[Federal Register Volume 88, Number 33 (Friday, February 17, 2023)]
[Notices]
[Pages 10320-10325]
[FR Doc No: 2023-03362]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPPT-2023-0061; FRL-10581-01-OCSPP]

Certain New Chemicals; Receipt and Status Information for January
2023

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: EPA is required under the Toxic Substances Control Act (TSCA),

as amended by the Frank R. Lautenberg Chemical Safety for the 21st
Century Act, to make information publicly available and to publish
information in the Federal Register pertaining to submissions under
TSCA Section 5, including notice of receipt of a Premanufacture notice
(PMN), Significant New Use Notice (SNUN), or Microbial Commercial
Activity Notice (MCAN), including an amended notice or test
information; an exemption application (Biotech exemption); an
application for a test marketing exemption (TME), both pending and/or
concluded; a notice of commencement (NOC) of manufacture (including
import) for new chemical substances; and a periodic status report on
new chemical substances that are currently under EPA review or have
recently concluded review. This document covers the period from 1/1/
2023 to 1/31/2023.

DATES: Comments identified by the specific case number provided in this
document must be received on or before March 20, 2023.

ADDRESSES: Submit your comments, identified by docket identification
(ID) number EPA-HQ-OPPT-2023-0061, through the Federal eRulemaking
Portal at https://www.regulations.gov. Follow the online instructions
for submitting comments. Do not submit electronically any information
you consider to be Confidential Business Information (CBI) or other
information whose disclosure is restricted by statute. Additional
instructions on commenting and visiting the docket, along with more
information about dockets generally, is available at https://www.epa.gov/dockets.

FOR FURTHER INFORMATION CONTACT: For technical information contact: Jim
Rahai, Project Management and Operations Division (MC 7407M), Office of
Pollution Prevention and Toxics, Environmental Protection Agency, 1200
Pennsylvania Ave. NW, Washington, DC 20460-0001; telephone number:
(202) 564-8593; email address: [email protected].
    For general information contact: The TSCA-Hotline, ABVI-Goodwill,
422 South Clinton Ave., Rochester, NY 14620; telephone number: (202)
554-1404; email address: [email protected].

SUPPLEMENTARY INFORMATION:

I. Executive Summary

A. What action is the Agency taking?

    This document provides the receipt and status reports for the
period from 1/01/2023 to 1/31/2023. The Agency is providing notice of
receipt of PMNs, SNUNs, and MCANs (including amended notices and test
information); an exemption application under 40 CFR part 725 (Biotech
exemption); TMEs, both pending and/or concluded; NOCs to manufacture a
new chemical substance; and a periodic status report on new chemical
substances that are currently under EPA review or have recently
concluded review.
    EPA is also providing information on its website about cases
reviewed under the amended TSCA, including the section 5 PMN/SNUN/MCAN
and exemption notices received, the date of receipt, the final EPA
determination on the notice, and the effective date of EPA's
determination for PMN/SNUN/MCAN notices on its website at: https://www.epa.gov/reviewing-new-chemicals-under-toxic-substances-control-act-tsca/status-pre-manufacture-notices. This information is updated on a
weekly basis.

B. What is the Agency's authority for taking this action?

    Under the Toxic Substances Control Act (TSCA), 15 U.S.C. 2601 et
seq., a chemical substance may be either an ``existing'' chemical
substance or a ``new'' chemical substance. Any chemical substance that
is not on EPA's TSCA Inventory of Chemical Substances (TSCA Inventory)
is classified as a ``new chemical substance,'' while a chemical
substance that is listed on the TSCA Inventory is classified as an
``existing chemical substance.'' (See TSCA section 3(11).) For more
information about the TSCA Inventory please go to: https://www.epa.gov/tsca-inventory.
    Any person who intends to manufacture (including import) a new
chemical substance for a non-exempt commercial purpose, or to
manufacture or process a chemical substance in a non-exempt manner for
a use that EPA has determined is a significant new use, is required by
TSCA section 5 to provide EPA with a PMN, MCAN, or SNUN, as
appropriate, before initiating the activity. EPA will review the
notice, make a risk determination on the chemical substance or
significant new use, and take appropriate action as described in TSCA
section 5(a)(3).
    TSCA section 5(h)(1) authorizes EPA to allow persons, upon
application and under appropriate restrictions, to manufacture or
process a new chemical substance, or a chemical substance subject to a
significant new use rule (SNUR) issued under TSCA section 5(a)(2), for
``test marketing'' purposes, upon a showing that the manufacture,
processing, distribution in commerce, use, and disposal of the chemical
will not present an unreasonable risk of injury to health or the
environment. This is referred to as a test marketing exemption, or TME.
For more information about the requirements applicable to a new
chemical go to: https://www.epa.gov/under-tsca.
    Under TSCA sections 5 and 8 and EPA regulations, EPA is required to
publish in the Federal Register certain information, including notice
of receipt of a PMN/SNUN/MCAN (including amended notices and test
information); an exemption application under 40 CFR part 725 (biotech
exemption); an application for a TME, both pending and concluded; NOCs
to manufacture a new chemical substance; and a periodic status report
on the new chemical substances that are currently under EPA review or
have recently concluded review.

C. Does this action apply to me?

    This action provides information that is directed to the public in
general.

D. Does this action have any incremental economic impacts or paperwork
burdens?

    No.

E. What should I consider as I prepare my comments for EPA?

    1. Submitting confidential business information (CBI). Do not
submit this information to EPA through regulations.gov or email.
Clearly mark the part or all of the information that you claim to be
CBI. For CBI information in a disk or CD-ROM that you mail to EPA, mark
the outside of the disk or CD-ROM as CBI and then identify
electronically within the disk or CD-ROM the specific information that
is claimed as CBI. In addition to one complete version of the comment
that includes information claimed as CBI, a copy of the comment that
does not contain the information claimed as CBI must be submitted for
inclusion in the public docket. Information so marked will not be
disclosed except in accordance with procedures set forth in 40 CFR part
2.
    2. Tips for preparing your comments. When preparing and submitting
your comments, see the commenting tips at https://www.epa.gov/dockets/commenting-epa-dockets.

II. Status Reports

    In the past, EPA has published individual notices reflecting the
status of TSCA section 5 filings received, pending or concluded. In
1995, the Agency modified its approach and streamlined the information
published in the Federal Register after providing notice of such
changes to the public and

an opportunity to comment (see the Federal Register of May 12, 1995 (60
FR 25798) (FRL-4942-7)). Since the passage of the Lautenberg amendments
to TSCA in 2016, public interest in information on the status of
section 5 cases under EPA review and, in particular, the final
determination of such cases, has increased. In an effort to be
responsive to the regulated community, the users of this information,
and the general public, to comply with the requirements of TSCA, to
conserve EPA resources and to streamline the process and make it more
timely, EPA is providing information on its website about cases
reviewed under the amended TSCA, including the section 5 PMN/SNUN/MCAN
and exemption notices received, the date of receipt, the final EPA
determination on the notice, and the effective date of EPA's
determination for PMN/SNUN/MCAN notices on its website at: https://www.epa.gov/reviewing-new-chemicals-under-toxic-substances-control-act-tsca/status-pre-manufacture-notices. This information is updated on a
weekly basis.

III. Receipt Reports

    For the PMN/SNUN/MCANs that have passed an initial screening by EPA
during this period, Table I provides the following information (to the
extent that such information is not subject to a CBI claim) on the
notices screened by EPA during this period: The EPA case number
assigned to the notice that indicates whether the submission is an
initial submission, or an amendment, a notation of which version was
received, the date the notice was received by EPA, the submitting
manufacturer (i.e., domestic producer or importer), the potential uses
identified by the manufacturer in the notice, and the chemical
substance identity.
    As used in each of the tables in this unit, (S) indicates that the
information in the table is the specific information provided by the
submitter, and (G) indicates that this information in the table is
generic information because the specific information provided by the
submitter was claimed as CBI. Submissions which are initial submissions
will not have a letter following the case number. Submissions which are
amendments to previous submissions will have a case number followed by
the letter ``A'' (e.g., P-18-1234A). The version column designates
submissions in sequence as ``1'', ``2'', ``3'', etc. Note that in some
cases, an initial submission is not numbered as version 1; this is
because earlier version(s) were rejected as incomplete or invalid
submissions. Note also that future versions of the following tables may
adjust slightly as the Agency works to automate population of the data
in the tables.

                                            Table I--PMN/SNUN/MCANs Approved * From 01/01/2023 to 01/31/2023
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               Case No.                     Version      Received date         Manufacturer                   Use                 Chemical substance
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J-23-0001.............................               7      12/30/2022  Lesaffre Yeast             (G) Ethanol production...  (G) Saccharomyces
                                                                         Corporation.                                          cerevisiae, modified to
                                                                                express glucoamylase
                                                                                activity.
J-23-0003.............................               1      12/08/2022  CBI......................  (G) Production of an       (G) Microorganism
                                                                                enzyme mixture.            expressing enzymes.
J-23-0003A............................               2      01/20/2023  CBI......................  (G) Production of an       (G) Microorganism
                                                                                enzyme mixture.            expressing enzymes.
J-23-0003A............................               3      01/30/2023  CBI......................  (G) Production of an       (G) Microorganism
                                                                                enzyme mixture.            expressing enzymes.
P-18-0365A............................               5      01/09/2023  CBI......................  (G) Superabsorbent         (G) Starch, carboxymethyl
                                                                                polymer, (S) Manufacture   ether, sodium salt,
                                                                                for export only.           polymer with
                                                                                polycarboxylic acid.
P-18-0366A............................               5      01/09/2023  CBI......................  (G) Superabsorbent         (G) Starch, carboxymethyl
                                                                                polymer, (S) Manufacture   ether, sodium salt,
                                                                                for export only.           polymer with mixed
                                                                                polycarboxylic acids.
P-19-0095A............................               7      12/22/2022  CBI......................  (G) Consumer Disposables,  (G) Poly hydroxy
                                                                                Polymer Sheet, Durable     alkanoate.
                                                                                Goods.
P-22-0009A............................               4      01/25/2023  CBI......................  (S) Gasoline blending      (S) Alkanes, C4-C9-
                                                                                component to reduce the    branched and linear.
                                                                                average carbon intensity
                                                                                and subsequent CO2
                                                                                emissions of fuel.
P-22-0054A............................               2      01/05/2023  CBI......................  (G) Additive for paint     (G) Graphene
                                                                                and coatings.              nanoplatelets.
P-22-0068A............................               3      01/24/2023  Aditya Birla Chemicals     (S) An epoxy component     (S) 2-Propanamine, 1,1'-
                                                                         (USA), LLC.                used in a reaction with    [(1-
                                                                                other components to        methylethylidene)bis(oxy)
                                                                                produce an epoxy article.  ]bis-.
P-22-0182.............................               6      01/16/2023  Goulston Technologies....  (G) Textile wear additive  (G) Poly(ethylene
                                                                                terephthalate)-co-
                                                                                poly(propyl trimethylol
                                                                                alkanoate).
P-23-0014A............................               6      01/05/2023  CBI......................  (G) Intermediate in        (G) [Polyalkyl-
                                                                                production of fragrance.   methylenepolyhydro-
                                                                                polycyclic]alkyl acetate.
P-23-0036A............................               3      01/10/2023  Elantas PDG, Inc.........  (S) MF8044 Resin is an     (S) Castor oil, polymer
                                                                                unsaturated polyester      with dicyclopentadiene,
                                                                                resin used in an           maleic anhydride, 2-
                                                                                electrical insulation      methyl-1,3-propanediol,
                                                                                coating. The coating is    3a,4,7,7a-tetrahydro-2-(2-
                                                                                used to insulate           hydroxyethyl)-1H-
                                                                                electrical components in   isoindole-1,3(2H)-dione
                                                                                automobiles.               and triethylene glycol.
P-23-0042A............................               2      01/10/2023  Clariant Corporation.....  (S) Intermediate for use   (G) Oxirane, alkyl-,
                                                                                in producing polymers.     polymer with oxirane,
                                                                                monoethers with
                                                                                polyethylene glycol
                                                                                alkenyl ether.
P-23-0045.............................               3      01/05/2023  Colonial Chemical, Inc...  (S) Water based            (G) Carboxylic acid,
                                                                                metalworking fluids,       compound with 2,2',2''-
                                                                                Metal cleaners, Metal      nitrilotris[ethanol]
                                                                                treating fluids.           (1:1);(G) Carboxylic
                                                                                acid, compound with 2-
                                                                                aminoethanol (1:1).
P-23-0045A............................               4      01/20/2023  Colonial Chemical, Inc...  (S) Water based            (G) Carboxylic acid,
                                                                                metalworking fluids,       compound with 2,2',2''-
                                                                                Metal cleaners, Metal      nitrilotris[ethanol]
                                                                                treating fluids.           (1:1);(G) Carboxylic
                                                                                acid, compound with 2-
                                                                                aminoethanol (1:1).

P-23-0048A............................               3      12/28/2022  Dynax Corporation........  (G) Additive used in       (G) Alkenoic acid,
                                                                                industrial and             reaction products with
                                                                                commercial applications.   polyalkenimine, poly-
                                                                                mercapto alkanolester and
                                                                                C6-fluoro haloalkane,
                                                                                compds. with
                                                                                alkanolamine.
P-23-0061.............................               1      12/29/2022  CBI......................  (G) Plastic resin........  (G) Alkanoic acid,
                                                                                substituted, polymer with
                                                                                substituted alkanoic
                                                                                acid, from fermentation
                                                                                of fermentable sugars.
P-23-0061A............................               2      01/30/2023  CBI......................  (G) Plastic resin........  (G) Alkanoic acid,
                                                                                substituted, polymer with
                                                                                substituted alkanoic
                                                                                acid, from fermentation
                                                                                of fermentable sugars.
P-23-0064.............................               1      01/09/2023  CBI......................  (G) Component in           (G) Alkanediol,
                                                                                aerospace coatings.        substituted, polymer with
                                                                                diisocyanatoalkane,
                                                                                substituted heterocycle-
                                                                                modified.
P-23-0065.............................               1      01/11/2023  Cytec Industries, Inc....  (G) Industrial process     (G) Alkyl acid, 2-hydroxy-
                                                                                chemical.                  , methyl substituted
                                                                                alkyl ester.
P-23-0066.............................               1      01/17/2023  CBI......................  (G) An antioxidant         (G) alkylated phenyl-
                                                                                additive.                  naphthalene amine.
P-23-0068.............................               4      01/30/2023  US Polymers Accurez, LLC.  (S) Ingredient in          (S) 1,3-
                                                                                industrial primers and     Isobenzofurandione,
                                                                                topcoats.                  hexahydro-, polymer with
                                                                                1,4-
                                                                                cyclohexanedimethanol,
                                                                                isononanoate.
P-23-0071.............................               1      01/18/2023  Colonial Chemical, Inc...  (S) Water based            (G) alkyl dicarboxylic
                                                                                metalworking fluids,       acid, compound with
                                                                                Metal cleaner.             2,2',2''-
                                                                                nitrilotris[ethanol]
                                                                                (1:?).
P-23-0073.............................               1      01/24/2023  Heraeus Epurio, LLC......  (S) Use as a photoacid     (S) Methanesulfonic acid,
                                                                                generator for              1,1,1-trifluoro-, 1,3-
                                                                                photoresist applications.  dioxo-1H-
                                                                                benz[de]isoquinolin-2(3H)-
                                                                                yl ester.
P-23-0074.............................               1      01/24/2023  BASF Corporation.........  (S) Monomer used in the    (S) 2-Propenoic acid, 2-
                                                                                production of polymers.    methyl-, C13-15-branched
                                                                                and linear alkyl esters.
P-23-0075.............................               1      01/25/2023  Colonial Chemical, Inc...  (S) Lubricant additive,    (G) Amides, vegetable oil,
                                                                                water based cutting        hydroxylated amine,
                                                                                fluids, institutional      amides, soya,
                                                                                cleaning products, and     hydroxylated amine.
                                                                                cleaning in place
                                                                                applications (G)
                                                                                Surfactant used in
                                                                                personal care products.
P-23-0076.............................               1      01/26/2023  CBI......................  (G) Dyestuff.............  (G) 1,5-Carbopolycycle
                                                                                disulfonic acid, 2-[2-[8-
                                                                                [[4-chloro-6-
                                                                                (ethylcarbomonocyclic
                                                                                amino)-
                                                                                heteromonocyclic]amino]-1-
                                                                                hydroxy-3,6-disulfo-2-
                                                                                carbopolycyclic]diazenyl]-
                                                                                , sodium salt (1:4).
SN-23-0002............................               2      12/30/2022  CBI......................  (G) The LCPFACs have no    (S) Octanoic acid,
                                                                                function or application.   2,2,3,3,4,4,5,5,6,6,7,7,8
                                                                                ,8,8-pentadecafluoro-.
SN-23-0003............................               2      12/30/2022  CBI......................  (G) The LCPFACs have no    (S) Dodecanoic acid,
                                                                                function or application.   2,2,3,3,4,4,5,5,6,6,7,7,8
                                                                                ,8,9,9,10,10,11,11,12,12,
                                                                                12-tricosafluoro-.
SN-23-0004............................               2      12/30/2022  CBI......................  (G) The LCPFACs have no    (S) Nonanoic acid,
                                                                                function or application.   2,2,3,3,4,4,5,5,6,6,7,7,8
                                                                                ,8,9,9,9-heptadecafluoro-
                                                                                .
SN-23-0005............................               2      12/30/2022  CBI......................  (G) The LCPFACs have no    (S) Decanoic acid,
                                                                                function or application.   2,2,3,3,4,4,5,5,6,6,7,7,8
                                                                                ,8,9,9,10,10,10-
                                                                                nonadecafluoro-.
SN-23-0006............................               2      12/30/2022  CBI......................  (G) The LCPFACs have no    (S) Undecanoic acid,
                                                                                function or application.   2,2,3,3,4,4,5,5,6,6,7,7,8
                                                                                ,8,9,9,10,10,11,11,11-
                                                                                heneicosafluoro-.
SN-23-0007............................               3      01/09/2023  Allnex USA, Inc..........  (S) EBECRYL MPDDA is a     (S) 2-Propenoic acid, 1,1'-
                                                                                difunctional acrylated     (3-methyl-1,5-
                                                                                monomer which              pentanediyl) ester.
                                                                                polymerizes when exposed
                                                                                to sources of free
                                                                                radicals such as
                                                                                application in UV/EB
                                                                                cured inks, additive
                                                                                manufacturing,
                                                                                adhesives, composites,
                                                                                3D printing and coatings
                                                                                systems, and is used as
                                                                                an additive where
                                                                                improved elasticity,
                                                                                weathering, and adhesion
                                                                                are desired in
                                                                                combination with an
                                                                                excellent water
                                                                                resistance.
SN-23-0008............................               2      12/30/2022  CBI......................  (G) The LCPFACs have no    (S) Tetradecanoic acid,
                                                                                function or application.   2,2,3,3,4,4,5,5,6,6,7,7,8
                                                                                ,8,9,9,10,10,11,11,12,12,
                                                                                13,13,14,14,14-
                                                                                heptacosafluoro-.
SN-23-0009............................               2      12/30/2022  CBI......................  (G) The LCPFACs have no    (S) Tridecanoic acid,
                                                                                function or application.   2,2,3,3,4,4,5,5,6,6,7,7,8
                                                                                ,8,9,9,10,10,11,11,12,12,
                                                                                13,13,13-pentacosafluoro-
                                                                                .

SN-23-0010............................               2      12/30/2022  CBI......................  (G) The LCPFACs have no    (S) Hexadecanoic acid,
                                                                                function or application.   2,2,3,3,4,4,5,5,6,6,7,7,8
                                                                                ,8,9,9,10,10,11,11,12,12,
                                                                                13,13,14,14,15,15,16,16,1
                                                                                6-.hentriacontafluoro-
SN-23-0011............................               2      12/30/2022  CBI......................  (G) The LCPFACs have no    (S) Octadecanoic acid,
                                                                                function or application.   2,2,3,3,4,4,5,5,6,6,7,7,8
                                                                                ,8,9,9,10,10,11,11,12,12,
                                                                                13,13,14,14,15,15,16,16,1
                                                                                7,17,18,18,18-
                                                                                pentatriacontafluoro-.
SN-23-0012............................               4      01/04/2023  Dynax Corporation........  (G) Additive used in       (G) Polyfluorinated alkyl
                                                                                industrial and             polyamide.
                                                                                commercial applications.
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    In Table II of this unit, EPA provides the following information
(to the extent that such information is not claimed as CBI) on the NOCs
that have passed an initial screening by EPA during this period: The
EPA case number assigned to the NOC including whether the submission
was an initial or amended submission, the date the NOC was received by
EPA, the date of commencement provided by the submitter in the NOC, a
notation of the type of amendment (e.g., amendment to generic name,
specific name, technical contact information, etc.) and chemical
substance identity.

                             Table II--NOCs Approved * From 01/01/2023 to 01/31/2023
----------------------------------------------------------------------------------------------------------------
                                               Commencement    If amendment, type of
          Case No.            Received date        date              amendment            Chemical substance
----------------------------------------------------------------------------------------------------------------
J-22-0015..................      01/09/2023        01/06/2023  N....................  (G) Modified yeast,
                                                                                chromosomally and stably
                                                                                modified to improve
                                                                                fermentation performance.
P-15-0691A.................      01/24/2023        07/21/2022  Amended generic        (G) Polyamidoamine with
                                                                chemical name.         substituted
                                                                                ethyleneamine, sodium
                                                                                salt.
P-15-0734A.................      01/24/2023        08/01/2022  Amended generic        (G) Polyamidoamine with
                                                                chemical name.         substituted
                                                                                ethyleneamine, n-
                                                                                carbodithioate, sodium
                                                                                salt.
P-17-0235..................      01/11/2023        11/28/2022  N....................  (G) Amidoamine quaternary
                                                                                ammonium salt.
P-19-0186..................      01/18/2023        01/18/2023  N....................  (S) Benzoic acid, 2-chloro-
                                                                                5-methyl-, sodium salt
                                                                                (1:1).
P-21-0137..................      01/09/2023        09/09/2022  N....................  (G) Triazine-trione,
                                                                                tris(isocyanatoalkyl)-,
                                                                                polymer with substituted
                                                                                diisocyanato
                                                                                alkylcarbomonocycle, ydro-
                                                                                hydroxypoly(oxyalkanediyl
                                                                                ) and hydro-
                                                                                hydroxypoly[oxy(alkyl-
                                                                                alkanediyl)], aliphatic
                                                                                alkyl amine-blocked.
P-21-0138..................      01/30/2023        01/17/2023  N....................  (G) Lithium metal oxide.
P-21-0176..................      01/30/2023        12/29/2022  N....................  (S) Dodecanedioic acid,
                                                                                1,12-bis[2-[4-(4,6-
                                                                                diphenyl-1,3,5-triazin-2-
                                                                                yl)-3-
                                                                                hydroxyphenoxy]ethyl]este
                                                                                r.
P-97-0954..................      01/13/2023        10/23/2020  N....................  (G) Polymeric, alcohol-
                                                                                blocked aromatic
                                                                                isocyanate.
----------------------------------------------------------------------------------------------------------------
* The term 'Approved' indicates that a submission has passed a quick initial screen ensuring all required
  information and documents have been provided with the submission.

    In Table III of this unit, EPA provides the following information
(to the extent such information is not subject to a CBI claim) on the
test information that has been received during this time period: The
EPA case number assigned to the test information; the date the test
information was received by EPA, the type of test information
submitted, and chemical substance identity.

                       Table III--Test Information Received From 01/01/2023 to 01/31/2023
----------------------------------------------------------------------------------------------------------------
             Case No.               Received date      Type of test information           Chemical substance
----------------------------------------------------------------------------------------------------------------
P-14-0712........................      01/11/2023  Polychlorinated Dibenzodioxins    (S) Waste plastics,
                                                    and Polychlorinated               pyrolyzed, C5-55 fraction.
                                                    dibenzofurans Testing.
P-16-0543........................      01/18/2023  Exposure Monitoring Report......  (G) Halogenophosphoric acid
                                                                                metal salt.
P-16-0543........................      01/06/2023  Exposure Monitoring Report......  (G) Halogenophosphoric acid
                                                                                metal salt.
P-18-0168........................      01/27/2023  Surface Tension Testing.........  (G) Alkoxylated triaryl
                                                                                methane.
----------------------------------------------------------------------------------------------------------------

    If you are interested in information that is not included in these
tables, you may contact EPA's technical information contact or general
information contact as described under FOR FURTHER INFORMATION CONTACT
to access additional non-CBI information that may be available.

    Authority: 15 U.S.C. 2601 et seq.
    Dated: February 13, 2023.
Pamela Myrick,
Director, Project Management and Operations Division, Office of
Pollution Prevention and Toxics.
[FR Doc. 2023-03362 Filed 2-16-23; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 74, Number 120 (Wednesday, June 24, 2009)]
[Notices]
[Pages 30196-30197]
[FR Doc No: E9-14801]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-60131; File No. SR-NYSE-2009-57]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change
Extending Until July 15, 2009 the Operation of Interim NYSE Rule 128,
Which Permits the Exchange To Cancel or Adjust Clearly Erroneous
Executions

June 17, 2009.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on June 9, 2009, New York Stock Exchange LLC (``NYSE'' or the
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by the Exchange. NYSE has
designated the proposed rule change as constituting a rule change under
Rule 19b-4(f)(6) under the Act,\3\ which renders the proposal effective
upon filing with the Commission. The Commission is publishing this
notice to solicit comments on the proposed rule change, as amended,
from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 17 CFR 240.19b-4(f)(6).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to extend until July 15, 2009, the operation
of interim NYSE Rule 128 (``Clearly Erroneous Executions for NYSE
Equities'') which permits the Exchange to cancel or adjust clearly
erroneous executions if they arise out of the use or operation of any
quotation, execution or communication system owned or operated by the
Exchange, including those executions that occur in the event of a
system disruption or system malfunction. The text of the proposed rule
change is available at the Exchange, the Commission's Public Reference
Room, and http://www.nyse.com.

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

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

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

1. Purpose
    The Exchange proposes to extend until July 15, 2009, the operation
of interim NYSE Rule 128 (``Clearly Erroneous Executions for NYSE
Equities'') which permits the Exchange to cancel or adjust clearly
erroneous executions if they arise out of the use or operation of any
quotation, execution or communication system owned or operated by the
Exchange, including those executions that occur in the event of a
system disruption or system malfunction.
    Prior to the implementation of NYSE Rule 128 on January 28,
2008,\4\ the NYSE did not have a rule providing the Exchange with the
authority to cancel or adjust clearly erroneous trades of securities
executed on or through the systems and facilities of the NYSE.
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    \4\ See Securities Exchange Act Release No. 57323 (February 13,
2008), 73 FR 9371 (February 20, 2008) (SR-NYSE-2008-09).
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    In order for the NYSE to be consistent with other national
securities exchanges which have some version of a clearly erroneous
execution rule, the Exchange is drafting an amended clearly erroneous
rule which will accommodate such other exchanges but will be
appropriate for the NYSE market model.
    The NYSE notes that the Commission approved an amended clearly
erroneous execution rule for Nasdaq in May 2008.\5\ On July 28, 2008,
the Exchange filed with the SEC a request to extend the operation of
interim Rule 128 until October 1, 2008 \6\ in order to review the
provisions of Nasdaq's clearly erroneous rule and to consider
integrating similar standards into its own amendment to Rule 128. On
October 1, 2008 \7\, the Exchange filed with the SEC a further request
to extend the operation of interim Rule 128 until January 9, 2009 in
order to consider integrating similar standards into the amendment to
Rule 128. On January 9, 2009 \8\, the Exchange filed with the SEC a
request to extend the operation of interim Rule 128 until March 9,
2009, indicating that the Exchange was still in the process of
reviewing the Nasdaq rule with a view towards incorporating certain
provisions into the amendment of interim Rule 128.
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    \5\ See Securities Exchange Act Release No. 57826 (May 15,
2008), 73 FR 29802 (May 22, 2008) (SR-NASDAQ-2007-001).
    \6\ See Securities Exchange Act Release No. 58328 (August 8,
2008), 73 FR 47247 (August 13, 2008) (SR-NYSE-2008-63).
    \7\ See Securities Exchange Act Release No. 58732 (October 3,
2008), 73 FR 61183 (October 15, 2008) (SR-NYSE-2008-99).
    \8\ See Securities Exchange Act Release No. 59255 (January 15,
2009) 74 FR 4496 (January 26, 2009) (SR-NYSE-2009-02).
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    On February 10, 2009, NYSE Arca submitted a proposal to the SEC to
amend its clearly erroneous rule. The NYSE Arca proposed rule differed
in certain respects from the Nasdaq clearly erroneous rule. On March 9,
2009, the Exchange filed with the SEC a request to extend the operation
of interim Rule 128 until June 9, 2009 \9\ to finalize

review of NYSE Arca's proposed amended CEE rule, which included market
wide CEE initiatives, to determine if it was appropriate to incorporate
such provisions into the Rule 128 amendment.
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    \9\ See Securities Exchange Act Release No. 59581 (March 9,
2009) 74 FR 12431 (March 24, 2009) (SR-NYSE-2009-26).
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    Thereafter, on April 24, 2009, NYSE Arca filed a revised rule
change with the Commission to amend its clearly erroneous rule.\10\ The
Exchange is in the process of finalizing its review of NYSE Arca's
revised CEE rule change, which also includes market wide CEE
initiatives, to determine if it is appropriate to incorporate all such
provisions into NYSE's interim Rule 128 amendment.
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    \10\ See Securities Exchange Act Release No. 59838 (April 28,
2009) 74 FR 20767 (May 5, 2009) (SR-NYSEArca-2009-36).
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    The Exchange is, therefore, requesting to extend the operation of
interim Rule 128 until July 15, 2009. Prior to July 15, 2009, the
Exchange intends to file a 19b-4 rule change amending interim Rule 128,
which, if approved by the SEC, will be effective after July 15, 2009.
2. Statutory Basis
    The basis under the Securities Exchange Act of 1934 (the ``Act'')
\11\ for this proposed rule change is the requirement under Section
6(b)(5) \12\ that an Exchange have rules that are designed to promote
just and equitable principles of trade, to remove impediments to and
perfect the mechanism of a free and open market and a national market
system and, in general, to protect investors and the public interest.
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    \11\ 15 U.S.C. 78f(a).
    \12\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act.

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

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

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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \13\ and Rule 19b-
4(f)(6) thereunder.\14\
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    \13\ 15 U.S.C. 78s(b)(3)(A).
    \14\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Commission has determined to waive the five-day pre-filing
period in this case.
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    A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the
Act \15\ normally does not become operative for 30 days after the date
of its filing. However, Rule 19b-4(f)(6) \16\ permits the Commission to
designate a shorter time if such action is consistent with the
protection of investors and the public interest. NYSE requests that the
Commission waive the 30-day operative delay because the Exchange
believes that the absence of such a rule in an automated and fast-paced
trading environment poses a danger to the integrity of the markets and
the public interest. NYSE notes that immediate effectiveness of the
proposed rule change will immediately and timely enable NYSE to cancel
or adjust clearly erroneous trades that may present a risk to the
integrity of the equities markets and all related markets. The
Commission believes that waiving the 30-day operative delay \17\ is
consistent with the protection of investors and the public interest
because such waiver will permit the Exchange to continue operation of
interim NYSE Rule 128 on an uninterrupted basis, and therefore
designates the proposal operative upon filing.
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    \15\ 17 CFR 240.19b-4(f)(6).
    \16\ 17 CFR 240.19b-4(f)(6).
    \17\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate such rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in furtherance of the purposes of the Act.

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-NYSE-2009-57 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2009-57. 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 Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make publicly available. All
submissions should refer to File Number SR-NYSE-2009-57 and should be
submitted on or before July 15, 2009.
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    \18\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\18\
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-14801 Filed 6-23-09; 8:45 am]
BILLING CODE 8010-01-P