[Federal Register Volume 87, Number 98 (Friday, May 20, 2022)]
[Notices]
[Pages 31010-31013]
[FR Doc No: 2022-10806]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-94922; File No. SR-GEMX-2022-06]

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Amend the GEMX
Pricing Schedule at Options 7, Section 3

May 16, 2022.
    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 May 2, 2022, Nasdaq GEMX, LLC (``GEMX'' or ``Exchange'') filed with
the Securities and Exchange Commission (``SEC'' or ``Commission'') the
proposed rule change as described in Items I, II, and III, below, which
Items have been prepared by the Exchange. The Commission is publishing
this notice to

solicit comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend GEMX's Pricing Schedule at Options
7, Section 3 (Regular Order Fees and Rebates).
    The text of the proposed rule change is available on the Exchange's
website at https://listingcenter.nasdaq.com/rulebook/gemx/rules, at the
principal office of the Exchange, and at the Commission's Public
Reference Room.

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

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

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

1. Purpose
    GEMX proposes to amend its Pricing Schedule at Options 7, Section 3
to: (1) Decrease the Priority Customer \3\ Tier 4 Maker Rebate in Penny
Symbols,\4\ and (2) decrease the Non-Priority Customer \5\ and Priority
Customer Penny Symbol Taker Fees in note 13. Each amendment is
described below.
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    \3\ A ``Priority Customer'' is a person or entity that is not a
broker/dealer in securities, and does not place more than 390 orders
in listed options per day on average during a calendar month for its
own beneficial account(s), as defined in Nasdaq GEMX Options 1,
Section 1(a)(36).
    \4\ ``Penny Symbols'' are options overlying all symbols listed
on Nasdaq GEMX that are in the Penny Interval Program. See Options
7, Section 1.
    \5\ ``Non-Priority Customer'' includes Market Makers (including
Market Maker orders sent to the Exchange by EAMs), Non-Nasdaq GEMX
Market Makers (FarMM), Firm Proprietary/Broker-Dealers, and
Professional Customers.
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Priority Customer Maker Rebate
    Today, the Exchange provides Priority Customers Penny Symbol Maker
Rebates as follows: $0.25 per contract (Tier 1), $0.40 per contract
(Tier 2), $0.48 per contract (Tier 3), and $0.53 per contract (Tier 4).
Priority Customers are eligible for the higher tiers of Maker Rebates
based on achieving the tiered volume thresholds in Table 1 in Options
7, Section 3. The Exchange now proposes to lower the Tier 4 Priority
Customer Maker Rebate from $0.53 to $0.52 per contract.
Note 13 Taker Fees
    Today, the Exchange assesses all market participants Penny Symbol
Taker Fees in Tiers 1-4 as follows:

----------------------------------------------------------------------------------------------------------------
                                                    Taker fee:      Taker fee:      Taker fee:      Taker fee:
               Market participant                     Tier 1          Tier 2          Tier 3          Tier 4
----------------------------------------------------------------------------------------------------------------
Market Maker....................................           $0.50           $0.50           $0.50           $0.48
Non-Nasdaq GEMX Market Maker (FarMM)............            0.50            0.50            0.50            0.48
Firm Proprietary/Broker-Dealer..................            0.50            0.50            0.50            0.49
Professional Customer...........................            0.50            0.50            0.50            0.49
Priority Customer...............................            0.48            0.48            0.48            0.43
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    Market participants are eligible for the higher tiers of Penny
Taker Fees based on achieving the tiered volume thresholds in Table 1
in Options 7, Section 3. The tiered Penny Taker Fees set forth above
apply when the market participant trades against a Non-Priority
Customer. When the market participant trades against a Priority
Customer, the Exchange assesses the Penny Taker Fees set forth in note
13 of Options 7, Section 3, regardless of tier. Specifically, note 13
currently provides that Non-Priority Customers who execute less than
4.0% of Customer Total Consolidated Volume will be charged a Penny
Taker Fee of $0.50 per contract for trades executed against a Priority
Customer. Non-Priority Customers who execute 4.0% or greater of
Customer Total Consolidated Volume will be charged a Penny Taker Fee of
$0.47 per contract for trades executed against a Priority Customer. All
Priority Customer orders will be charged a Penny Taker Fee of $0.49 per
contract for trades executed against a Priority Customer. For purposes
of note 13, Customer Total Consolidated Volume means the total volume
cleared at The Options Clearing Corporation in the Customer range in
equity and ETF options in that month.
    The Exchange now proposes to lower the: (i) $0.50 Taker Fee for
Non-Priority Customers that execute less than 4.0% of Customer Total
Consolidated Volume to $0.48 per contract when trading against a
Priority Customer, and (ii) the $0.49 Taker Fee for Priority Customers
that trade against another Priority Customer to $0.48 per contract. In
other words, all market participants would be charged a base Penny
Taker Fee of $0.48 per contract if they trade against a Priority
Customer. Non-Priority Customers will continue to have an opportunity
to lower that fee to $0.47 per contract if they execute 4.0% or greater
of Customer Total Consolidated Volume.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\6\ in general, and furthers the objectives of Sections
6(b)(4) and 6(b)(5) of the Act,\7\ in particular, in that it provides
for the equitable allocation of reasonable dues, fees and other charges
among members and issuers and other persons using any facility, and is
not designed to permit unfair discrimination between customers,
issuers, brokers, or dealers.
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    \6\ 15 U.S.C. 78f(b).
    \7\ 15 U.S.C. 78f(b)(4) and (5).
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    The Exchange's proposed changes to its Pricing Schedule are
reasonable in several respects. As a threshold matter, the Exchange is
subject to significant competitive forces in the market for options
securities transaction services that constrain its pricing
determinations in that market. The fact that this market is competitive
has long been recognized by the courts. In NetCoalition v. Securities
and Exchange Commission, the D.C. Circuit stated as follows: ``[n]o one
disputes that competition for order flow is `fierce.' . . . As the SEC
explained, `[i]n the U.S. national market system, buyers and sellers of
securities, and the broker-dealers that act as their order-routing
agents, have a wide range of choices of where to route orders for
execution'; [and] `no exchange can afford to take its market share
percentages for granted' because `no exchange possesses a monopoly,
regulatory or otherwise, in the execution

of order flow from broker dealers'. . . .'' \8\
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    \8\ NetCoalition v. SEC, 615 F.3d 525, 539 (D.C. Cir. 2010)
(quoting Securities Exchange Act Release No. 59039 (December 2,
2008), 73 FR 74770, 74782-83 (December 9, 2008) (SR-NYSEArca-2006-
21)).
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    The Commission and the courts have repeatedly expressed their
preference for competition over regulatory intervention in determining
prices, products, and services in the securities markets. In Regulation
NMS, while adopting a series of steps to improve the current market
model, the Commission highlighted the importance of market forces in
determining prices and SRO revenues and, also, recognized that current
regulation of the market system ``has been remarkably successful in
promoting market competition in its broader forms that are most
important to investors and listed companies.'' \9\
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    \9\ Securities Exchange Act Release No. 51808 (June 9, 2005), 70
FR 37496, 37499 (June 29, 2005) (``Regulation NMS Adopting
Release'').
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    Numerous indicia demonstrate the competitive nature of this market.
For example, clear substitutes to the Exchange exist in the market for
options security transaction services. The Exchange is only one of
sixteen options exchanges to which market participants may direct their
order flow. Within this environment, market participants can freely and
often do shift their order flow among the Exchange and competing venues
in response to changes in their respective pricing schedules. As such,
the proposal represents a reasonable attempt by the Exchange to
increase its liquidity and market share relative to its competitors.
Priority Customer Maker Rebate
    The Exchange believes that its proposal to lower the Tier 4 Penny
Maker Rebate for Priority Customers from $0.53 to $0.52 per contract is
reasonable, equitable and not unfairly discriminatory. While the
Exchange is lowering this rebate, Priority Customers will continue to
receive the highest Penny Maker Rebates with the proposed changes. No
market participants other than Market Makers and Priority Customers are
offered enhanced Penny Maker Rebates in Tier 4, and the proposed $0.52
Tier 4 Maker Rebate for Priority Customers continues to be
significantly higher than the $0.41 Tier 4 Maker Rebate currently
provided to Market Makers.\10\ The Exchange therefore believes that the
proposed pricing will continue to be attractive for Priority Customer
order flow.
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    \10\ As set forth in Options 7, Section 3, Non-Nasdaq GEMX
Market Makers (FarMM), Firm Proprietary/Broker-Dealers, and
Professional Customers are eligible to receive a $0.20 Penny Maker
Rebate in Tier 1 only.
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    The Exchange believes that the proposed Tier 4 Priority Customer
Maker Rebate changes are equitable and not unfairly discriminatory. As
discussed above, the Exchange believes the proposed pricing will
continue to attract Priority Customer order flow to the Exchange.
Priority Customer liquidity benefits all market participants by
providing more trading opportunities, which attracts Market Makers. An
increase in the activity of these market participants in turn
facilitates tighter spreads, which may cause an additional
corresponding increase in order flow from other market participants.
Note 13 Taker Fees
    The Exchange believes that its proposal in note 13 of Options 7,
Section 3 to lower the Penny Taker Fees that apply when trading against
a Priority Customer is reasonable. As discussed above, the Exchange is
proposing to lower the base Penny Taker Fee for all market participants
to $0.48 per contract if they trade against a Priority Customer. Non-
Priority Customers would continue to have an opportunity to lower that
fee to $0.47 per contract if they execute 4.0% or greater of Customer
Total Consolidated Volume. The Exchange notes that the proposed Penny
Taker Fees for trading against Priority Customers will generally be
lower or comparable to the current tiered Penny Taker Fees for trading
against Non-Priority Customers. The only exception is the Tier 4 Penny
Taker Fee for Priority Customers when trading against a Non-Priority
Customer. As described above, this fee is currently $0.43 per contract.
Otherwise, the proposed Taker Fees are lower or comparable for all
market participants, regardless of tier.\11\ The Exchange believes that
its proposal will enhance Priority Customer experience on the Exchange
by incentivizing market participants with a lower Penny Taker Fee to
remove Priority Customer liquidity. At the same time, the Exchange
believes the proposed pricing (including the Priority Customer Taker
Fee when the counter party is another Priority Customer) appropriately
balances the Exchange's intent to offset the favorable Penny Symbol
pricing currently offered to Priority Customers through higher Maker
Rebates and lower Taker Fees. With the proposed changes, the Exchange
continues to believe that its pricing structure for Penny Symbols will
continue to attract additional volume to GEMX.
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    \11\ Specifically, all Non-Priority Customers are currently
assessed a Penny Taker Fee of $0.50 per contract in Tiers 1-3 when
trading against Non-Priority Customers, while this fee is $0.48 per
contract for Priority Customers in Tiers 1-3. In Tier 4, Market
Makers and Non-Nasdaq GEMX Market Makers are currently assessed a
$0.48 per contract Penny Taker Fee when trading against Non-Priority
Customers. For Firm Proprietary/Broker-Dealers and Professional
Customers, the Tier 4 fee is currently $0.49 per contract. As
previously discussed, the Tier 4 fee is currently $0.43 per contract
for Priority Customers.
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    The Exchange further believes that the proposed changes to lower
the Penny Taker Fees in note 13 are equitable and not unfairly
discriminatory. In particular, the Exchange is lowering the Penny Taker
Fee to $0.48 per contract for all market participants when the counter
party is a Priority Customer.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act.
    The proposed Tier 4 Priority Customer Maker Rebate changes do not
impose an undue burden on intra-market competition. As discussed above,
Priority Customers will continue to receive the highest Penny Maker
Rebates on the Exchange with the proposed changes, so the Exchange
believes its proposal will continue to attract Priority Customer order
flow to the Exchange. Priority Customer liquidity benefits all market
participants by providing more trading opportunities, which attracts
Market Makers. An increase in the activity of these market participants
in turn facilitates tighter spreads, which may cause an additional
corresponding increase in order flow from other market participants. As
it relates to proposed note 13 Taker Fee changes, the Exchange will
assess the same Taker Fee to all market participants when the counter
party is a Priority Customer. Accordingly, the Exchange does not
believe that its pricing proposal will place any market participant at
a competitive disadvantage.
    As it relates to inter-market competition, the Exchange believes
its proposal remains competitive with other options markets and will
offer market participants with another choice of where to transact
options. The Exchange notes that it operates in a highly competitive
market in which market participants can readily favor competing venues
if they deem fee levels at a particular venue to be excessive, or
rebate opportunities available at other venues to be more favorable. In
such an environment, the

Exchange must continually adjust its fees to remain competitive with
other options exchanges. Because competitors are free to modify their
own fees in response, and because market participants may readily
adjust their order routing practices, the Exchange believes that the
degree to which fee changes in this market may impose any burden on
competition is extremely limited.

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

    No written comments were either solicited or received.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A)(ii) of the Act.\12\ At any time within 60 days of the
filing of the proposed rule change, the Commission summarily may
temporarily suspend such rule change if it appears to the Commission
that such action is: (i) Necessary or appropriate in the public
interest; (ii) for the protection of investors; or (iii) otherwise in
furtherance of the purposes of the Act. If the Commission takes such
action, the Commission shall institute proceedings to determine whether
the proposed rule should be approved or disapproved.
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    \12\ 15 U.S.C. 78s(b)(3)(A)(ii).
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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 email to [email protected]. Please include
File Number SR-GEMX-2022-06 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-GEMX-2022-06. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-GEMX-2022-06 and should be submitted on
or before June 10, 2022.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\13\
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    \13\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022-10806 Filed 5-19-22; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 87, Number 86 (Wednesday, May 4, 2022)]
[Rules and Regulations]
[Pages 26270-26273]
[FR Doc No: 2022-09502]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 100

[Docket Number USCG-2022-0073]
RIN 1625-AA08

Special Local Regulations; Annual Events in Captain of the Port
Delaware Bay Zone

AGENCY: Coast Guard, DHS.

ACTION: Final rule.

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SUMMARY: The Coast Guard is establishing special local regulations for
four annual marine events in the Captain of the Port (COTP), Delaware
Bay Zone. This action is necessary to protect participants, spectators,
and vessels from the hazards associated with the varying types of
marine events. This rulemaking prohibits persons and vessels from being
in the regulated areas during the enforcement period unless authorized
by the COTP or a designated representative.

DATES: This rule is effective June 3, 2022.

ADDRESSES: To view documents mentioned in this preamble as being
available in the docket, go to https://www.regulations.gov, type USCG-
2022-0073 in the search box and click ``Search.'' Next, in the Document
Type column, select ``Supporting & Related Material.''

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
call or email MST1 Jennifer Padilla, Waterways Management Division,
Sector Delaware Bay, U.S. Coast Guard; telephone<PHONE_NUMBER>, email
[email protected].

SUPPLEMENTARY INFORMATION:

I. Table of Abbreviations

CFR Code of Federal Regulations
DHS Department of Homeland Security
FR Federal Register
NPRM Notice of proposed rulemaking
Sec.  Section
U.S.C. United States Code

II. Background Information and Regulatory History

    The four marine events included in this rule are held on a
recurring basis on the navigable waters within the Captain of the Port,
Delaware Bay Zone. Historically, the Coast Guard established annual
temporary final regulations for each of these recurring events. In
response, on February 17, 2022, the Coast Guard published a notice of
proposed rulemaking (NPRM) titled Special Local Regulations; Annual
Events in Captain of the Port Delaware Bay Zone (87 FR 8994). There, we
stated why we issued the NPRM, and invited comments on our proposed
regulatory action related to the special local regulations and
recurring marine events. During the comment period that ended March 21,
2022 we received no comments.

III. Legal Authority and Need for Rule

    The Coast Guard is issuing this rule under authority in 46 U.S.C.
70041. The Secretary has delegated ports and waterways authority, with
certain reservations not applicable here, to the Commandant via DHS
Delegation No. 00170.1(II)(70), Revision No. 01.2. The Commandant has
further delegated these authorities within the Coast Guard as described
in 33 CFR 1.05-1 and 6.04-6. The Coast Guard has determined that the
events listed in this rule could pose a risk to participants or
waterway users if normal vessel traffic were to interfere with the
event. Possible hazards include risks of participant injury or death
resulting from near or actual contact with non-participant vessels
traversing through the regulated areas. In order to protect the safety
of all waterway users, including event participants and spectators,
this rule establishes special local regulations for the time and
location of each marine event. This rule prevents vessels from
entering, transiting, mooring or anchoring within areas specifically
designated as regulated areas during the periods of enforcement unless
authorized by the Captain of the Port (COTP), or designated Event
Patrol Commander.

IV. Discussion of Comments, Changes, and the Rule

    As noted above, we received no comments on our NPRM published
February 17, 2022. There are no changes in the regulatory text of this
rule from the proposed rule in the NPRM.
    The Coast Guard is adding four reoccurring special local
regulations for annual marine events in the Captain of the Port
Delaware Bay to 33 CFR 100.501 in Table 1 to Paragraph (i)(1). The
Coast Guard will publish annual notice of the exact dates and times of
the effective periods of the regulations. For each event, the notices
will also provide the geographical description of each regulated area
and other pertinent details concerning the nature of the events. This
rule is necessary to protect participants, spectators, and vessels from
the hazards associated with the varying types of marine events. During
the enforcement periods of these special local regulations, non-
participant persons or vessels are prohibited from entering into,
remaining within, transiting through, or anchoring in the regulated
area unless authorized by the Captain of the Port Delaware Bay or a
designated representative of the Captain of the Port. The regulatory
text appears at the end of this document.
    Below is a description of the four reoccurring marine events that
we are adding to Table 1 to Paragraph (i)(1) in 100.501.
    1. Stockton Boat Race.
    This marine event takes place one weekend in March or April at the
location described below. The event is in Atlantic City, NJ, where the
following area makes up the regulated area: All

navigable waters of the New Jersey Intracoastal Waterway in Atlantic
City, NJ, within the polygon bounded by the following: Originating on
the southwest portion at approximate position latitude 39[deg]20'57''
N, longitude 074[deg]27'59'' W; thence northeasterly along the
shoreline to latitude 39[deg]21'35'' N, longitude 074[deg]27'06'' W;
thence east across the mouth of Beach Thorofare to the shoreline at
latitude 39[deg]21'41'' N, longitude 074[deg]26'55'' W; thence east
along the shoreline to latitude 39[deg]21'42'' N, longitude
074[deg]26'51'' W; thence southeast across the New Jersey Intracoastal
Waterway to the shoreline at latitude 39[deg]21'43'' N, longitude
074[deg]26'41'' W; thence southwest along the shoreline to approximate
position latitude 39[deg]20'55'' N, longitude 074[deg]27'57'' W; thence
north to the point of origin. The sponsor is Stockton University.
    2. Escape the Cape Swim.
    This marine event takes place on one Saturday or Sunday in June.
The regulated area is in Lower Township, NJ, in the following area: All
navigable waters of the Delaware Bay in Lower Township, NJ, bounded by
a line drawn from: Latitude 39[deg]0'57'' N, longitude 074[deg]56'56''
W in Villas, NJ, thence west to latitude 39[deg]00'59'' N, longitude
074[deg]57'15'' W, thence south to latitude 38[deg]58'08'' N, longitude
074[deg]58'11'' W, thence east to latitude 38[deg]58'04'' N, longitude
074[deg]57'52'' W in North Cape May, NJ, thence north along the
shoreline to the point of origin. The sponsor is DelMoSports.
    3. Around the Island Paddle.
    This marine event takes place on one Saturday or Sunday in June,
July, or August. The regulated area location is in Cape May County, NJ.
The following area is a moving regulated area: All waters within 50
yards in front of the lead safety vessel preceding the first event
participants, to 50 yards behind the safety vessel trailing the last
event participants, and 100 yards on either side of participant and
safety vessels during the event. The regulated area will move with the
safety vessels and participants as they transit the waters east through
Cape May Harbor, south through Cape May Inlet, west through the
Atlantic Ocean, north through the Delaware Bay, then east through Cape
May Canal, and terminate at the Lost Fishermen's Memorial in Cape May
Harbor. The regulated area will move at the pace of event patrol
vessels and participants. The sponsor is the Desatnick Foundation.
    4. Manasquan Inlet Intracoastal Tug.
    This marine event takes place on one Saturday or Sunday in
September or October. The location is Manasquan Inlet, NJ. The
following area makes up the regulated area: All waters of Manasquan
Inlet extending 400 feet from either side of the rope located between
approximate locations latitude 40[deg]06'09'' N, longitude
74[deg]02'08'' W and latitude 40[deg]06'14'' N, longitude
74[deg]02'08'' W. The sponsor is the Borough of Manasquan.

V. Regulatory Analyses

    We developed this rule after considering numerous statutes and
Executive orders related to rulemaking. Below we summarize our analyses
based on a number of these statutes and Executive orders, and we
discuss First Amendment rights of protestors.

A. Regulatory Planning and Review

    Executive Orders 12866 and 13563 direct agencies to assess the
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits. This rule has not been designated a ``significant
regulatory action'' under Executive Order 12866. Accordingly, this rule
has not been reviewed by the Office of Management and Budget (OMB).
    This regulatory action determination is based on the size, scope,
duration, and historical data concerning the scope and potential impact
of these marine events. The special local regulation areas within this
rule have been enforced on an annual basis through temporary final
regulations. The regulated areas will be enforced in limited areas on
six days out of the year, usually for only a few hours on those days.
Specifically, the Manasquan Inlet Intracoastal Tug often schedules
breaks during the event to temporarily let vessels pass through the
inlet waterway entrance. Vessels will be able to contact the COTP for
permission to transit the regulated areas or instructions for safely
transiting around the area during enforcement periods.

B. Impact on Small Entities

    The Regulatory Flexibility Act of 1980, 5 U.S.C. 601-612, as
amended, requires Federal agencies to consider the potential impact of
regulations on small entities during rulemaking. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000. The Coast Guard received no comments from the Small Business
Administration on this rulemaking. The Coast Guard certifies under 5
U.S.C. 605(b) that this rule will not have a significant economic
impact on a substantial number of small entities.
    While some owners or operators of vessels intending to transit the
safety zone may be small entities, for the reasons stated in section
V.A above, this rule will not have a significant economic impact on any
vessel owner or operator.
    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this rule. If the rule would affect your
small business, organization, or governmental jurisdiction and you have
questions concerning its provisions or options for compliance, please
call or email the person listed in the FOR FURTHER INFORMATION CONTACT
section.
    Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247). The Coast Guard will not retaliate against small
entities that question or complain about this rule or any policy or
action of the Coast Guard.

C. Collection of Information

    This rule will not call for a new collection of information under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

D. Federalism and Indian Tribal Governments

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has 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. We have analyzed this rule under that Order and have
determined that it is consistent with the fundamental federalism
principles and preemption requirements described in Executive Order
13132.
    Also, this rule does not have tribal implications under Executive
Order 13175, Consultation and Coordination with Indian Tribal
Governments, because it does not have a substantial direct effect on
one or more Indian tribes, on the relationship between the

Federal Government and Indian tribes, or on the distribution of power
and responsibilities between the Federal Government and Indian tribes.

E. Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this rule will not result in
such an expenditure, we do discuss the effects of this rule elsewhere
in this preamble.

F. Environment

    We have analyzed this rule under Department of Homeland Security
Directive 023-01, Rev. 1, associated implementing instructions, and
Environmental Planning COMDTINST 5090.1 (series), which guide the Coast
Guard in complying with the National Environmental Policy Act of 1969
(42 U.S.C. 4321-4370f), and have determined that this action is one of
a category of actions that do not individually or cumulatively have a
significant effect on the human environment. This rule involves special
local regulations at various locations and at various times to maintain
the safety of event participants, spectators, and transiting vessel
traffic. It is categorically excluded from further review under
paragraph L61 of Appendix A, Table 1 of DHS Instruction Manual 023-01-
001-01, Rev. 1. A memorandum for record (MFR) supporting this
determination is available in the docket. For instructions on locating
the docket, see the ADDRESSES section of this preamble.

G. Protest Activities

    The Coast Guard respects the First Amendment rights of protesters.
Protesters are asked to call or email the person listed in the FOR
FURTHER INFORMATION CONTACT section to coordinate protest activities so
that your message can be received without jeopardizing the safety or
security of people, places or vessels.

List of Subjects in 33 CFR Part 100

    Marine safety, Navigation (water), Reporting and recordkeeping
requirements, Security measures, Waterways.
    For the reasons discussed in the preamble, the Coast Guard amends
33 CFR part 100 as follows:

PART 100--SAFETY OF LIFE ON NAVIGABLE WATERS

0
1. The authority citation for part 100 continues to read as follows:

    Authority: 46 U.S.C. 70041; 33 CFR 1.05-1.

0
2. In Sec.  100.501, amend Table 1 to Paragraph (i)(1) by adding
entries for ``Stockton Boat Race'', ``Escape the Cape Swim'', ``Around
the Island Paddle'', and ``Manasquan Inlet Intracoastal Tug'' at the
end of the table to read as follows:

Sec.  100.501  Special Local Regulations; Marine Events Within the
Fifth Coast Guard District.

* * * * *

                                           Table 1 to Paragraph (i)(1)
----------------------------------------------------------------------------------------------------------------
                                                                               Enforcement
             Event                            Regulated area                  period(s) \1\         Sponsor
----------------------------------------------------------------------------------------------------------------

                                                  * * * * * * *
Stockton Boat Race............  All navigable waters of the New Jersey      One weekend in     Stockton
                                 Intracoastal Waterway in Atlantic City,     March or April.    University.
                                 NJ within the polygon bounded by the
                                 following: Originating on the southwest
                                 portion at approximate position latitude
                                 39[deg]20'57'' N, longitude
                                 074[deg]27'59'' W; thence northeasterly
                                 along the shoreline to latitude
                                 39[deg]21'35'' N, longitude
                                 074[deg]27'06'' W; thence east across the
                                 mouth of Beach Thorofare to the shoreline
                                 at latitude 39[deg]21'41'' N, longitude
                                 074[deg]26'55'' W; thence east along the
                                 shoreline to latitude 39[deg]21'42'' N,
                                 longitude 074[deg]26'51'' W; thence
                                 southeast across the New Jersey
                                 Intracoastal Waterway to the shoreline at
                                 latitude 39[deg]21'43'' N, longitude
                                 074[deg]26'41'' W; thence southwest along
                                 the shoreline to approximate position
                                 latitude 39[deg]20'55'' N, longitude
                                 074[deg]27'57'' W; thence north to the
                                 point of origin.
Escape the Cape Swim..........  All navigable waters of the Delaware Bay    One Saturday or    DelMoSports.
                                 in Lower Township, NJ bounded by a line     Sunday in June.
                                 drawn from: Latitude 39[deg]0'57'' N,
                                 longitude 074[deg]56'56'' W in Villas,
                                 NJ, thence west to latitude
                                 39[deg]00'59'' N, longitude
                                 074[deg]57'15'' W, thence south to
                                 latitude 38[deg]58'08'' N, longitude
                                 074[deg]58'11'' W, thence east to
                                 latitude 38[deg]58'04'' N, longitude
                                 074[deg]57'52'' W in North Cape May, NJ,
                                 thence north along the shoreline to the
                                 point of origin.
Around the Island Paddle......  All waters within 50 yards in front of the  One Saturday or    Desatnick
                                 lead safety vessel preceding the first      Sunday in June,    Foundation.
                                 event participants, to 50 yards behind      July or August.
                                 the safety vessel trailing the last event
                                 participants, and 100 yards on either
                                 side of participant and safety vessels
                                 during the event. The regulated area will
                                 move with the safety vessels and
                                 participants as they transit the waters
                                 east through Cape May Harbor, south
                                 through Cape May Inlet, west through the
                                 Atlantic Ocean, north through the
                                 Delaware Bay, then east through Cape May
                                 Canal, and terminate at the Lost
                                 Fishermen's Memorial in Cape May Harbor.
                                 The regulated area will move at the pace
                                 of event patrol vessels and participants.
Manasquan Inlet Intracoastal    All waters of Manasquan Inlet extending     One Saturday or    Borough of
 Tug.                            400 feet from either side of the rope       Sunday in          Manasquan.
                                 located between approximate locations       September or
                                 latitude 40[deg]06'09'' N, longitude        October.
                                 74[deg]02'08'' W and latitude
                                 40[deg]06'14'' N, longitude
                                 74[deg]02'08'' W.
----------------------------------------------------------------------------------------------------------------
\1\ As noted, the enforcement dates and times for each of the listed events in this table are subject to change.
  In the event of a change, or for enforcement periods listed that do not allow a specific date or dates to be
  determined, the Captain of the Port will provide notice to the public by publishing a Notice of Enforcement in
  the Federal Register, as well as, issuing a Broadcast Notice to Mariner.

* * * * *

    Dated: April 26, 2022.
Jonathan D. Theel,
Captain, U.S. Coast Guard. Captain of the Port, Delaware Bay.
[FR Doc. 2022-09502 Filed 5-3-22; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 81, Number 117 (Friday, June 17, 2016)]
[Notices]
[Pages 39740-39741]
[FR Doc No: 2016-14475]

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SECURITIES AND EXCHANGE COMMISSION

[File No. 500-1]

In the Matter of Advanced Life Sciences Holdings, Inc., Anoteros,
Inc., Emperial Americas, Inc., Nord Resources Corporation, and UNR
Holdings, Inc.; Order of Suspension of Trading

June 15, 2016.
    It appears to the Securities and Exchange Commission
(``Commission'') that there is a lack of current and accurate
information concerning the securities of Advanced Life Sciences
Holdings, Inc. (``ADLS \1\'') (CIK No. 1322734), a void Delaware
corporation located in Woodridge, Illinois with a class of securities
registered with the Commission pursuant to Securities Exchange Act of
1934 (``Exchange Act'') Section 12(g) because it is delinquent in its
periodic filings with the Commission, having not filed any periodic
reports since it filed a Form 10-K for the period ended December 31,
2010. On March 3, 2014, the Commission's Division of Corporation
Finance (``Corporation Finance'') sent a delinquency letter to ADLS
requesting compliance with its periodic filing requirements but ADLS
did not receive the delinquency letter due to its failure to maintain a
valid address on file with the Commission as required by Commission
rules (Rule 301 of Regulation S-T, 17 CFR 232.301 and Section 5.4 of
EDGAR Filer Manual) (``Commission Issuer Address Rules''). As of June
8, 2016, the common stock of ADLS was quoted on OTC Link operated by
OTC Markets Group Inc. (formerly ``Pink Sheets'') (``OTC Link''), had
six market makers, and was eligible for the ``piggyback'' exception of
Exchange Act Rule 15c2-11(f)(3).
---------------------------------------------------------------------------

    \1\ The short form of each issuer's name is also its stock
symbol.
---------------------------------------------------------------------------

    It appears to the Commission that there is a lack of current and
accurate information concerning the securities of Anoteros, Inc.
(``ANOS'') (CIK No. 1390292), a revoked Nevada corporation located in
Rolling Hills, California with a class of securities registered with
the Commission pursuant to Exchange Act

Section 12(g) because it is delinquent in its periodic filings with the
Commission, having not filed any periodic reports since it filed a Form
10-Q for the period ended September 30, 2014. On December 2, 2015,
Corporation Finance sent a delinquency letter to ANOS requesting
compliance with its periodic filing requirements but ANOS did not
receive the delinquency letter due to its failure to maintain a valid
address on file with the Commission as required by Commission Issuer
Address Rules. As of June 8, 2016, the common stock of ANOS was quoted
on OTC Link, had five market makers, and was eligible for the
``piggyback'' exception of Exchange Act Rule 15c2-11(f)(3).
    It appears to the Commission that there is a lack of current and
accurate information concerning the securities of Emperial Americas,
Inc. (``TEXX'') (CIK No. 1424718), a dissolved Florida corporation
located in Sarasota, Florida with a class of securities registered with
the Commission pursuant to Exchange Act Section 12(g) because it is
delinquent in its periodic filings with the Commission, having not
filed any periodic reports since it filed a Form 10-Q for the period
ended June 30, 2012. On January 28, 2016, Corporation Finance sent a
delinquency letter to TEXX requesting compliance with its periodic
filing requirements but TEXX did not receive the delinquency letter due
to its failure to maintain a valid address on file with the Commission
as required by Commission Issuer Address Rules. As of June 8, 2016, the
common stock of TEXX was quoted on OTC Link, had six market makers, and
was eligible for the ``piggyback'' exception of Exchange Act Rule 15c2-
11(f)(3).
    It appears to the Commission that there is a lack of current and
accurate information concerning the securities of Nord Resources
Corporation (``NRDSQ'') (CIK No. 72316), a void Delaware corporation
located in Tucson, Arizona with a class of securities registered with
the Commission pursuant to Exchange Act Section 12(g) because it is
delinquent in its periodic filings with the Commission, having not
filed any periodic reports since it filed a Form 10-Q for the period
ended September 30, 2013. On September 30, 2015, Corporation Finance
sent a delinquency letter to NRDSQ requesting compliance with its
periodic filing requirements which was delivered. As of June 8, 2016,
the common stock of NRDSQ was quoted on OTC Link, had six market
makers, and was eligible for the ``piggyback'' exception of Exchange
Act Rule 15c2-11(f)(3).
    It appears to the Commission that there is a lack of current and
accurate information concerning the securities of UNR Holdings, Inc.
(``UNRH'') (CIK No. 1093800), a delinquent Colorado corporation located
in New York, New York with a class of securities registered with the
Commission pursuant to Exchange Act Section 12(g) because it is
delinquent in its periodic filings with the Commission, having not
filed any periodic reports since it filed a Form 10-Q for the period
ended September 30, 2012. On March 25, 2015, Corporation Finance sent a
delinquency letter to UNRH requesting compliance with its periodic
filing requirements which was delivered. As of June 8, 2016, the common
stock of UNRH was quoted on OTC Link, had four market makers, and was
eligible for the ``piggyback'' exception of Exchange Act Rule 15c2-
11(f)(3).
    The Commission is of the opinion that the public interest and the
protection of investors require a suspension of trading in the
securities of the above-listed companies. Therefore, it is ordered,
pursuant to Section 12(k) of the Securities Exchange Act of 1934, that
trading in the securities of the above-listed companies is suspended
for the period from 9:30 a.m. EDT on June 15, 2016, through 11:59 p.m.
EDT on June 28, 2016.

    By the Commission.
Jill M. Peterson,
Secretary.
[FR Doc. 2016-14475 Filed 6-15-16; 4:15 pm]
 BILLING CODE 8011-01-P


[Federal Register Volume 80, Number 116 (Wednesday, June 17, 2015)]
[Notices]
[Pages 34631-34632]
[FR Doc No: 2015-14893]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:

Filings Instituting Proceedings

    Docket Numbers: RP14-540-000.
    Applicants: Paiute Pipeline Company.
    Description: Compliance filing per 154.501: Refund Report.
    Filed Date: 5/8/15.
    Accession Number: 20150508-5126.
    Comments Due: 5 p.m. ET 6/17/15.

    Docket Numbers: RP15-1050-000.
    Applicants: Texas Eastern Transmission, LP.
    Description: Sec.  4(d) rate filing per 154.204: TETLP Cleanup
Filing June 2015 to be effective 7/9/2015.
    Filed Date: 6/8/15.
    Accession Number: 20150608-5100.
    Comments Due: 5 p.m. ET 6/22/15.

    Docket Numbers: RP15-1051-000.
    Applicants: Northern Natural Gas Company.
    Description: Sec.  4(d) rate filing per 154.204: 20150608
Negotiated Rate to be effective 7/9/2015.
    Filed Date: 6/8/15.
    Accession Number: 20150608-5134.
    Comments Due: 5 p.m. ET 6/22/15.

    Docket Numbers: RP15-1052-000.
    Applicants: Discovery Gas Transmission LLC.

    Description: Compliance filing per 154.203: Order No. 801
Compliance Filing (System Map Migration to Web site) to be effective 7/
9/2015.
    Filed Date: 6/9/15.
    Accession Number: 20150609-5079.
    Comments Due: 5 p.m. ET 6/22/15.

    Docket Numbers: RP15-1053-000.
    Applicants: Black Marlin Pipeline Company.
    Description: Compliance filing per 154.203: Order 801 Compliance--
System Map Migration to Web site to be effective 7/9/2015.
    Filed Date: 6/9/15.
    Accession Number: 20150609-5109.
    Comments Due: 5 p.m. ET 6/22/15.

    Docket Numbers: RP15-1054-000.
    Applicants: Texas Eastern Transmission, LP.
    Description: Sec.  4(d) rate filing per 154.204: Negotiated Rate--
BP Energy 8937271 to be effective 7/1/2015.
    Filed Date: 6/10/15.
    Accession Number: 20150610-5047.
    Comments Due: 5 p.m. ET 6/22/15.

    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and Sec.  385.214) on or
before 5:00 p.m. Eastern time on the specified comment date. Protests
may be considered, but intervention is necessary to become a party to
the proceeding.

Filings in Existing Proceedings

    Docket Numbers: RP15-1044-001.
    Applicants: Algonquin Gas Transmission, LLC.
    Description: Tariff Amendment per 154.205(b): Amendment to RP15-
1044-000 Filing to be effective 7/1/2015.
    Filed Date: 6/9/15.
    Accession Number: 20150609-5130.
    Comments Due: 5 p.m. ET 6/17/15.

    Any person desiring to protest in any of the above proceedings must
file in accordance with Rule 211 of the Commission's Regulations (18
CFR 385.211) on or before 5:00 p.m. Eastern time on the specified
comment date.
    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated June 10, 2015.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2015-14893 Filed 6-16-15; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 85, Number 228 (Wednesday, November 25, 2020)]
[Notices]
[Pages 75319-75320]
[FR Doc No: 2020-26009]

=======================================================================
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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPP-2019-0188; FRL-10016-47]

Research Triangle Institute; Transfer of Data (October 2020)

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: This notice announces that pesticide related information
submitted to EPA's Office of Pesticide Programs (OPP) pursuant to the
Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA) and the
Federal Food, Drug, and Cosmetic Act (FFDCA), including information
that may have been claimed as Confidential Business Information (CBI)
by the submitter, will be transferred to Research Triangle Institute in
accordance with the CBI regulations. Research Triangle Institute has
been awarded a contract to perform work for OPP, and access to this
information will enable Research Triangle Institute to fulfill the
obligations of the contract.

DATES: Research Triangle Institute will be given access to this
information on or before November 30, 2020.

FOR FURTHER INFORMATION CONTACT: William Northern, Information
Technology and Resources Management Division (7502P), Office of
Pesticide Programs, Environmental Protection Agency, 1200 Pennsylvania
Ave. NW, Washington, DC 20460-0001; telephone number:<PHONE_NUMBER>
email address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this action apply to me?

    This action applies to the public in general. As such, the Agency
has not attempted to describe all the specific entities that may be
affected by this action.

B. How can I get copies of this document and other related information?

    The docket for this action, identified by docket identification
(ID) number EPA-HQ-OPP-2019-0188, is available at http://www.regulations.gov or at the Office of Pesticide Programs Regulatory
Public Docket (OPP Docket) in the Environmental Protection Agency
Docket Center (EPA/DC), West William Jefferson Clinton Bldg., Rm. 3334,
1301 Constitution Ave. NW, Washington, DC 20460-0001. The Public
Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through
Friday, excluding legal holidays. The telephone number for the Public
Reading Room is<PHONE_NUMBER>, and the telephone number for the OPP
Docket is<PHONE_NUMBER>.
    Due to the public health concerns related to COVID-19, the EPA
Docket Center (EPA/DC) and Reading Room is closed to visitors with
limited exceptions. The staff continues to provide remote customer
service via email, phone, and webform. For the latest status
information on EPA/DC services and docket access, visit https://www.epa.gov/dockets.

II. Contractor Requirements

    EPA requires technical and program support for the Agency's
Endocrine Disruptor Screening Program (EDSP). This procurement entails
services in the following areas: (1) Comprehensive toxicological and
ecotoxicological testing and analysis; (2) toxicokinetics and dosimetry
testing and analysis; (3) systematic literature reviews; (4) workshops/
meeting support; (5) information/records management support; and (6)
special studies/projects. Skills needed include, but are not limited
to, technical experience and/or capability with performing Tier 1 and
Tier 2 EDSP studies, in vitro toxicokinetics and dosimetry, risk
assessment, development and evaluation of computational toxicity or
exposure models, analytical chemical analysis, biochemical analyses,
statistical analyses, information/records management, report-writing,
meeting support and quality assurance/quality control support.
    OPP has determined that the contracts described in this document
involve work that is being conducted in connection with FIFRA, in that
pesticide chemicals will be the subject of certain evaluations to be
made under this contract. These evaluations may be used in subsequent
regulatory decisions under FIFRA.
    Some of this information may be entitled to confidential treatment.
The information has been submitted to EPA under FIFRA sections 3, 4, 6,
and 7 and under FFDCA sections 408 and 409.
    In accordance with the requirements of 40 CFR 2.307(h)(3), the
contracts with Research Triangle Institute, prohibits use of the
information for any purpose not specified in these contracts; prohibits
disclosure of the information to a third party without prior written
approval from the Agency; and requires that each official and employee
of the contractor sign an agreement to protect the information from
unauthorized release and to handle it in accordance with the FIFRA
Information Security Manual. In addition, Research Triangle Institute
is required to submit for EPA approval a security plan under which any
CBI will be secured and protected against unauthorized release or
compromise. No information will be provided to Research Triangle
Institute until the requirements in this document have been fully
satisfied. Records of information provided to Research Triangle
Institute will be maintained by EPA Project Officers for these
contracts. All information supplied to Research Triangle Institute by
EPA for use in connection with these contracts will be returned to EPA
when Research Triangle Institute has completed its work.

    Authority: 7 U.S.C. 136 et seq.; 21 U.S.C. 301 et seq.

    Dated: November 2, 2020.
Hamaad Syed,
Acting Director, Information Technology and Resources Management
Division, Office of Pesticide Programs.
[FR Doc. 2020-26009 Filed 11-24-20; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register: December 29, 2009 (Volume 74, Number 248)]
[Notices]
[Page 68815-68816]
[DOCID:fr29de09-74]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 2621-009]

Lockhart Power Company; Notice Soliciting Scoping Comments

December 18, 2009.
    Take notice that the following hydroelectric application has been
filed with the Commission and is available for public inspection.
    a. Type of Application: New Major License.
    b. Project No.: P-2621-009.
    c. Date filed: November 16, 2009.
    d. Applicant: Lockhart Power Company.
    e. Name of Project: Pacolet Hydroelectric Project.
    f. Location: The proposed project is located on the Pacolet River,
near the Town of Pacolet, Spartanburg County, South Carolina. The
project does not occupy federal lands.
    g. Filed Pursuant to: Federal Power Act 16 U.S.C. 791(a)-825(r).
    h. Applicant Contact: Bryan D. Stone, P.O. Box 10, 420 River
Street, Lockhart, SC 29364; Telephone<PHONE_NUMBER>.
    i. FERC Contact: Lee Emery, Telephone<PHONE_NUMBER>, or by e-mail
at<EMAIL_ADDRESS>    j. Deadline for filing scoping comments: January 19, 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. All filings with the
Commission must include project name and number (i.e., Pacolet Project
No. 2621-009) and bear the heading ``Comments on Scoping Document 1.''
    k. This application is not ready for environmental analysis at this
time.
    l. The proposed Pacolet Project would consist of two developments;
one that is an existing, licensed development (the Lower Pacolet
development) and a new development (Upper Pacolet

development). The project would have an annual generation of 8,092,000
kilowatt-hours. The proposed project would consist of the facilities
described below.
    The Upper Pacolet development would consist of: (1) An existing
315-foot-long by 18-foot-high concrete and rubble masonry dam, with the
addition of 3-foot-high flashboards; (2) an existing 30-acre reservoir,
with a useable storage capacity of 90 acre-feet at elevation 519.0 feet
North American Vertical Datum 1988 (NAVD 88); (3) new vertical slide
intake gates with rack and pinion operators, sluice gates, and
trashracks having a 1.375-inch clear bar spacing with a single trash
rake cleaning mechanism; (4) a new 24-foot-wide by 40-foot-long
concrete powerhouse that would contain a vertical Kaplan turbine with
an estimated generating capacity of 1.1 megawatts (MW); (5) a proposed
200-foot-long, 34.5 kilovolt (kV) transmission line; (6) a proposed
switchyard; and (7) appurtenant facilities.
    The Lower Pacolet development (all existing facilities) would
consist of: (1) A 347-foot-long by 24-foot-high concrete and rubble
masonry dam, with 4-foot-high flashboards; (2) three sand gates; (3) an
11-acre reservoir, with a useable storage capacity of 44-acre feet at
an elevation of 492.0 feet NAVD 88; (4) an intake structure equipped
with trashracks, having a 1.375-inch clear bar spacing and a trash
rake; (5) a 100-foot-long by 10-foot-diameter penstock; (6) a 67-foot-
long by 32-foot-wide concrete powerhouse, integral with the dam,
containing two vertical turbines, each generating 400 kilowatts (kW);
(7) a tailrace with a 340-foot-long curved training wall; (8) a 250-
foot-long, 34.5-kV transmission line; and (9) appurtenant facilities.
    m. 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 available for inspection and
reproduction at the address in Item H above.
    n. You may 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.
    o. Scoping Process
    The Commission staff intends to prepare a single Environmental
Assessment (EA) for the Pacolet Hydroelectric Project, in accordance
with the National Environmental Policy Act. The EA will consider both
site-specific and cumulative environmental impacts and reasonable
alternatives to the proposed action.
    Commission staff does not propose to conduct any on-site scoping
meetings at this time. Instead, we are soliciting comments,
recommendations, and information, on the Scoping Document (SD) issued
on December 18, 2009.
    Copies of the SD outlining the subject areas to be addressed in the
EA were distributed to the parties on the Commission's mailing list and
the applicant's distribution list. Copies of the SD may be viewed on
the Web 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, call 1-866-208-3676 or,
for TTY,<PHONE_NUMBER>.

Kimberly D. Bose,
Secretary.
[FR Doc. E9-30810 Filed 12-28-09; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 18 (Wednesday, January 28, 2015)]
[Notices]
[Pages 4555-4557]
[FR Doc No: 2015-01454]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. CP15-26-000]

Kaiser-Frontier Midstream, LLC; Notice of Intent To Prepare an
Environmental Assessment for the Proposed Silo Pipeline Project and
Request for Comments on Environmental Issues

    The staff of the Federal Energy Regulatory Commission (FERC or
Commission) will prepare an environmental assessment (EA) that will
discuss the environmental impacts of the Silo Pipeline Project
involving construction and operation of facilities by Kaiser-Frontier
Midstream, LLC (Kaiser-Frontier) in Laramie County, Wyoming, and Weld
County, Colorado. The Commission will use this EA in its decision-
making process to determine whether the project is in the public
convenience and necessity.
    This notice announces the opening of the scoping process the
Commission will use to gather input from the public and interested
agencies on the project. Your input will help the Commission staff
determine what issues they need to evaluate in the EA. Please note that
the scoping period will close on February 20, 2015.
    You may submit comments in written form. Further details on how to
submit written comments are in the Public Participation section of this
notice. If you sent comments on this project to the Commission before
the opening of this docket on December 5, 2014, you will need to file
those comments in Docket No. CP15-26-000 to ensure they are considered
as part of this proceeding.
    This notice is being sent to the Commission's current environmental
mailing list for this project. State and local government
representatives should notify their constituents of this proposed
project and encourage them to comment on their areas of concern.
    If you are a landowner receiving this notice, a pipeline company
representative may contact you about the acquisition of an easement to
construct, operate, and maintain the proposed facilities. The company
would seek to negotiate a mutually acceptable agreement. However, if
the Commission approves the project, that approval conveys with it the
right of eminent domain. Therefore, if easement negotiations fail to
produce an agreement, the pipeline company could initiate condemnation
proceedings where compensation would be determined in accordance with
state law.
    Kaiser-Frontier provided landowners with a fact sheet prepared by
the FERC entitled ``An Interstate Natural Gas Facility On My Land? What
Do I Need To Know?'' This fact sheet addresses a number of typically-
asked questions, including the use of eminent domain and how to
participate in the Commission's proceedings. It is also available for
viewing on the FERC Web site (www.ferc.gov).

Summary of the Proposed Project

    Kaiser-Frontier plans to construct, own, and operate 21.3 miles of
new natural gas pipeline (Silo Pipeline Project), to connect the Silo
Processing Plant in Laramie County, Wyoming, to the Wyoming Interstate
Company (WIC) interstate pipeline at the Cheyenne Hub in Weld County,
Colorado.
    The Silo Pipeline Project would consist of the following
facilities:
     6.8 miles of 6-inch-diameter pipeline (Northern Segment);
     14.5 miles of 8-inch-diameter pipeline (Southern Segment);
     a 6-inch-diameter pig launcher;
     a 8-inch-diameter pig launcher;
     a 8-inch-diameter pig receiver; and
     three mainline valves.
    Additionally, Kaiser-Frontier is requesting a blanket certificate
pursuant to part 157, subpart F of the Commission's regulations to
engage in certain routine construction, operation, and maintenance
activities, and is requesting Commission certification to convert 9.9
miles of existing 6-inch-diameter intrastate pipeline facilities, known
as the Middle Segment for continued operation as interstate facilities.
    The general location of the project facilities is shown in appendix
1.\1\
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    \1\ The appendices referenced in this notice will not appear in
the Federal Register. Copies of appendices were sent to all those
receiving this notice in the mail and are available at www.ferc.gov
using the link called ``eLibrary'' or from the Commission's Public
Reference Room, 888 First Street NE., Washington, DC 20426, or call
(202) 502-8371. For instructions on connecting to eLibrary, refer to
the last page of this notice.
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Land Requirements for Construction

    Construction of the proposed facilities would disturb about 227.2
acres of land for the pipeline and aboveground facilities including
41.3 acres of additional temporary workspace to be used during
construction. Following construction, Kaiser-Frontier would maintain
about 123.7 acres for permanent operation of the project's facilities;
the remaining 103.5 acres would be restored and allowed revert to
former uses.

The EA Process

    The National Environmental Policy Act (NEPA) requires the
Commission to take into account the environmental impacts that could
result from an action whenever it considers the issuance of a
Certificate of Public Convenience and Necessity. NEPA also requires us
\2\ to discover and address concerns the public may have about
proposals. This process is referred to as ``scoping.'' The main goal of
the scoping process is to focus the analysis in the EA on the important
environmental issues. By this notice, the Commission requests public
comments on the scope of the issues to address in the EA. We will
consider all filed comments during the preparation of the EA.
---------------------------------------------------------------------------

    \2\ ``We,'' ``us,'' and ``our'' refer to the environmental staff
of the Commission's Office of Energy Projects.
---------------------------------------------------------------------------

    In the EA we will discuss impacts that could occur as a result of
the construction and operation of the proposed project under these
general headings:
     Geology and soils;
     land use;
     water resources, fisheries, and wetlands;
     cultural resources;

     vegetation and wildlife;
     air quality and noise;
     endangered and threatened species;
     public safety; and
     cumulative impacts.
    We will also evaluate reasonable alternatives to the proposed
project or portions of the project, and make recommendations on how to
lessen or avoid impacts on the various resource areas.
    The EA will present our independent analysis of the issues and will
be available in the public record through eLibrary. Depending on the
comments received during the scoping process, we may also publish and
distribute the EA to the public for an allotted comment period. We will
consider all comments on the EA before making our recommendations to
the Commission. To ensure we have the opportunity to consider and
address your comments, please carefully follow the instructions in the
Public Participation section below.
    With this notice, we are asking agencies with jurisdiction by law
and/or special expertise with respect to the environmental issues of
this project to formally cooperate with us in the preparation of the
EA.\3\ Agencies that would like to request cooperating agency status
should follow the instructions for filing comments provided under the
Public Participation section of this notice.
---------------------------------------------------------------------------

    \3\ The Council on Environmental Quality regulations addressing
cooperating agency responsibilities are at title 40, Code of Federal
Regulations, part 1501.6.
---------------------------------------------------------------------------

Consultations Under Section 106 of the National Historic Preservation
Act

    In accordance with the Advisory Council on Historic Preservation's
implementing regulations for section 106 of the National Historic
Preservation Act, we are using this notice to initiate consultation
with the applicable State Historic Preservation Office(s) (SHPO), and
to solicit their views and those of other government agencies,
interested Indian tribes, and the public on the project's potential
effects on historic properties.\4\ We will define the project-specific
Area of Potential Effects (APE) in consultation with the SHPO(s) as the
project develops. On natural gas facility projects, the APE at a
minimum encompasses all areas subject to ground disturbance (examples
include construction right-of-way, contractor/pipe storage yards,
compressor stations, and access roads). Our EA for this project will
document our findings on the impacts on historic properties and
summarize the status of consultations under section 106.
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    \4\ The Advisory Council on Historic Preservation's regulations
are at title 36, Code of Federal Regulations, part 800. Those
regulations define historic properties as any prehistoric or
historic district, site, building, structure, or object included in
or eligible for inclusion in the National Register of Historic
Places.
---------------------------------------------------------------------------

Public Participation

    You can make a difference by providing us with your specific
comments or concerns about the project. Your comments should focus on
the potential environmental effects, reasonable alternatives, and
measures to avoid or lessen environmental impacts. The more specific
your comments, the more useful they will be. To ensure that your
comments are timely and properly recorded, please send your comments so
that the Commission receives them in Washington, DC on or before
February 20, 2015.
    For your convenience, there are three methods which you can use to
submit your comments to the Commission. In all instances please
reference the project docket number (CP15-26-000) with your submission.
The Commission encourages electronic filing of comments and has expert
staff available to assist you at<PHONE_NUMBER> or<EMAIL_ADDRESS>    (1) You can file your comments electronically using the eComment
feature on the Commission's Web site (www.ferc.gov) under the link to
Documents and Filings. This is an easy method for interested persons to
submit brief, text-only comments on a project;
    (2) You can file your comments electronically using the eFiling
feature on the Commission's Web site (www.ferc.gov) under the link to
Documents and Filings. With eFiling, you can provide comments in a
variety of formats by attaching them as a file with your submission.
New eFiling users must first create an account by clicking on
``eRegister.'' You must select the type of filing you are making. If
you are filing a comment on a particular project, please select
``Comment on a Filing''; or
    (3) You can file a paper copy of your comments by mailing them to
the following address: Kimberly D. Bose, Secretary, Federal Energy
Regulatory Commission, 888 First Street NE., Room 1A, Washington, DC
20426.

Environmental Mailing List

    The environmental mailing list includes federal, state, and local
government representatives and agencies; elected officials;
environmental and public interest groups; Native American Tribes; other
interested parties; and local libraries and newspapers. This list also
includes all affected landowners (as defined in the Commission's
regulations) who are potential right-of-way grantors, whose property
may be used temporarily for project purposes, or who own homes within
certain distances of aboveground facilities, and anyone who submits
comments on the project. We will update the environmental mailing list
as the analysis proceeds to ensure that we send the information related
to this environmental review to all individuals, organizations, and
government entities interested in and/or potentially affected by the
proposed project.
    If we publish and distribute the EA, copies will be sent to the
environmental mailing list for public review and comment. If you would
prefer to receive a paper copy of the document instead of the CD
version or would like to remove your name from the mailing list, please
return the attached Information Request (appendix 2).

Becoming an Intervenor

    In addition to involvement in the EA scoping process, you may want
to become an ``intervenor'' which is an official party to the
Commission's proceeding. Intervenors play a more formal role in the
process and are able to file briefs, appear at hearings, and be heard
by the courts if they choose to appeal the Commission's final ruling.
An intervenor formally participates in the proceeding by filing a
request to intervene. Instructions for becoming an intervenor are in
the User's Guide under the ``e-filing'' link on the Commission's Web
site.

Additional Information

    Additional information about the project is available from the
Commission's Office of External Affairs, at (866) 208-FERC, or on the
FERC Web site at www.ferc.gov using the ``eLibrary'' link. Click on the
eLibrary link, click on ``General Search'' and enter the docket number,
excluding the last three digits in the Docket Number field (i.e., CP15-
26). Be sure you have selected an appropriate date range. For
assistance, please contact FERC Online Support at
<EMAIL_ADDRESS>or toll free at<PHONE_NUMBER>, or for TTY,
contact<PHONE_NUMBER>. The eLibrary link also provides access to the
texts of formal documents issued by the Commission, such as orders,
notices, and rulemakings.
    In addition, the Commission now offers a free service called
eSubscription which allows you to keep track of all formal issuances
and submittals in specific dockets. This can reduce the amount of time
you spend researching

proceedings by automatically providing you with notification of these
filings, document summaries, and direct links to the documents. Go to
www.ferc.gov/docs-filing/esubscription.asp.
    Finally, public meetings or site visits will be posted on the
Commission's calendar located at www.ferc.gov/EventCalendar/EventsList.aspx along with other related information.

    Dated: January 21, 2015.
Kimberly D. Bose,
 Secretary.
[FR Doc. 2015-01454 Filed 1-27-15; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 79, Number 101 (Tuesday, May 27, 2014)]
[Notices]
[Pages 30219-30221]
[FR Doc No: 2014-12070]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-72191; File No. SR-FINRA-2014-024]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change Relating to the Definition of ``Reporting Member''
in the Order Audit Trail System Rules

May 20, 2014.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on May 12, 2014, Financial Industry Regulatory Authority, Inc.
(``FINRA'') filed with the Securities and Exchange Commission (``SEC''
or ``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by FINRA. The Commission is
publishing this notice to solicit comments on the proposed rule change
from interested persons.
---------------------------------------------------------------------------

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

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

    FINRA is proposing to amend FINRA Rule 7410 to permit members to
route orders to two Reporting Members for a defined period of time
provided certain conditions are met without losing the exception from
the definition of ``Reporting Member'' in the Order Audit Trail System
(``OATS'') rules.
    Below is the text of the proposed rule change. Proposed new
language is in italics; proposed deletions are in brackets.
* * * * *

7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY
CHARGES

* * * * *

7400. ORDER AUDIT TRAIL SYSTEM

7410. Definitions

    (a) through (n) No Change.
    (o) ``Reporting Member'' shall mean a member that receives or
originates an order and has an obligation to record and report
information under Rules 7440 and 7450.
    (1) A member shall not be considered a Reporting Member in
connection with an order, if the following conditions are met:
    (A) the member engages in a non-discretionary order routing
process, pursuant to which it immediately routes, by electronic or
other means, all of its orders to:
    (i) a single receiving Reporting Member; or
    (ii) two receiving Reporting Members, provided:
    (a) orders are routed by the member to each receiving Reporting
Member on a pre-determined schedule approved by FINRA; and
    (b) orders are routed to two receiving Reporting Members pursuant
to the schedule for a time period not to exceed one year; and
    (B) the member does not direct and does not maintain control over
subsequent routing or execution by the receiving Reporting Member(s);
    (C) the receiving Reporting Member(s) record(s) and report(s) all
information required under Rules 7440 and 7450 with respect to the
order; and
    (D) the member has a written agreement with the receiving Reporting
Member(s) specifying the respective functions and responsibilities of
each party to effect full compliance with the requirements of Rules
7440 and 7450.
    (2) No Change.
* * * * *

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

    In its filing with the Commission, FINRA 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. FINRA has prepared summaries, set forth in sections A,
B, and C below, of the most significant aspects of such statements.

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

1. Purpose
    FINRA Rules 7410 through 7470 (the ``OATS Rules'') impose
obligations on FINRA members to record in electronic form and report to
FINRA on a daily basis certain information with respect to orders
originated, received, transmitted, modified, canceled, or executed by
members relating to OTC equity securities and NMS stocks. OATS captures
this order information and integrates it with quote and transaction
information to create a time-sequenced record of orders, quotes, and
transactions. This information is then used by FINRA staff to conduct
surveillance and investigations of member firms for potential
violations of FINRA rules and federal securities laws.
    In general, the OATS Rules apply to any FINRA member that is a
``Reporting Member,'' which is defined in Rule 7410 as ``a member that
receives or originates an order and has an obligation to record and
report information under Rules 7440 and 7450.'' \3\ Under Rule 7410, a
member is not considered a Reporting Member in connection with an order
if the following four criteria are met:
---------------------------------------------------------------------------

    \3\ Rule 7410(o).
---------------------------------------------------------------------------

     The member engages in a non-discretionary order routing
process, pursuant to which it immediately routes, by electronic or
other means, all of its orders to a single receiving Reporting Member;
     The member does not direct and does not maintain control
over subsequent routing or execution by the receiving Reporting Member;
     The receiving Reporting Member records and reports all
information required under Rules 7440 and 7450 with respect to the
order; and
     The member has a written agreement with the receiving
Reporting Member specifying the respective functions and
responsibilities of each party to effect full compliance with the
requirements of Rules 7440 and 7450.\4\
---------------------------------------------------------------------------

    \4\ Rule 7410(o)(1). Rule 7410 also includes an exception from
Reporting Member for certain firms who waived into FINRA membership
pursuant to NASD IM-1013-1 or NASD IM-1013-2. See Rule 7410(o)(2).
---------------------------------------------------------------------------

    One of the current criteria that must be met for a member to take
advantage of the exception from the definition of Reporting Member is
that the member immediately route orders on a non-discretionary basis
to a single receiving Reporting Member. Thus, members will not be
excepted from the definition if they route orders to more than one
receiving firm. This exception is generally, though not exclusively,
relied upon by introducing firms that route all of their orders to a
single clearing firm that reports the introducing firms' orders on
their behalf. As FINRA noted when it adopted the exception, it is
intended largely to avoid duplicative reporting of the same order
information by two different firms and to avoid imposing unnecessary
compliance costs and burdens on firms that route all of their orders
immediately to another single firm that reports the information to
OATS.\5\
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    \5\ See Securities Exchange Act Release No. 52521 (September 28,
2005), 70 FR 57909 (October 4, 2005) (Order Approving SR-NASD-2000-
23).
---------------------------------------------------------------------------

    The proposed rule change would permit a member to continue to rely
on the exception from the definition of Reporting Member if, for a
limited time, the member routes orders to two different Reporting
Members, provided certain criteria are met. Although not limited to
this purpose, the proposed rule change is intended to accommodate
introducing firms that transition to a different clearing firm over
time and, during the transition, route their orders to two different
clearing firms, both of which report the introducing firm's order
information to OATS during the transition period. Without the proposed
rule change, introducing firms would be subject to the OATS Rules
during the transition period, which is generally less than one year.
FINRA believes it is unnecessarily burdensome to require introducing
firms to report order information directly to OATS under these
circumstances when the transition period is less than one year. FINRA
notes that the concern over duplicative reporting is similarly present
in the case where all of a firm's order information is being reported
by another Reporting Member even if, for a limited period of time,
order information is reported by two separate Reporting Members.
Further, FINRA believes it would be burdensome for a member that meets
the exception to Reporting Member to have to commence OATS reporting
for a limited period, to only later meet the terms of the exception
again.
    Under the proposed rule change, a member would remain excepted from
the definition of Reporting Member during a transition period to a new
clearing firm when it routes to both its former and new clearing firm
provided certain additional criteria are met in addition to the
existing criteria necessary to meet the exception. Specifically, under
the terms of the proposed rule change: (i) All orders must be routed by
the member to each receiving Reporting Member on a pre-determined
schedule approved by FINRA; and (ii) the orders may only be routed to
two receiving Reporting Members pursuant to the schedule for a time
period not to exceed one year. In addition to these additional
criteria, members must continue to meet the existing criteria in the
rule.
    Under the proposed rule change, FINRA must be notified in advance
and must approve the schedule for the transition to a new clearing
firm.\6\ The time period for the transition set out in the schedule may
not exceed one year. This requirement is necessary to ensure that FINRA
staff is aware of the transition schedule and can ensure that
surveillance using OATS data is conducted correctly and that order
information is properly identified. In addition, FINRA believes that
the ability to rely on the exception should be limited to transition
periods of one year or less. FINRA believes that members otherwise
excepted from the definition of Reporting Member should not be required
to incur the costs associated with OATS reporting for standard
transitions between clearing firms; however, FINRA does not believe it
is appropriate to permit members to take advantage of the exception and
avoid directly reporting to OATS for lengthy periods of time (i.e., in
excess of one year) where they route orders to multiple firms.
---------------------------------------------------------------------------

    \6\ FINRA anticipates that firms would notify FINRA by
contacting OATS Operations staff by telephone and then supplying
FINRA with a copy of the transition schedule prepared by the firm.
---------------------------------------------------------------------------

    FINRA has filed the proposed rule change for immediate
effectiveness and has requested that the SEC waive the requirement that
the proposed rule change not become operative for 30 days after the
date of the filing so FINRA can implement the proposed rule change
immediately.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\7\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. FINRA believes that permitting members that are
excepted from the definition of ``Reporting Member'' to continue to
rely on the exception during a transition to another clearing firm will
avoid duplicative order information being reported to

OATS and will avoid the imposition of unnecessary compliance costs on
introducing firms.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------

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

    FINRA does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act. FINRA believes the proposed
rule change will reduce the potential burden of reporting to OATS for a
limited time for a member that does not meet the current exception to
Reporting Member only to later meet the terms of the exception again.
FINRA believes that, in the limited circumstances in which the proposed
rule change will apply, members should not be compelled to undertake
the time and costs associated with OATS reporting when FINRA is able to
ensure the accuracy and completeness of OATS information when the terms
in the proposed rule change are met.

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

    Written comments were neither solicited nor received.

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 \8\ and Rule 19b-
4(f)(6) thereunder.\9\
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78s(b)(3)(A).
    \9\ 17 CFR 240.19b-4(f)(6). As required under Rule 19b-
4(f)(6)(iii), FINRA provided the Commission with written notice of
its intent to file the proposed rule change, along with a brief
description and the text of the proposed rule change, at least five
business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission.
---------------------------------------------------------------------------

    FINRA has asked the Commission to waive the 30-day operative delay
so that the proposal may become operative upon filing. The Commission
believes that waiving the 30-day operative delay is consistent with the
protection of investors and the public interest as it will allow
members that currently rely on the exception from being considered a
Reporting Member to continue to do so for a limited period of time
while they change clearing firms, provided the criteria in the proposed
rule change are met, thus eliminating the burden of reporting directly
to OATS for such members and maintaining the integrity of the OATS
data. For this reason, the Commission designates the proposed rule
change to be operative upon filing.\10\
---------------------------------------------------------------------------

    \10\ For purposes only of waiving the 30-day operative delay,
the Commission has also considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-FINRA-2014-024 on the subject line.

Paper Comments

     Send paper comments in triplicate to Secretary, Securities
and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
    All submissions should refer to File Number SR-FINRA-2014-024. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street, NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of FINRA. 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-FINRA-2014-024 and should be
submitted on or before June 17, 2014.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\11\
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    \11\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-12070 Filed 5-23-14; 8:45 am]
BILLING CODE 8011-01-P


2015 Ozone Transport FIP Meeting Title:	Good Neighbor Plan Proposal Comments Submitted by WE ACT	 Date/Time: September 22, 2022, 1-1:30 pm EST Agenda/Meeting Summary:	 Stakeholder engagement conducted to fully understand some of the questions and concerns identified in the GNP comment submission by WE ACT regarding the impacts of the proposed rule on environmental justice and energy burden. Participants/Affiliations: Name Affiliation Corcoran, Katherine EPA Stenhouse, Jeb EPA Lalani, Imran EPA Lifland, David EPA Murray, Beth EPA Fisher, Brian EPA Anastasia Gordon (WE ACT)  WE ACT Naadiya Hutchinson (WE ACT)  WE ACT