating action
for the inspection requirements of this AD.

FAA AD Differences

    Note 1:  This AD differs from the MCAI and/or service
information as follows: No differences.

Other FAA AD Provisions

    (g) The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
has the authority to approve AMOCs for this AD, if requested using
the procedures found in 14 CFR 39.19. Send information to ATTN:
Shahram Daneshmandi, International Branch, ANM-116, Transport
Airplane Directorate, FAA, 1601 Lind Avenue, SW., Renton, Washington
98057-3356; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>. Before
using any approved AMOC on any airplane to which the AMOC applies,
notify your principal maintenance inspector (PMI) or principal
avionics inspector (PAI), as appropriate, or lacking a principal
inspector, your local Flight Standards District Office.
    (2) Airworthy Product: For any requirement in this AD to obtain
corrective actions from a manufacturer or other source, use these
actions if they are FAA-approved. Corrective actions are considered
FAA-approved if they are approved by the State of Design Authority
(or their delegated agent). You are required to assure the product
is airworthy before it is returned to service.
    (3) Reporting Requirements: For any reporting requirement in
this AD, under the provisions of the Paperwork Reduction Act (44
U.S.C. 3501 et seq.), the Office of Management and Budget (OMB) has
approved the information collection requirements and has assigned
OMB Control Number 2120-0056.

Related Information

    (h) Refer to MCAI European Aviation Safety Agency Airworthiness
Directive 2008-0030, dated February 15, 2008; and Saab Service
Bulletin 2000-79-006, Revision 01, dated October 15, 2007; for
related information.

Material Incorporated by Reference

    (i) You must use Saab Service Bulletin 2000-79-006, Revision 01,
dated October 15, 2007, to do the actions required by this AD,
unless the AD specifies otherwise.
    (1) The Director of the Federal Register approved the
incorporation by reference of this service information under 5
U.S.C. 552(a) and 1 CFR part 51.
    (2) For service information identified in this AD, contact Saab
Aircraft AB, SAAB Aerosystems, SE-581 88, Link[ouml]ping, Sweden;
telephone +46 13 18 5591; fax +46 13 18 4874; e-mail
<EMAIL_ADDRESS>Internet http://
www.saabgroup.com.
    (3) You may review copies of the service information at the FAA,
Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton,
Washington. For information on the availability of this material at
the FAA, call<PHONE_NUMBER> or<PHONE_NUMBER>.
    (4) You may also review copies of the service information that
is incorporated by

reference at the National Archives and Records Administration
(NARA). For information on the availability of this material at
NARA, call<PHONE_NUMBER>, or go to: http://www.archives.gov/federal_
register/code_of_federal_regulations/ibr_locations.html.

    Issued in Renton, Washington, on October 19, 2009.
Ali Bahrami,
Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. E9-25660 Filed 10-28-09; 8:45 am]

BILLING CODE 4910-13-P


[Federal Register Volume 81, Number 192 (Tuesday, October 4, 2016)]
[Notices]
[Page 68442]
[FR Doc No: 2016-23948]

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

DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Docket ID FEMA-2016-0011]

Individuals and Households Program Unified Guidance

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice of availability.

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

SUMMARY: This document provides notice of the availability of the final
Individuals and Households Program Unified Guidance. The Federal
Emergency Management Agency (FEMA) published a notice of availability
and request for comment for the proposed guidance on June 15, 2016 at
81 FR 39061.

DATES: The Individuals and Households Program Unified Guidance is
effective on September 30, 2016.

ADDRESSES: This final guidance is available online at http://www.regulations.gov and on FEMA's Web site at http://www.fema.gov. The
proposed and final guidance, all related Federal Register Notices, and
all public comments received during the comment period are available at
http://www.regulations.gov under docket ID FEMA-2016-0011. You may also
view a hard copy of the final guidance at the Office of Chief Counsel,
Federal Emergency Management Agency, Room 8NE, 500 C Street SW.,
Washington, DC 20472.

FOR FURTHER INFORMATION CONTACT: Johnathan Torres, Individual
Assistance Division, Federal Emergency Management Agency, 500 C Street
SW., Washington, DC 20472,<PHONE_NUMBER>) or (FEMA-IHPUG-Comments@fema.dhs.gov).

SUPPLEMENTARY INFORMATION: FEMA is announcing its final Individuals and
Households Program Unified Guidance which describes the policies for
the Individuals and Households Program. The final guidance compiles
FEMA policy for each type of assistance under the Individuals and
Households Program into one comprehensive document and is intended to
serve as a singular policy resource for state, local, territorial, and
tribal governments, and other entities who assist disaster survivors
with post-disaster recovery.
    FEMA received 86 comments during the public comment period. None of
the comments received were deemed ``critical'', and the majority
included only minor grammatical and formatting suggestions. Several
comments included requests for statement clarification, which were
addressed to improve overall policy comprehension. All comments were
reviewed and adjudicated, and the Individuals and Households Program
Unified Guidance was updated accordingly.
    The final guidance does not have the force or effect of law.

    Authority: 42 U.S.C. 5174.

David Bibo,
Acting Associate Administrator, Office of Policy and Program Analysis,
Federal Emergency Management Agency.
[FR Doc. 2016-23948 Filed 10-3-16; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register Volume 78, Number 54 (Wednesday, March 20, 2013)]
[Rules and Regulations]
[Page 17099]
[FR Doc No: 2013-06450]

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

DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2011-0228]
RIN 1625-AA00

Safety Zone, Brandon Road Lock and Dam to Lake Michigan including
Des Plaines River, Chicago Sanitary and Ship Canal, Chicago River, and
Calumet-Saganashkee Channel, Chicago, IL

AGENCY: Coast Guard, DHS.

ACTION: Notice of enforcement of regulation.

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

SUMMARY: The Coast Guard will enforce a segment of the Safety Zone;
Brandon Road Lock and Dam to Lake Michigan including Des Plaines River,
Chicago Sanitary and Ship Canal, Chicago River, Calumet-Saganashkee
Channel on all waters of the Chicago Sanitary and Ship Canal from Mile
Marker 296.1 to Mile Marker 296.7 at various times on March 27 through
March 29, 2013. This action is necessary to protect the waterways,
waterway users, and vessels from hazards associated with the U.S. Army
Corps of Engineers Electromagnetic Fields evaluation operations.
    During any of the below listed enforcement periods, entry into,
transiting, mooring, laying-up or anchoring within the enforced area of
this safety zone by any person or vessel is prohibited unless
authorized by the Captain of the Port, Sector Lake Michigan, or his or
her designated representative.

DATES: The regulations in 33 CFR 165.930 will be enforced from 7 a.m.
until 11 a.m. and from 1 p.m. until 5 p.m. every day from March 27
through March 29, 2013.

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice,
call or email MST1 Joseph McCollum, Prevention Department, Coast Guard
Sector Lake Michigan, telephone<PHONE_NUMBER>, email address
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Coast Guard will enforce a segment of
the Safety Zone; Brandon Road Lock and Dam to Lake Michigan including
Des Plaines River, Chicago Sanitary and Ship Canal, Chicago River,
Calumet-Saganashkee Channel, Chicago, IL, listed in 33 CFR 165.930.
Specifically, the Coast Guard will enforce this safety zone between
Mile Marker 296.1 to Mile Marker 296.7 on all waters of the Chicago
Sanitary and Ship Canal. Enforcement will occur from 7:00 a.m. until
11:00 a.m. and 1:00 p.m. until 5:00 p.m. on March 27 through March 29,
2013.
    This enforcement action is necessary because the Captain of the
Port, Sector Lake Michigan has determined that the U.S. Army Corps of
Engineers Electromagnetic Fields evaluation operation poses risks to
life and property. Because of these risks, it is necessary to control
vessel movement during the operation to prevent injury and property
loss.
    In accordance with the general regulations in Sec.  165.23 of this
part, entry into, transiting, mooring, laying up or anchoring within
the enforced area of this safety zone by any person or vessel is
prohibited unless authorized by the Captain of the Port, Sector Lake
Michigan, or his or her designated representative.
    This notice is issued under authority of 33 CFR 165.930 and 5
U.S.C. 552(a). In addition to this notice in the Federal Register, the
Captain of the Port, Sector Lake Michigan, will also provide notice
through other means, which may include, but are not limited to,
Broadcast Notice to Mariners, Local Notice to Mariners, local news
media, distribution in leaflet form, and on-scene oral notice.
    Additionally, the Captain of the Port, Sector Lake Michigan, may
notify representatives from the maritime industry through telephonic
and email notifications.

    Dated: March 5, 2013.
M.W. Sibley,
Captain, U.S. Coast Guard, Captain of the Port, Sector Lake Michigan.
[FR Doc. 2013-06450 Filed 3-19-13; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 79, Number 220 (Friday, November 14, 2014)]
[Notices]
[Page 68231]
[FR Doc No: 2014-26967]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. OR15-3-000]

JBBR Pipeline LLC; Notice of Petition for Declaratory Order

    Take notice that on November 3, 2014, pursuant to Rule 207(a)(2) of
the Federal Energy Regulatory Commission's (Commission) Rules of
Practice and Procedure, 18 CFR 385.207(a)(2) (2014), JBBR Pipeline LLC
(JBBR Pipeline), filed a petition for declaratory order approving
overall tariff and rate structure for new crude oil pipeline system
from Joliet rail terminal to Mobil's Mokena-to-Joliet pipeline, and
thence to Exxon Mobil's Joliet refinery, all as more fully explained in
the petition.
    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, 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed on or before the comment date.
Anyone filing a motion to intervene or protest must serve a copy of
that document on the Petitioner.
    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 5 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 email
notification when a document is added to a subscribed docket(s). For
assistance with any FERC Online service, please email
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.
    Comment Date: 5:00 p.m. Eastern time on November 25, 2014.

    Dated: November 6, 2014.
Kimberly D. Bose,
Secretary.
[FR Doc. 2014-26967 Filed 11-13-14; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: March 30, 2010 (Volume 75, Number 60)]
[Notices]
[Page 15700]
[DOCID:fr30mr10-60]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 1267-089]

Greenwood County, SC; Notice of Application for Amendment of
License and Soliciting Comments, Motions To Intervene, and Protests

March 23, 2010.
    Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection:
    a. Application Type: Amendment of License.
    b. Project No.: 1267-089.
    c. Date Filed: January 26, 2010.
    d. Applicant: Greenwood County, South Carolina.
    e. Name of Project: Buzzards Roost Hydroelectric Project.
    f. Location: On the Saluda River, in Greenwood, Laurens, and
Newberry Counties, South Carolina.
    g. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791(a)-825(r).
    h. Applicant Contact: Mr. Charles M. Watson Jr., County Attorney,
County of Greenwood, 600 Monument St., Suite 102, Greenwood, SC 29646,
(864) 942-3140.
    i. FERC Contact: Christopher Chaney,<PHONE_NUMBER>,
<EMAIL_ADDRESS>    j. Deadline for filing comments, motions to intervene, and
protests: April 21, 2010.
    All documents may be filed electronically via the Internet. See 18
CFR 385.2001(a)(1)(iii) and the instructions on the Commission's Web
site (http://www.ferc.gov/docs-filing/ferconline.asp) under the
``eFiling'' link. For a simpler method of submitting text only
comments, click on ``Quick Comment.'' For assistance, please contact
FERC Online Support at<EMAIL_ADDRESS>call toll-free at
(866) 208-3676; or, for TTY, contact<PHONE_NUMBER>. Although the
Commission strongly encourages electronic filing, documents may also be
paper-filed. To paper-file, mail an original and eight copies to:
Kimberly D. Bose, Secretary, Federal Energy Regulatory Commission, 888
First Street, NE., Washington, DC 20426.
    The Commission's Rules of Practice and Procedure require all
intervenors filing documents with the Commission to serve a copy of
that document on each person whose name appears on the official service
list for the project. Further, if an intervenor files comments or
documents with the Commission relating to the merits of an issue that
may affect the responsibilities of a particular resource agency, they
must also serve a copy of the document on that resource agency.
    k. Description of Application: The applicant seeks approval to
amend Article 407 of its project license to revise the schedule for
management of lake levels (rule curve). Under the licensed rule curve,
the reservoir level is maintained at an elevation of 439 feet mean sea
level (msl) between April 15 and August 31 of each year. Beginning on
September 1, the reservoir level is then reduced until it reaches 437
feet msl by October 1. The level is maintained at 437 feet msl until
January 1, and then is further reduced to 434.5 feet msl by February 1.
At that time, the reservoir level starts increasing until it reaches
439 feet msl, and the annual cycle is repeated.
    Now the licensee proposes to maintain the reservoir level at 439
feet msl from April 15 until November 1. Between November 1 and
December 1 the reservoir level would gradually descend to 437 feet msl,
then continue descending to 434.5 feet msl between December 1 and
January 15, and be maintained at 434.5 feet msl until January 31.
Between February 1 and April 15, the reservoir level would gradually
increase from 434.5 feet msl to 439 feet msl. In addition, the
reservoir levels may be occasionally modified to the extent necessary
to comply with the minimum downstream releases required by Article 408.
In summary, the licensee proposes to maintain the upper reservoir level
of 439 feet msl for two additional months through November 1, and to
attain the low reservoir level of 434.5 feet msl by January 15 instead
of February 1. The licensee states that these proposed changes to the
operating rule curve would allow greater recreational access to the
lake during the fall and, in the winter, allow additional time to
complete maintenance work which requires lower water levels.
    l. A copy of the application is 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, contact
FERC Online Support. A copy is also available for inspection and
reproduction at the address in item h above.
    You may also register online at http://www.ferc.gov/docs-filing/
esubscription.asp to be notified via e-mail of new filings and
issuances related to this or other pending projects. For assistance,
contact FERC Online Support.
    m. Individuals desiring to be included on the Commission's mailing
list should so indicate by writing to the Secretary of the Commission.
    n. Comments, Protests, or Motions to Intervene: Anyone may submit
comments, a protest, or a motion to intervene in accordance with the
requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211,
.214. In determining the appropriate action to take, the Commission
will consider all protests or other comments filed, but only those who
file a motion to intervene in accordance with the Commission's Rules
may become a party to the proceeding. Any comments, protests, or
motions to intervene must be received on or before the specified
comment date for the particular application.
    Any filings must bear in all capital letters the title
``COMMENTS,'' ``PROTEST,'' or ``MOTION TO INTERVENE,'' as applicable,
and the Project Number of the particular application to which the
filing refers. A copy of any motion to intervene must also be served
upon each representative of the Applicant specified in the particular
application.
    o. Agency Comments: Federal, State, and local agencies are invited
to file comments on the described application. A copy of the
application may be obtained by agencies directly from the applicant. If
an agency does not file comments within the time specified for filing
comments, it will be presumed to have no comments. One copy of an
agency's comments must also be sent to the Applicant's representatives.

Kimberly D. Bose,
Secretary.
[FR Doc. 2010-6982 Filed 3-29-10; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: September 28, 2009 (Volume 74, Number 186)]
[Rules and Regulations]
[Page 49325-49326]
[DOCID:fr28se09-8]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 117

[Docket No. USCG-2009-0864]

Drawbridge Operation Regulation; Cape Fear River and Northeast
Cape Fear River, Wilmington, NC

AGENCY: Coast Guard, DHS.

ACTION: Notice of temporary deviation from regulations.

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SUMMARY: The Commander Fifth Coast Guard District has issued a
temporary deviation from the regulations governing the operation of the
Cape Fear River Memorial Bridge at mile 26.8 and the Isabel S. Holmes
Bridge at mile 1.0 across Northeast Cape Fear River at Wilmington NC.
The deviation is necessary to accommodate a road race. This deviation
allows the bridges to remain in the closed position to vessels.

DATES: This deviation is effective from 8 a.m. to 10 a.m. on October 4,
2009.

ADDRESSES: Documents mentioned in this preamble as being available in
the docket are part of docket USCG-2009-0864 and are available online
by going to http://www.regulations.gov, inserting USCG-2009-0864 in the
``Keyword'' box and then clicking ``Search.'' They are also available
for inspection or copying at the Docket Management Facility (M-30),
U.S. Department of Transportation, West Building Ground Floor, Room
W12-140, 1200 New Jersey Avenue SE., Washington, DC 20590,

between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or e-mail Gary Heyer, Bridge Management Specialist, Fifth Coast
Guard District; telephone<PHONE_NUMBER>, e-mail<EMAIL_ADDRESS>
If you have questions on viewing the docket, call Renee V. Wright,
Program Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The Cape Fear River Memorial Bridge at mile
26.8, a vertical-lift type bridge, and the Isabel S. Holmes Bridge at
mile 1.0 across Northeast Cape Fear River, a bascule lift bridge, have
vertical clearances in the closed positions to vessels of 65 feet and
40 feet above mean high water, respectively.
    The North Carolina Department of Transportation has requested a
temporary deviation from the current operating regulations of the
aforementioned bridges set out in 33 CFR 117.823 and 33 CFR 117.829
(a), respectively, to accommodate the annual Riverfest 8K Run. The
deviation would allow the two drawbridges to remain in the closed
position to vessels from 8 a.m. to 10 a.m. on Sunday, October 4, 2009.
    The Coast Guard will inform the users of the waterways through our
Local and Broadcast Notices to Mariners of the closure periods for the
bridges so that vessels can arrange their transits to minimize any
impact caused by the temporary deviation.
    In accordance with 33 CFR 117.35(e), the drawbridge must return to
its regular operating schedule immediately at the end of the designated
time period. This deviation from the operating regulations is
authorized under 33 CFR 117.35.

    Dated: September 15, 2009.
Waverly W. Gregory, Jr.,
Chief, Bridge Administration Branch, Fifth Coast Guard District.
[FR Doc. E9-23279 Filed 9-25-09; 8:45 am]

BILLING CODE 4910-15-P


[Federal Register Volume 85, Number 63 (Wednesday, April 1, 2020)]
[Notices]
[Pages 18253-18254]
[FR Doc No: 2020-06698]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emrgency Management Agency

[Docket ID: FEMA-2020-0006; OMB No. 1660-0022]

Agency Information Collection Activities: Submission for OMB
Review; Comment Request; Community Rating System-- Application Letter &
Quick Check; Community Recertifications; Environmental & Historic
Preservation Certifications

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice and request for comments.

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SUMMARY: The Federal Emergency Management Agency (FEMA) will submit the
information collection abstracted below to the Office of Management and
Budget for review and clearance in accordance with the requirements of
the Paperwork Reduction Act of 1995. The submission will describe the
nature of the information collection, the categories of respondents,
the estimated burden (i.e., the time, effort and resources used by
respondents to respond) and cost, and the actual data collection
instruments FEMA will use.

DATES: Comments must be submitted on or before May 1, 2020.

ADDRESSES: Submit written comments on the proposed information
collection to the Office of Information and Regulatory Affairs, Office
of Management and Budget. Comments should be addressed to the Desk
Officer for the Department of Homeland Security, Federal Emergency
Management Agency, and sent via electronic mail to
<EMAIL_ADDRESS>
FOR FURTHER INFORMATION CONTACT: Requests for additional information or
copies of the information collection should be made to Director,
Information Management Division, 500 C Street SW, Washington, DC 20472,
email address<EMAIL_ADDRESS>or
Bill Lesser, Program Specialist, Federal Insurance and Mitigation
Administration,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: This proposed information collection
previously published in the Federal Register on January 28, 2020, at 85
FR 5005 with a 60-day public comment period. No comments were received.
The purpose of this notice is to notify the public that FEMA will
submit the information collection abstracted below to the Office of
Management and Budget for review and clearance.

Collection of Information

    Title: Community Rating System-- Application Letter & Quick Check;
Community Annual Recertifications; Environmental & Historic
Preservation Certifications.
    Type of information collection: Extension, without change, of a
currently approved information collection.
    OMB Number: 1660-0022.
    Form Titles and Numbers: FEMA Form 086-0-35, Community Rating
System Application Letter and Quick Check; FEMA Form 086-0-35A,
Community Annual Recertifications, FEMA Form 086-0-35B, Environmental
and Historic Preservation Certifications; FEMA Form 086-0-035C,
Repetitive Loss Update Form.
    Abstract: The CRS Application Letter & Quick Check, the CRS
certification and update forms, and accompanying guidance are used by
communities that participate in the National Flood Insurance Program's
(NFIP) Community Rating System (CRS). The CRS is a voluntary program
where flood insurance costs are reduced in communities that implement
practices, such as building codes and public awareness activities, that
are considered to reduce the risks of flooding and promote the purchase
of flood insurance.
    Affected Public: State, local, or Tribal government.
    Estimated Number of Respondents: 2,170.
    Estimated Number of Responses: 4,170.
    Estimated Total Annual Burden Hours: 52,292.
    Estimated Total Annual Respondent Cost: $3,816,061.
    Estimated Respondents' Operation and Maintenance Costs: There are
no estimated operation and maintenance costs associated with this
collection.
    Estimated Respondents' Capital and Start-Up Costs: There are no
estimated capital and start-up costs associated with this collection.
    Estimated Total Annual Cost to the Federal Government: $6,612,799.

Comments

    Comments may be submitted as indicated in the ADDRESSES caption
above. Comments are solicited to (a) evaluate whether the proposed data
collection is necessary for the proper performance of the agency,
including whether the information shall have practical utility; (b)
evaluate the accuracy of the agency's estimate of the burden of the
proposed collection of

information, including the validity of the methodology and assumptions
used; (c) enhance the quality, utility, and clarity of the information
to be collected; and (d) minimize the burden of the collection of
information on those who are to respond, including through the use of
appropriate automated, electronic, mechanical, or other technological
collection techniques or other forms of information technology, e.g.,
permitting electronic submission of responses.

Maile Arthur,
Acting Records Management Branch Chief, Office of the Chief
Administrative Officer, Mission Support, Federal Emergency Management
Agency, Department of Homeland Security.
[FR Doc. 2020-06698 Filed 3-31-20; 8:45 am]
 BILLING CODE 9111-52-P


[Federal Register Volume 77, Number 159 (Thursday, August 16, 2012)]
[Notices]
[Pages 49447-49448]
[FR Doc No: 2012-20105]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2012-N-0001]

Endpoints for Clinical Trials in Kidney Transplantation; Public
Workshop

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of public workshop.

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    The Food and Drug Administration (FDA) is announcing a public
workshop to discuss the endpoints for clinical trials of drugs and
therapeutic biologics in kidney transplantation. This public workshop
is intended to provide information and gain perspective from health
care providers, academia, and industry on the role of various clinical,
laboratory, histologic, genomic/proteomic, safety, and other endpoints

used to evaluate patient and allograft outcome in clinical trials of
kidney transplantation. The meeting will include a discussion of
measure of patient and graft survival, evaluation of the allograft by
histology and biomarkers, glomerular filtration rate or other measures
of renal function, evaluation of safety, and other topics. The input
from this public workshop will help in developing topics for further
discussion and may serve to inform recommendations on potential
endpoints in clinical trials of kidney transplantation.
    Date and Time: The public workshop will be held on September 10,
2012, from 9 a.m. to 6 p.m., and on September 11, 2012, from 8 a.m. to
3 p.m.
    Location: The public workshop will be held at the Sheraton Silver
Spring Hotel, 8777 Georgia Ave., Silver Spring, MD 20910,<PHONE_NUMBER>.
Seating is limited and available only on a first-come, first-served
basis.

CONTACT PERSON FOR MORE INFORMATION: Christine Moser or Ramou Mauer,
Center for Drug Evaluation and Research, Food and Drug Administration,
10903 New Hampshire Ave., Bldg. 22, Rm. 6209, Silver Spring, MD 20993-
0002,<PHONE_NUMBER> or<PHONE_NUMBER>.
    Registration: Registration is free for the public workshop.
Interested parties are encouraged to register early because space is
limited. Seating will be available on a first-come, first-served basis.
To register electronically, email registration information (including
name, title, firm name, address, telephone, and fax number) to
<EMAIL_ADDRESS>Persons without access to the Internet can call
Christine Moser,<PHONE_NUMBER>, or Ramou Mauer,<PHONE_NUMBER>, to
register.
    Persons needing a sign language interpreter or other special
accommodations should notify Christine Moser or Ramou Mauer (see
CONTACT PERSON FOR MORE INFORMATION) at least 7 days in advance.
    SUPPLEMENTARY INFORMATION: FDA is announcing a public workshop
regarding potential clinical or surrogate endpoints and biomarkers for
clinical trials of drugs and therapeutic biologics in kidney
transplantation. This public workshop will include scientific
discussion on the following topics:
     Patient and graft survival;
     Allograft rejection, both cellular and antibody-mediated,
injury, and recurrent disease;
     Glomerular filtration rate, proteinuria, and other
measures of renal function;
     Proteomic, genomic, and immunologic biomarkers;
     Measures of safety, including cardiovascular and metabolic
outcomes;
     Medication adherence; and
     Consideration of composite endpoints.
    The Agency encourages individuals, patient advocates, industry,
consumer groups, health care professionals, researchers, and other
interested persons to attend this public workshop.
    Transcripts: Please be advised that as soon as a transcript is
available, it will be accessible at http://www.regulations.gov. It may
be viewed at the Division of Dockets Management (HFA-305), Food and
Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852.
A transcript will also be available in either hardcopy or on CD-ROM,
after submission of a Freedom of Information request. Written requests
are to be sent to Division of Freedom of Information (ELEM-1029), Food
and Drug Administration, 12420 Parklawn Dr., Element Bldg., Rockville,
MD 20857. Transcripts will also be available on the Internet at http://www.fda.gov/Drugs/NewsEvents/ucm305308.htm approximately 45 days after
the workshop.

    Dated: August 10, 2012.
Leslie Kux,
Assistant Commissioner for Policy.
[FR Doc. 2012-20105 Filed 8-15-12; 8:45 am]
BILLING CODE 4160-01-P


[Federal Register: February 27, 2007 (Volume 72, Number 38)]
[Notices]
[Page 8822-8823]
[DOCID:fr27fe07-150]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-55315; File No. SR-NSCC-2006-19]

Self-Regulatory Organizations; National Securities Clearing
Corporation; Notice of Filing and Immediate Effectiveness of a Proposed
Rule Change To Modify Its Fee Schedule

February 20, 2007.

    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on December 29, 2006,
National Securities Clearing Corporation (``NSCC'') filed with the
Securities and Exchange Commission (``Commission'') the proposed rule
change as described in Items I, II, and III below, which items have
been prepared primarily by NSCC. NSCC filed the proposed rule change
pursuant to Section 19(b)(3)(A) of the Act \2\ whereby the proposal was
effective upon filing with the Commission. 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\ 15 U.S.C. 78s(b)(3)(A)(ii).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The proposed rule change revises NSCC's fee schedule for certain
services provided by NSCC.

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

    In its filing with the Commission, NSCC 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. NSCC has prepared summaries, set forth in sections (A),
(B), and (C) below, of the most significant aspects of such
statements.\3\
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    \3\ The Commission has modified parts of these statements.
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(A) Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    Pursuant to the proposed rule change, NSCC is reducing fees in
Continuous Net Settlement Services, Automated Customer Account Transfer
Services (ACATS), and Mutual Fund Networking to align the fees with
NSCC's costs of providing services. In addition, NSCC is introducing
new fees for dividend and interest payment processing and related
research, which should help to standardize and simplify fees between
NSCC and DTC. Additionally, NSCC is introducing a new fee for CNS fails
to deliver to encourage members to address aged fails.
    The revised fee schedule was filed as an attachment to the proposed
rule change and may be found on NSCC's Web site at http://www.nscc.com.

Except as otherwise noted on Exhibit 5, the proposed fee changes became
effective on January 2, 2007.
    The proposed rule change is consistent with the requirements of the

Act and the rules and regulations thereunder because it updates NSCC's
fee schedule. As such, it provides for the equitable allocation of fees
among its participants.

(B) Self-Regulatory Organization's Statement on Burden on Competition

    NSCC does not believe that the proposed rule change will have any
impact or impose any burden on competition.

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

    Written comments relating to the proposed rule change have not yet
been solicited or received. NSCC will notify the Commission of any
written comments received by NSCC.

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

    Because the foregoing rule change changes fees charged clearing
members by NSCC, it has become effective pursuant to Section
19(b)(3)(A)(ii) of the Act \4\ and Rule 19b-4(f)(2) \5\ thereunder. At
any time within sixty 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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    \4\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \5\ 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-NSCC-2006-19 on the subject line.

Paper Comments

     Send paper comments in triplicate to Nancy M. Morris,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549-1090.
    All submissions should refer to File Number SR-NSCC-2006-19. This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml
). Copies of the submission, all subsequent amendments,

all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for inspection
and copying in the Commission's Public Reference Section, 100 F Street,
NE., Washington, DC 20549. Copies of such filing also will be available
for inspection and copying at the principal office of NSCC and on
NSCC's Web site at http://www.nscc.com. 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-NSCC-2006-19 and should be submitted on
or before March 20, 2007.

    For the Commission by the Division of Market Regulation,
pursuant to delegated authority.\6\
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    \6\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7-3288 Filed 2-26-07; 8:45 am]

BILLING CODE 8010-01-P