[Federal Register: November 7, 2008 (Volume 73, Number 217)]
[Notices]
[Page 66232-66233]
[DOCID:fr07no08-42]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

October 6, 2008.
    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:
    Docket Numbers: RP96-272-082.
    Applicants: Northern Natural Gas Company.
    Descriptions: Northern Natural Gas Co submits 11 Revised Sheet
66B.01, et. al. to FERC Gas Tariff, Fifth Revised Volume 1, to be
effective 10/4/08.
    Filed Date: 10/03/2008.
    Accession Number: 20081003-0306.
    Comment Date: 5 p.m. Eastern Time on Wednesday, October 15, 2008.

    Docket Numbers: RP02-361-073. CP07-51-001.
    Applicants: Gulfstream Natural Gas System, L.L.C.
    Descriptions: Gulfstream Natural Gas System submits Original Sheet
No. 8.02 to FERC Gas Tariff, Original Volume 1, to be effective 9/1/08.
    Filed Date: 10/01/2008.
    Accession Number: 20081003-0304.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 14, 2008.

    Docket Numbers: RP04-274-000. RP00-157-015.
    Applicants: Kern River Gas Transmission Company. Kern River Gas
Transmission Company.
    Descriptions: Kern River Gas Transmission Co submits an Offer of
Settlement and Stipulation and revised tariff sheets proposed to be
effective on 10/1/08.
    Filed Date: 09/30/2008.
    Accession Number: 20081002-0037.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 14, 2008.

    Docket Numbers: RP09-7-001.
    Applicants: Texas Gas Transmission, LLC.
    Descriptions: Texas Gas Transmission, LLC submits Sub Second
Revised Sheet No. 2120, to Third Revised Volume No. 1, to be effective
11/1/08.
    Filed Date: 10/02/2008.
    Accession Number: 20081003-0301.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 14, 2008.

    Docket Numbers: CP07-207-003.
    Applicants: Colorado Interstate Gas Company.
    Descriptions: Colorado Interstate Gas Company submits its
implementation and compliance filing for High Plans Project.
    Filed Date: 10/01/2008.
    Accession Number: 20081003-0211.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 14, 2008.

    Docket Numbers: CP09-1-000.
    Applicants: Collbran Valley Gas Gathering, LLC.
    Descriptions: Collbran Valley Gas Gathering, LLC submits it
abbreviated application for limited jurisdiction certificate and
requests for waivers of regulatory requirements.
    Filed Date: October 1, 2008.
    Accession Number: 20081001-4000.
    Comment Date: 5 p.m. Eastern Time on Tuesday, October 14, 2008.
    Any person desiring to intervene or to protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214) on or before 5 p.m. Eastern time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously

intervened in the same docket. Protests will be considered by the
Commission in determining the appropriate action to be taken, but will
not serve to make protestants parties to the proceeding. Anyone filing
a motion to intervene or protest must serve a copy of that document on
the Applicant. In reference to filings initiating a new proceeding,
interventions or protests submitted on or before the comment deadline
need not be served on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://
www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St., NE., Washington, DC 20426.
    The filings in the above proceedings are accessible in the
Commission's eLibrary system by clicking on the appropriate link in the
above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive e-mail notification
when a document is added to a subscribed dockets(s). For assistance
with any FERC Online service, please e-mail<EMAIL_ADDRESS>
or call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

Nathaniel J. Davis, Sr.,
Deputy Secretary.
 [FR Doc. E8-26574 Filed 11-6-08; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 78, Number 109 (Thursday, June 6, 2013)]
[Rules and Regulations]
[Page 33964]
[FR Doc No: 2013-13024]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 71

[Docket No. FAA-2012-1099; Airspace Docket No. 12-ASW-9]

Amendment of Class E Airspace; La Pryor, Chaparrosa Ranch
Airport, TX

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Final rule.

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SUMMARY: This action amends Class E airspace at La Pryor, TX.
Additional controlled airspace is necessary to accommodate new Area
Navigation (RNAV) Standard Instrument Approach Procedures at Chaparrosa
Ranch Airport. The airport's geographic coordinates are also adjusted.
This action enhances the safety and management of Instrument Flight
Rule (IFR) operations at the airport.

DATES: Effective date: 0901 UTC, August 22, 2013. The Director of the
Federal Register approves this incorporation by reference action under
1 CFR Part 51, subject to the annual revision of FAA Order 7400.9 and
publication of conforming amendments.

FOR FURTHER INFORMATION CONTACT: Scott Enander, Central Service Center,
Operations Support Group, Federal Aviation Administration, Southwest
Region, 2601 Meacham Blvd., Fort Worth, TX 76137; telephone 817-321-
7716.

SUPPLEMENTARY INFORMATION:

History

    On February 15, 2013, the FAA published in the Federal Register a
notice of proposed rulemaking (NPRM) to amend Class E airspace for the
La Pryor, TX, area, creating additional controlled airspace at
Chaparrosa Ranch Airport (78 FR 11114) Docket No. FAA-2012-1099.
Interested parties were invited to participate in this rulemaking
effort by submitting written comments on the proposal to the FAA. No
comments were received. Class E airspace designations are published in
paragraph 6005 of FAA Order 7400.9W dated August 8, 2012, and effective
September 15, 2012, which is incorporated by reference in 14 CFR 71.1.
The Class E airspace designations listed in this document will be
published subsequently in the Order.

The Rule

    This action amends Title 14 Code of Federal Regulations (14 CFR)
Part 71 by amending Class E airspace extending upward from 700 feet
above the surface to ensure that required controlled airspace exists
from the 6.5-mile radius of the airport to 18 miles north of the
airport to contain aircraft executing new standard instrument approach
procedures at Chaparrosa Ranch Airport, La Pryor, TX. This action
enhances the safety and management of IFR operations at the airport.
Geographic coordinates of the airport are also updated to coincide with
the FAA's aeronautical database.
    The FAA has determined that this regulation only involves an
established body of technical regulations for which frequent and
routine amendments are necessary to keep them operationally current.
Therefore, this regulation: (1) Is not a ``significant regulatory
action'' under Executive Order 12866; (2) is not a ``significant rule''
under DOT Regulatory Policies and Procedures (44 FR 11034; February 26,
1979); and (3) does not warrant preparation of a regulatory evaluation
as the anticipated impact is so minimal. Since this is a routine matter
that only affects air traffic procedures and air navigation, it is
certified that this rule, when promulgated, does not have a significant
economic impact on a substantial number of small entities under the
criteria of the Regulatory Flexibility Act.
    The FAA's authority to issue rules regarding aviation safety is
found in Title 49 of the U.S. Code. Subtitle 1, Section 106, describes
the authority of the FAA Administrator. Subtitle VII, Aviation
Programs, describes in more detail the scope of the agency's authority.
This rulemaking is promulgated under the authority described in
Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the
FAA is charged with prescribing regulations to assign the use of
airspace necessary to ensure the safety of aircraft and the efficient
use of airspace. This regulation is within the scope of that authority
as it amends controlled airspace at Chaparrosa Ranch Airport, La Pryor,
TX.

Environmental Review

    The FAA has determined that this action qualifies for categorical
exclusion under the National Environmental Policy Act in accordance
with FAA Order 1050.1E, ``Environmental Impacts: Policies and
Procedures,'' paragraph 311a. This airspace action is not expected to
cause any potentially significant environmental impacts, and no
extraordinary circumstances exist that warrant preparation of an
environmental assessment.

List of Subjects in 14 CFR Part 71

    Airspace, Incorporation by reference, Navigation (air)

Adoption of the Amendment

    In consideration of the foregoing, the Federal Aviation
Administration amends 14 CFR part 71 as follows:

PART 71--DESIGNATION OF CLASS A, B, C, D, AND E AIRSPACE AREAS; AIR
TRAFFIC SERVICE ROUTES; AND REPORTING POINTS

0
1. The authority citation for 14 CFR part 71 continues to read as
follows:

    Authority: 49 U.S.C. 106(g), 40103, 40113, 40120; E.O. 10854, 24
FR 9565, 3 CFR, 1959-1963 Comp., p. 389.

Sec.  71.1  [Amended]

0
2. The incorporation by reference in 14 CFR 71.1 of the Federal
Aviation Administration Order 7400.9W, Airspace Designations and
Reporting Points, dated August 8, 2012, and effective September 15,
2012, is amended as follows:

Paragraph 6005 Class E airspace areas extending upward from 700
feet or more above the surface.

* * * * *

ASW TX E5 La Pryor Chaparrosa Ranch Airport, TX [Amended]

Chaparrosa Ranch Airport, TX
    (Lat. 28[deg]52'45'' N., long. 99[deg]59'33'' W.)

    That airspace extending upward from 700 feet above the surface
within a 6.5-mile radius of Chaparrosa Ranch Airport, and within 8
miles west and 4 miles east of the 339[deg] bearing from the airport
extending from the 6.5-mile radius to 18 miles north of the airport.

    Issued in Fort Worth, Texas, on May 22, 2013.
David P. Medina,
Manager, Operations Support Group, ATO Central Service Center.
[FR Doc. 2013-13024 Filed 6-5-13; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 82, Number 178 (Friday, September 15, 2017)]
[Proposed Rules]
[Page 43316]
[FR Doc No: 2017-19705]

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 ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 62

[EPA-R02-OAR-2017-0338; FRL 9967-41-Region 2]

Approval and Promulgation of State Plans for Designated
Facilities and Pollutants; United States Virgin Islands; Other Solid
Waste Incineration Units

AGENCY: Environmental Protection Agency (EPA).

ACTION: Proposed rule.

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SUMMARY: The Environmental Protection Agency (EPA) proposes to approve
the Clean Air Act (CAA) section 111(d)/129 negative declaration for the
United States Virgin Islands for other solid waste incineration units.
Other solid waste incineration (OSWI) unit means either a very small
municipal waste combustion unit or an institutional waste incineration
unit. This negative declaration certifies that existing OSWI units
subject to sections 111(d) and 129 of the CAA do not exist within the
jurisdiction of the United States Virgin Islands. The EPA is accepting
the negative declaration in accordance with the requirements of the
CAA.

DATES: Comments must be received on or before October 16, 2017.

ADDRESSES: Submit your comments, identified by Docket ID No. EPA-R02-
OAR-2017-0338 to https://www.regulations.gov. Follow the online
instructions for submitting comments. Once submitted, comments cannot
be edited or removed from Regulations.gov. The EPA may publish any
comment received to its public docket. Do not submit electronically any
information you consider to be Confidential Business Information (CBI)
or other information whose disclosure is restricted by statute.
Multimedia submissions (audio, video, etc.) must be accompanied by a
written comment. The written comment is considered the official comment
and should include discussion of all points you wish to make. The EPA
will generally not consider comments or comment contents located
outside of the primary submission (i.e., on the web, cloud, or other
file sharing system). For additional submission methods, the full EPA
public comment policy, information about CBI or multimedia submissions,
and general guidance on making effective comments, please visit https://www2.epa.gov/dockets/commenting-epa-dockets.

FOR FURTHER INFORMATION CONTACT: Edward J. Linky, Environmental
Protection Agency, Air Programs Branch, 290 Broadway, New York, New
York 1007-1866 at<PHONE_NUMBER> or by email at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: In the final rules section of this issue of
the Federal Register, the EPA is approving the United States Virgin
Island's negative declaration submitted April 18, 2017, as a direct
final rule without prior proposal because the Agency views this as
noncontroversial and anticipates no adverse comments to this action.
    A detailed rationale for the approval is set forth in the direct
final rule. If no adverse comments are received in response to this
action, no further activity is contemplated in relation to this action.
If the EPA receives adverse comments, the direct final rule will be
withdrawn and all public comments received will be addressed in a
subsequent final rule based on this proposed action. The EPA will not
institute a second comment period on this action. Any parties
interested in commenting on this action should do so at this time.
    For additional information, see the direct final rule which is
located in the rules section of this issue of the Federal Register.

List of Subjects in 40 CFR Part 62

    Environmental protection, Air pollution control, Administrative
practice and procedure, Intergovernmental relations, Reporting and
recordkeeping requirements, Sewage sludge incinerators.

    Dated: August 18, 2017.
Catherine R. McCabe,
Acting Regional Administrator, Region 2.
[FR Doc. 2017-19705 Filed 9-14-17; 8:45 am]
 BILLING CODE 6560-50-P


[Federal Register Volume 77, Number 81 (Thursday, April 26, 2012)]
[Notices]
[Pages 25007-25010]
[FR Doc No: 2012-10026]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-66839]

Order Temporarily Exempting Broker-Dealers From the
Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1
Under the Securities Exchange Act of 1934 and Granting an Exemption for
Certain Securities Transactions

April 20, 2012.

I. Introduction

    On July 27, 2011, the Securities and Exchange Commission
(``Commission'') adopted Rule 13h-1 under the Securities Exchange Act
of 1934 (``Exchange Act'') concerning large trader reporting to assist
the Commission in both identifying, and obtaining trading information
on, market participants that conduct a substantial amount of trading
activity, as measured by volume or market value, in U.S. securities
(such persons are referred to as ``large traders'').\1\
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    \1\ See Securities Exchange Act Release No. 64976 (July 27,
2011), 76 FR 46960 (Aug. 3, 2011) (``Rule 13h-1 Adopting Release'').
The effective date of Rule 13h-1 was October 3, 2011.
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    Pursuant to Exchange Act Section 13(h)(6) and Rule 13h-1(g)
thereunder,\2\ the Commission, by order, may exempt from the provisions
of Rule 13h-1, upon specified terms and conditions or for stated
periods, any person or class of persons or any transaction or class of
transactions from the provisions of Rule 13h-1 to the extent that such
exemption is consistent with the purposes of the Exchange Act.
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    \2\ See 15 U.S.C. 78m and 17 CFR 240.13h-1(g), respectively.
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    Currently, the compliance date for the broker-dealer recordkeeping
and reporting requirements of Rule 13h-1(d) and (e), respectively, as
well as the requirement under Rule 13h-1(f) for broker-dealers to
monitor their customers' accounts for activity that may trigger the
large trader identification requirements of Rule 13h-1, is April 30,
2012. As discussed below, the Commission is temporarily exempting
registered broker-dealers from the requirements of new Rule 13h-1 by
extending the April 30, 2012 compliance date to provide them with
additional time to comply with the recordkeeping, reporting, and
monitoring requirements of the Rule.
    Specifically, and as discussed more fully below, the Commission is
extending the April 30, 2012 compliance date for registered broker-
dealers to May 1, 2013, except for certain broker-dealers that: (1) Are
large traders or (2) have large trader customers that are either
broker-dealers or that trade through a ``sponsored access''
arrangement, for which the Commission is extending the compliance date
to November 30, 2012.\3\ The extension of the compliance date will
allow broker-dealers additional time to develop, test, and implement
enhancements to their recordkeeping and reporting systems as required
under Rule 13h-1 and, for those broker-dealer requirements for which
the compliance date has been extended to May 1, 2013, for the
Commission to consider requests for relief from certain provisions of
the Rule.
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    \3\ The effective date for Rule 13h-1 remains October 3, 2011.
The compliance date for the requirement on large traders to identify
to the Commission pursuant to Rule 13h-1(b) was December 1, 2011.
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    In addition, the Commission is exempting certain transactions from
the definition of the term ``transaction'' provided in Rule 13h-
1(a)(6), but for the sole purpose of determining whether a person is a
large trader.

II. Broker-Dealer Recordkeeping and Reporting

A. Introduction

    Recordkeeping. In addition to requiring large traders to register
with the Commission by filing and periodically updating Form 13H, Rule
13h-1 requires certain broker-dealers to, among other things, maintain
specified records of transactions that they effect, directly or
indirectly, for large traders, and to report to the Commission, upon
request of the Commission, such records in electronic format.
Specifically, Rule 13h-1(d) requires broker-dealers to maintain records
of the information specified in Rule 13h-1(d) for all transactions
effected directly or indirectly by or through:
    (i) An account such broker-dealer carries for a large trader or an
Unidentified Large Trader,\4\ or
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    \4\ The term ``Unidentified Large Trader'' means each person who
has not complied with the identification requirements of paragraphs
(b)(1) and (b)(2) of Rule 13h-1 that a registered broker-dealer
knows or has reason to know is a large trader. See 17 CFR 240.13h-
1(a)(9). For purposes of determining whether a registered broker-
dealer has reason to know that a person is a large trader, a
registered broker-dealer need take into account only transactions in
NMS securities effected by or through such broker-dealer. See id.
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    (ii) If the broker-dealer is a large trader, any proprietary or
other account over which such broker-dealer exercises investment
discretion.
    (iii) Additionally, where a non-broker-dealer carries an account
for a large trader or an Unidentified Large Trader, the broker-dealer
effecting transactions directly or indirectly for such large trader or
Unidentified Large Trader shall maintain records of all of the
information required under the Rule for those transactions.
    The information required to be maintained for large trader accounts
includes the standard information currently captured pursuant to Rule
17a-25 and the Electronic Blue Sheets (``EBS'') system, plus two new
fields that are unique to Rule 13h-1: (1) The time that the transaction
was executed (``execution time'') \5\ and (2) the large trader
identification (``LTID'') number(s) associated with the account.\6\
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    \5\ See 17 CFR 240.13h-1(d)(2)(xii).
    \6\ See 17 CFR 240.13h-1(d)(2)(xiii).
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    Reporting. Rule 13h-1(e) requires every registered broker-dealer
who is itself a large trader or carries an account for a large trader
or an Unidentified Large Trader to report electronically to the
Commission, at the Commission's request, the required transaction
information on such persons whose activity is equal to or greater than
the reporting activity level.\7\ In addition, the Rule provides that
where a non-broker-dealer carries an account for a large trader or an
Unidentified Large Trader, the broker-dealer effecting such
transactions directly or indirectly for a large trader must
electronically report such information, at the Commission's request.
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    \7\ The reporting activity level is 100 shares. See 17 CFR
240.13h-1(a)(8). Accordingly, in response to a Commission request
for EBS information, broker-dealers are required to report
information for each account in which any large trader's or
Unidentified Large Trader's activity amounts to at least 100 shares
in the aggregate.
    In response to a Commission request for transaction records, in
addition to reporting information for any identified large trader
(i.e., a person for whom the broker-dealer has received an LTID
number), the broker-dealer also should report records for each
Unidentified Large Trader, as applicable, including any unique
identifying number that the broker-dealer has assigned to such
person.
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    Broker-dealers are required to report information to the Commission
upon request of the Commission.\8\ Information must be reported to the
Commission no later than the day and time specified in the Commission's
request for transaction information, which shall be no earlier than the
open of business of

the day following the request, unless in unusual circumstances same day
submission of information is requested.\9\
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    \8\ See 17 CFR 240.13h-1(e).
    \9\ See 17 CFR 240.13h-1(e). See also 17 CFR 240.13h-1(d)(5)
(requiring that the records required to be kept pursuant to the
provisions of Rule 13h-1 must be available for reporting on the
morning after the day the transactions were effected (including
Saturdays and holidays)).
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B. Request for Extension of Compliance Date and Other Relief From
Broker-Dealer Recordkeeping and Reporting Requirements

    The Financial Information Forum (``FIF''), representing a variety
of broker-dealers and other market participants, has requested that the
Commission extend the compliance date to November 30, 2012 for the
broker-dealer recordkeeping and reporting provisions of Rule 13h-1, and
provide certain substantive relief with respect to those
provisions.\10\ The Securities Industry and Financial Markets
Association (``SIFMA'') also has approached Commission staff with an
outline for relief similar to that requested by FIF, including a phased
implementation approach.\11\
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    \10\ See Letter from Manisha Kimmel, Executive Director,
Financial Information Forum, to Robert Cook, Director, and David
Shillman, Associate Director, Division of Trading and Markets,
Commission, dated January 25, 2012 (``FIF Letter''), available at:
http://www.sec.gov/comments/s7-10-10/s71010.shtml.
    \11\ See Letter from Ann L. Vlcek, Managing Director and
Associate General Counsel, SIFMA, to David S. Shillman, Associate
Director, Division, Commission, dated March 29, 2012, available at:
http://www.sec.gov/comments/s7-10-10/s71010.shtml.
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    FIF and SIFMA believe that broker-dealers need additional time to
perform the business analysis, development, and testing required to
implement the Rule's recordkeeping and reporting requirements. FIF and
SIFMA also believe that relief from certain of the substantive
requirements of the Rule is warranted in order to reduce the
implementation costs for some broker-dealers.\12\ Among other things,
FIF has requested relief from the reporting requirements for non-self
clearing broker-dealers, such that only clearing broker-dealers
(including large traders that are themselves self-clearing broker-
dealers) would report large trader transaction data to the Commission
through the EBS infrastructure. Further, for large trader customers
other than those using ``sponsored access'' arrangements, FIF has
requested relief from providing LTID numbers on executions in average
price processing accounts, and execution time on allocations made out
of average price processing accounts.\13\ FIF also requested relief for
broker-dealers effecting transactions for a large trader other than the
large trader's clearing broker.\14\ FIF did not request relief from the
substantive requirements of the Rule for clearing brokers \15\ where
the large trader customer either (1) is a U.S. registered broker-dealer
or (2) has a ``sponsored access'' arrangement.\16\ Finally, FIF and
SIFMA requested that the Commission coordinate the Rule's
implementation dates with those for a series of separate changes to the
EBS record layout that have been proposed by the Intermarket
Surveillance Group,\17\ and that Commission staff provide guidance on a
range of suggested ``Frequently Asked Questions'' relating to the
Rule.\18\
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    \12\ See FIF Letter, supra note 10, at 5.
    \13\ In other words, executions in average price processing
accounts would be reported with the execution time for each trade
but would not include the applicable LTID number(s) associated with
the transaction, and allocations out of average price processing
accounts would be reported with the applicable LTID number(s) but
not the execution times of the constituent trades.
    \14\ See FIF Letter, supra note 10, at 2.
    \15\ This includes the large trader broker-dealer itself, if
self-clearing.
    \16\ See FIF Letter, supra note 10, at 2 and 22. FIF defines a
``sponsored access'' arrangement by reference to the Commission's
Market Access release (Securities Exchange Act Release No. 63241
(November 3, 2010), 75 FR 69792 (November 15, 2010) (S7-03-10)),
generally as an arrangement where a broker-dealer permits a customer
to enter orders into a trading center without using the broker-
dealer's trading system (i.e., using the customer's own technology
or that of a third party provider). FIF indicates that compliance is
easier for sponsored access customers because those arrangements
typically are distinct from all other business lines of the broker-
dealer, with infrastructure that processes this order flow that is
separate from the platforms that handle other client and proprietary
flows. See id. at 5.
    \17\ See, e.g., FINRA Regulatory Notice 11-56 (December 2011)
(concerning proposed enhancements to EBS submissions). As reflected
in that Regulatory Notice, the ISG's proposed enhancements currently
have an effective date of August 31, 2012. Commission staff are
currently working with the ISG on the changes to the EBS record
layout and expects to be able to coordinate the implementation dates
as requested.
    \18\ Commission staff have published written responses to a
series of ``Frequently Asked Questions'' that staff have received
since the Commission's adoption of Rule 13h-1 and Form 13H. See
Responses to Frequently Asked Questions Concerning Large Trader
Reporting, available at: http://www.sec.gov/divisions/marketreg/mrfaq.htm.
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C. Extension of Compliance Date for the Broker-Dealer Requirements

    The Commission believes that it is appropriate and consistent with
the purposes of the Exchange Act to provide a temporary exemption from
the broker-dealer recordkeeping, reporting, and monitoring requirements
of Rule 13h-1 by extending the Rule's compliance date on a limited
basis. FIF raised a variety of implementation concerns relating to the
application of the Rule to broker-dealers other than the large trader's
clearing broker, and in cases where the large trader customer is
neither a U.S.-registered broker-dealer nor a sponsored access
customer. An extension of the compliance date should provide the
Commission an opportunity to work with market participants to more
fully examine the implementation issues raised by FIF, assess the
appropriateness of any exemptive relief, and allow broker-dealers time
to develop, test, and implement the necessary systems changes once the
examination of implementation issues is complete. However, the
Commission believes a more modest extension of the compliance date is
appropriate for those aspects of the Rule for which substantive relief
was not requested--namely compliance by the large trader's clearing
broker (including the large trader itself if it is a self-clearing
broker-dealer) where the large trader customer either (1) is a U.S.
registered broker-dealer or (2) has a ``sponsored access'' arrangement.
The Commission believes that temporarily exempting registered broker-
dealers from the recordkeeping, reporting, and monitoring requirements
of Rule 13h-1 for the stated periods should facilitate the orderly and
meaningful implementation of the requirements for those broker-dealers
that need more time to comply with the new rule.
    Recordkeeping and Reporting Requirements for Broker-Dealers.
Accordingly, the Commission is providing a temporary exemption to
extend the compliance date to May 1, 2013, for the broker-dealer
recordkeeping, reporting, and monitoring requirements of Rule 13h-1,
except as described below.\19\
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    \19\ In connection with any potential relief that the Commission
may grant on or before the new May 1, 2013 date, the Commission
would consider the appropriateness of an implementation period as
well as a systems testing schedule beyond May 1, 2013.
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    The Commission is providing a temporary exemption to extend the
compliance date to November 30, 2012, for the broker-dealer
recordkeeping and reporting requirements of Rule 13h-1 with respect to
a clearing broker-dealer for a large trader \20\ where the large
trader:
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    \20\ In its request, FIF asked the Commission for ``relief for
broker dealers involved in Large Trader transactions that do not
have a direct relationship with the Large Trader. Only the self-
clearing and clearing broker dealers with a direct relationship with
the Large Trader would perform Large Trader Reporting.'' See FIF
Letter, supra note 10, at 2. In Appendix C of its letter, FIF
provides an example of the entities for whom it recommends imposing
a recordkeeping and reporting obligation. See id. at 25.
Specifically, FIF recommends that the reporting of execution time
should rest with the clearing broker for the originating broker, and
any prime broker would be relieved from being required to report
execution times. The term ``a clearing broker-dealer for a large
trader'' refers to self-clearing and clearing broker-dealers that
have a direct relationship with the large trader (including the
large trader broker-dealer itself, if self-clearing).

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

    (1) Is a U.S.-registered broker-dealer,\21\ or
---------------------------------------------------------------------------

    \21\ The reportable activity would include proprietary trading
by a large trader broker-dealer where the large trader is trading
for its own account.
---------------------------------------------------------------------------

    (2) Trades through a sponsored access arrangement.\22\
---------------------------------------------------------------------------

    \22\ A ``sponsored access arrangement'' in this context refers
to an arrangement in which a broker-dealer permits a large trader
customer to enter orders directly to a trading center where such
orders are not processed through the broker-dealer's own trading
system (other than any risk management controls established for
purposes of compliance with Rule 15c3-5 under the Exchange Act) and
where the orders are routed directly to a trading center, in some
cases supported by a service bureau or other third party technology
provider. See Securities Exchange Act Release No. 63241 (November 3,
2010), 75 FR 69792 (November 15, 2010) (S7-03-10).

On November 30, 2012, these clearing brokers should be prepared to
record and report disaggregated trade information, together with the
LTID number (or numbers, if applicable) and execution time, for these
two categories of large traders, in accordance with the requirements of
Rule 13h-1.\23\
---------------------------------------------------------------------------

    \23\ Accordingly, large traders that are themselves registered
broker-dealers but that are not self-clearing would not be required
to connect to the EBS system to report their transactions as of
November 30, 2012, and instead could rely on their clearing broker
to perform the reporting responsibilities with respect to their
reportable transactions during that interim period.
     In addition, FIF requested in its letter that the Commission
provide guidance on whether execution times are required to be
reported in connection with options exercises and assignments as
well as exchange traded fund creations and redemptions (i.e., the
actual transfers involving the authorized participant and the
exchange traded fund sponsor, not the underlying purchases or sales
of securities in the secondary market by an authorized participant
in connection with the creation or redemption process). See FIF
Letter, supra note 10, at 1. While the Commission continues to
consider FIF's broader request for relief, in the interim period,
firms will not be required to provide execution times on any options
exercises and assignments or exchange traded fund creations and
redemptions that they report through EBS for large traders prior to
May 1, 2013.
---------------------------------------------------------------------------

    As explained in FIF's letter, the trading activity of these
categories of large traders typically is processed by clearing brokers
on infrastructure separate from that used for other customers, so that
compliance with the Rule requires substantially less effort than for
other types of large trader customers.\24\ Further, the Commission
believes that limiting the recordkeeping and reporting responsibility
to clearing brokers for this initial compliance period is reasonable as
it narrows the universe of reporting entities to broker-dealers that
currently are connected to the EBS system.
---------------------------------------------------------------------------

    \24\ See FIF Letter, supra note 10, at 5.
---------------------------------------------------------------------------

    Monitoring Requirements. The Commission also is providing a
temporary exemption to extend the compliance date to May 1, 2013 for
the requirement on registered broker-dealers to monitor their
customers' accounts for activity that may trigger the large trader
identification requirements of Rule 13h-1. This extension should allow
firms to focus their resources on the recordkeeping and reporting
provisions and facilitate the orderly implementation of those
provisions.

III. Exemption for Certain Transactions

    Rule 13h-1(a)(1)(i) defines a large trader as a person who, among
other things, ``effects transactions for the purchase or sale of any
NMS security * * *'' \25\ Rule 13h-1(a)(6) defines the term
``transactions'' as ``all transactions in NMS securities, excluding
exercises or assignments of option contracts,'' except for certain
specifically enumerated transactions.\26\ The exceptions from the term
``transaction'' were designed to exclude certain transactions from the
identifying activity level calculation that are not effected with an
intent that is commonly associated with the arm's-length trading of
securities in the secondary market and therefore would not fall within
the types of transactions that are characterized by the exercise of
investment discretion for purposes of Rule 13h-1.\27\ Rather, these
enumerated categories of transactions generally are effected for
materially different reasons that reflect fundamental corporate
decision-making or capital formation objectives and therefore are not
effected with an intent that is normally associated with secondary-
market trading activity in NMS securities.
---------------------------------------------------------------------------

    \25\ See 17 CFR 240.13h-1(a)(1)(i).
    \26\ See 17 CFR 240.13h-1(a)(6).
    \27\ See Rule 13h-1 Adopting Release, supra note 1, 76 FR at
46967.
---------------------------------------------------------------------------

    SIFMA has requested that certain additional types of transactions
involving securities offerings be excluded from being counted towards
the identifying activity level.\28\ Under the Rule, offerings of
securities by or on behalf of an issuer generally are excluded for
purposes of determining whether a person is a large trader, but that
exemption expressly does not apply to ``an offering of securities
effected through the facilities of a national securities exchange.''
\29\ The Commission understands from SIFMA that, while the Rule does
exclude the vast majority of primary offerings, certain offerings such
as ``dribble out'' programs \30\ or offerings ``crossed'' on a national
securities exchange \31\ occur with enough regularity to warrant relief
for the reasons discussed below. In addition, while the Rule excludes
offerings of securities by or on behalf of an issuer, it does not
exclude sales of stock acquired as part of employee compensation by
current or former selling employees of the issuer in connection with
those offerings. SIFMA argues in its letter that offerings effected
through the facilities of a national securities exchange, as well as
sales by issuer employees in an initial public offering or registered
secondary offering, similarly are effected for materially different
reasons than those normally associated with secondary-market trading
activity, and should be excluded for purposes of determining whether a
person is a large trader.\32\
---------------------------------------------------------------------------

    \28\ See Letter from Sean Davy, Managing Director, SIFMA, to
David S. Shillman, Associate Director, Division, Commission, dated
March 26, 2012, available at: http://www.sec.gov/comments/s7-10-10/s71010.shtml (``SIFMA Capital Markets Letter'').
    \29\ See 17 CFR 240.13h-1(a)(6)(ii) (providing an exclusion for
``[a]ny transaction that is part of an offering of securities by or
on behalf of an issuer, or by an underwriter on behalf of an issuer,
or an agent for an issuer, whether or not such offering is subject
to registration under the Securities Act of 1933 (15 U.S.C. 77a),
provided, however, that this exemption shall not include an offering
of securities effected through the facilities of a national
securities exchange'').
    \30\ SIFMA notes that a ``dribble out program'' enables an
issuer to offer and sell its equity securities through one or more
registered broker-dealers in incremental registered transactions
that are effected over a period of time. See SIFMA Capital Markets
Letter, supra note 28, at 3. Such offerings involve prospectus
supplements, comfort letters, opinions of counsel, due diligence,
officer's certificates, and filings with the SEC. See id. SIFMA
states that these transactions can facilitate capital formation for
issuers, particularly during periods of high volatility, by avoiding
some of the risks of underwritten offerings. See id.
    \31\ SIFMA notes that all of part of an offering of securities
by an issuer may be ``crossed'' on a national securities exchange
purely for ease of settlement. See id. SIFMA believes that the
character of this type of offering makes it distinguishable from
ordinary secondary market trading. See id.
    \32\ See id.
---------------------------------------------------------------------------

    The Commission believes that it is appropriate and consistent with
the purposes of the Exchange Act to not count these transactions for
the purpose of determining whether a person meets the identifying
activity level. Accordingly, the Commission hereby is exempting from
the definition of the term ``transaction,'' for the sole purpose of
determining whether a person is a large trader: (1) Any transaction
that is part of an offering of securities by or on behalf of an issuer,
or by an underwriter on behalf of an issuer, or an agent for

an issuer, whether or not such offering is subject to registration
under the Securities Act of 1933, regardless of whether such
transaction is effected through the facilities of a national securities
exchange; and (2) sales of securities by a selling shareholder in
connection with an initial public offering or in a registered secondary
offering if such selling shareholder is a current or former employee of
the issuer and the securities being sold were acquired as part of the
person's compensation as an employee of the issuer. The Commission
believes that providing this limited exemption will continue to ensure
that Rule 13h-1 provides a mechanism for the Commission to gather data
on persons that conduct a significant amount of secondary market
trading in NMS securities, while providing limited relief to issuers
and selling shareholders who would not otherwise meet the definition of
large trader in the absence of these capital market transactions.
Because such transactions typically are infrequent in nature and are
distinguishable in character from the secondary market activity that is
the focus of Rule 13h-1, this exemption should preserve the
Commission's ability to identify large traders while reducing burdens
on issuers and selling shareholders and thereby assist in the promotion
of capital formation.

IV. Conclusion

    It is hereby ordered, pursuant to Exchange Act Section 13(h)(6) and
Rule 13h-1(g) thereunder, that broker-dealers subject to the
recordkeeping, reporting, and monitoring requirements of Rule 13h-1 are
temporarily exempted from those requirements until May 1, 2013, except
that clearing broker-dealers for a large trader that either (1) is a
U.S.-registered broker-dealer,\33\ or (2) trades through a sponsored
access arrangement,\34\ are temporarily exempted from the recordkeeping
and reporting provisions of Rule 13h-1 only until November 30, 2012.
---------------------------------------------------------------------------

    \33\ This includes the large trader broker-dealer itself, if
self-clearing.
    \34\ A ``sponsored access arrangement'' in this context refers
to an arrangement in which a broker-dealer permits a large trader
customer to enter orders directly to a trading center where such
orders are not processed through the broker-dealer's own trading
system (other than any risk management controls established for
purposes of compliance with Rule 15c3-5 under the Exchange Act) and
where the orders are routed directly to a trading center, in some
cases supported by a service bureau or other third party technology
provider. See Securities Exchange Act Release No. 63241 (November 3,
2010), 75 FR 69792 (November 15, 2010) (S7-03-10).
---------------------------------------------------------------------------

    Further, it is hereby ordered, pursuant to Exchange Act Section
13(h)(6) and Rule 13h-1(g) thereunder, that: (1) Transactions that are
part of an offering of securities by or on behalf of an issuer, or by
an underwriter on behalf of an issuer, or an agent for an issuer,
whether or not such offering is subject to registration under the
Securities Act of 1933, or such transaction is effected through the
facilities of a national securities exchange, and (2) sales of
securities by a selling shareholder in connection with an initial
public offering or in a registered secondary offering if such selling
shareholder is a current or former employee of the issuer and the
securities being sold were acquired as part of the person's
compensation as an employee of the issuer, are hereby exempt from the
definition of the term ``transaction'' under Rule 13h-1(a)(6) for the
sole purpose of determining whether a person is a large trader.

    By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2012-10026 Filed 4-25-12; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 210 (Tuesday, October 30, 2012)]
[Rules and Regulations]
[Pages 65617-65619]
[FR Doc No: 2012-26077]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2012-0726; Directorate Identifier 2012-NM-023-AD;
Amendment 39-17228; AD 2012-21-12]
RIN 2120-AA64

Airworthiness Directives; Bombardier, Inc. Airplanes

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

ACTION: Final rule.

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

SUMMARY: We are adopting a new airworthiness directive (AD) for certain
Bombardier, Inc. Model DHC-8-400 series airplanes. This AD was prompted
by cases of on-ground failure of the screw cap or end cap of hydraulic
accumulators on other airplane models, resulting in high-energy impact
damage to adjacent systems and structure. This AD requires inspecting
for a part number and replacing the affected parking brake hydraulic
accumulator, and relocating the parking brake accumulator, on the
subject airplanes. We are issuing this AD to prevent failure of the
screw caps and/or end caps of the parking brake hydraulic accumulator,
which could result in damage to the airplane's primary structures, with
potential adverse effect on the airplane's controllability.

DATES: This AD becomes effective December 4, 2012.
    The Director of the Federal Register approved the incorporation by
reference of certain publications listed in this AD as of December 4,
2012.

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

FOR FURTHER INFORMATION CONTACT: Cesar Gomez, Aerospace Engineer,
Airframe and Mechanical Systems Branch, ANE-171, FAA, New York Aircraft
Certification Office, 1600 Stewart Avenue, Suite 410, Westbury, New
York 11590; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>; email
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 to include an AD that would apply to the specified products.
That NPRM was published in the Federal Register on August 2, 2012 (77
FR 45981). That NPRM proposed to correct an unsafe condition for the
specified products. The Mandatory Continuing Airworthiness Information
(MCAI) states:

    Seven cases of on-ground hydraulic accumulator/screw cap/end cap
failure have been experienced on CL-600-2B19 (CRJ) aeroplanes,
resulting in loss of the associated hydraulic system and high-energy
impact damage to adjacent systems and structure. To date, the lowest
number of flight cycles accumulated at the time of failure has been
6991.
    Although there have been no failures to date on any DHC-8
aeroplanes, similar accumulators to those installed on the CL-600-
2B19, Part Number (P/N) 08-60197-001 (Parking Brake Accumulator),
are installed on the aeroplanes listed in the Applicability section
of this [Canadian] Airworthiness Directive (AD). It was also found
that some of these accumulators may be affected by manufacturing
non-conformances.
    A detailed analysis of the systems and structure in the
potential line of trajectory of a failed screw cap/end cap for the
accumulator has been conducted. It has been identified that the
worst-case scenarios would be the damage to the aeroplane's primary
structures, which could have an adverse effect on the
controllability of the aeroplane.
    This [Canadian] AD mandates the [inspection for part and serial
numbers and] replacement of the affected hydraulic accumulators and
the relocation of the parking brake accumulator.

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

Comments

    We gave the public the opportunity to participate in developing
this AD. We received no comments on the NPRM (77 FR 45981, August 2,
2012) or on the determination of the cost to the public.

Conclusion

    We reviewed the available data and determined that air safety and
the public interest require adopting the AD as proposed-except for
minor editorial changes. We have determined that these minor changes:
     Are consistent with the intent that was proposed in the
NPRM (77 FR 45981, August 2, 2012) for correcting the unsafe condition;
and
     Do not add any additional burden upon the public than was
already proposed in the NPRM (77 FR 45981, August 2, 2012).

Costs of Compliance

    We estimate that this AD will affect about 83 products of U.S.
registry. We also estimate that it will take about 17 work-hours per
product to comply with the basic requirements of this AD. The average
labor rate is $85 per work-hour. Required parts will cost about $5,205
per product. Where the service information lists required parts costs
that are covered under warranty, we have assumed that there will be no
charge for these parts. As we do not control warranty coverage for
affected parties, some parties may incur costs higher than estimated
here. Based on these figures, we estimate the cost of this AD to the
U.S. operators to be $551,950, or $6,650 per product.
    In addition, we estimate that any necessary follow-on actions would
take about 3 work-hours and require parts costing $4,643, for a cost of
$4,898 per product. We have no way of determining the number of
products that may need these actions.

Authority for This Rulemaking

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

Regulatory Findings

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

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov; or in person at the Docket Operations office
between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays. The AD docket contains the NPRM (77 FR 45981, August 2,
2012), the regulatory evaluation, any comments received, and other
information. The street address for the Docket Operations office
(telephone<PHONE_NUMBER>) is in the ADDRESSES section. Comments will
be available in the AD docket shortly after receipt.

List of Subjects in 14 CFR Part 39

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

Adoption of the Amendment

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

PART 39--AIRWORTHINESS DIRECTIVES

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

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

Sec.  39.13  [Amended]

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

2012-21-12 Bombardier, Inc.: Amendment 39-17228. Docket No. FAA-
2012-0726; Directorate Identifier 2012-NM-023-AD.

(a) Effective Date

    This airworthiness directive (AD) becomes effective December 4,
2012.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to Bombardier, Inc. Model DHC-8-400, -401, and -
402 airplanes, certificated in any category, serial numbers 4001
through 4346 inclusive.

(d) Subject

    Air Transport Association (ATA) of America Code 32: Landing
gear.

(e) Reason

    This AD was prompted by cases of on-ground hydraulic
accumulator/screw cap/end cap failure, resulting in high-energy
impact damage to adjacent systems and structure. We are issuing this
AD to prevent failure of the screw caps and/or end caps of the
hydraulic and parking brake accumulators, which could result in
damage to the airplane's primary structures, with potential adverse
effect on the airplane's controllability.

(f) Compliance

    You are responsible for having the actions required by this AD
performed within the compliance times specified, unless the actions
have already been done.

(g) Inspection/Replacement of the Parking Brake Hydraulic Accumulator

    For airplanes having serial numbers 4001 through 4337 inclusive:
Within 1,200 flight hours or 6 months after the effective date of
this AD, whichever comes first, inspect the parking brake hydraulic
accumulator to determine the part number and serial number, in
accordance with the Accomplishment Instructions of Bombardier
Service Bulletin 84-32-88, dated February 16, 2011.
    (1) If the part number of the parking brake hydraulic
accumulator can be determined by the inspection required by
paragraph (g) of this AD, and is not identified in paragraph 1.,
Effectivity, of Goodrich Service Bulletin 08 60197 001-32-70 R2,
dated February 1, 2011: No further action is required by this
paragraph.
    (2) If the part number and serial number of the parking brake
hydraulic accumulator cannot be determined by the inspection
required by paragraph (g) of this AD, or is identified in paragraph
1. Effectivity, of Goodrich Service Bulletin 08 60197 001-32-70 R2,
dated February 1, 2011: Before further flight, replace the parking
brake hydraulic accumulator, in accordance with the Accomplishment
Instructions of Bombardier Service Bulletin 84-32-88, dated February
16, 2011.

(h) Relocation of the Parking Brake Hydraulic Accumulator

    (1) For airplanes having serial numbers 4001 through 4068
inclusive, 4070 through 4214 inclusive, 4216, 4219 through 4261
inclusive, and 4263 through 4346 inclusive: Within 6,000 flight
hours after the effective date of this AD, relocate the parking
brake hydraulic accumulator, in accordance with the Accomplishment
Instructions of Bombardier Service Bulletin 84-32-87, Revision B,
dated November 22, 2011.
    (2) Accomplishing the actions specified in paragraph (h)(1) of
this AD in accordance with previous revisions of Bombardier Service
Bulletin 84-32-87 does not meet the requirements of paragraph (h)(1)
of this AD.

(i) Other FAA AD Provisions

    The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager, New
York Aircraft Certification Office (ACO), FAA, has the authority to
approve AMOCs for this AD, if requested using the procedures found
in 14 CFR 39.19. In accordance with 14 CFR 39.19, send your request
to your principal inspector or local Flight Standards District
Office, as appropriate. If sending information directly to the ACO,
send it to ATTN: Program Manager, Continuing Operational Safety,
FAA, New York ACO, 1600 Stewart Avenue, Suite 410, Westbury, New
York 11590; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>. Before using
any approved AMOC, notify your appropriate principal inspector, or
lacking a principal inspector, the manager of the local flight
standards district office/certificate holding district office. The
AMOC approval letter must specifically reference this AD.
    (2) Airworthy Product: For any requirement in this AD to obtain
corrective actions from a manufacturer or other source, use these
actions if they are FAA-approved. Corrective actions are considered
FAA-approved if they are approved by the State of Design Authority
(or their delegated agent). You are required to assure the product
is airworthy before it is returned to service.

(j) Related Information

    Refer to MCAI Canadian Airworthiness Directive CF-2012-04, dated
January 13, 2012, and the service information identified in
paragraphs (j)(1) through (j)(3) of this AD, for related
information.
    (1) Bombardier Service Bulletin 84-32-87, Revision B, dated
November 22, 2011.
    (2) Bombardier Service Bulletin 84-32-88, dated February 16,
2011.
    (3) Goodrich Service Bulletin 08 60197 001-32-70 R2, dated
February 1, 2011.

(k) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) of the service information listed
in this paragraph under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) You must use this service information as applicable to do
the actions required by this AD, unless the AD specifies otherwise.
    (i) Bombardier Service Bulletin 84-32-87, Revision B, dated
November 22, 2011.
    (ii) Bombardier Service Bulletin 84-32-88, dated February 16,
2011.
    (iii) Goodrich Service Bulletin 08 60197 001-32-70 R2, dated
February 1, 2011.
    (3) For Bombardier, Inc., service information identified in this
AD, contact Bombardier, Inc., Q-Series Technical Help Desk, 123
Garratt Boulevard, Toronto, Ontario M3K 1Y5, Canada; telephone 416-
375-4000; fax<PHONE_NUMBER>; email<EMAIL_ADDRESS>
Internet http://www.bombardier.com. For Goodrich service information
identified in this AD, contact Goodrich Corporation, Landing Gear,
1400 South Service Road, West Oakville L6L 5Y7, Ontario, Canada;
telephone<PHONE_NUMBER>; email<EMAIL_ADDRESS>Internet
http://www.goodrich.com/TechPubs.
    (4) You may review copies of the service information at the FAA,
Transport Airplane Directorate, 1601 Lind Avenue SW., Renton, WA.
For information on the availability of this material at the FAA,
call<PHONE_NUMBER>.
    (5) You may view this service information that is incorporated
by reference at the National Archives and Records Administration
(NARA). For information on the availability of this material at
NARA, call<PHONE_NUMBER>, or go to: http://www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued in Renton, Washington, on October 11, 2012.
Ali Bahrami,
Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2012-26077 Filed 10-29-12; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register Volume 80, Number 26 (Monday, February 9, 2015)]
[Notices]
[Pages 7066-7068]
[FR Doc No: 2015-02501]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-74193; File No. SR-BATS-2014-054]

Self-Regulatory Organizations; BATS Exchange, Inc.; Order
Approving a Proposed Rule Change To List and Trade Shares of the
iShares Short Maturity Municipal Bond ETF of the iShares U.S. ETF Trust
Under Rule 14.11(i) of BATS Exchange, Inc.

February 3, 2015.

I. Introduction

    On December 12, 2014, BATS Exchange, Inc. (the ``Exchange'' or
``BATS'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) \1\ of the Securities
Exchange Act of 1934 (``Act'' or ``Exchange Act'') \2\ and Rule 19b-4
thereunder,\3\ a proposed rule change to list and trade shares
(``Shares'') of the iShares Short Maturity Municipal Bond ETF (the
``Fund'') under BATS Rule 14.11(i). The proposed rule change was
published for comment in the Federal Register on December 29, 2014.\4\
The Commission received no comments on the proposed rule change. This
order approves the proposed rule change.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
    \4\ See Securities Exchange Act Release No. 73895 (December 19,
2014), 79 FR 78125 (``Notice'').
---------------------------------------------------------------------------

II. Description of the Proposal

    The Exchange proposes to list and trade the Shares under BATS Rule
14.11(i), which governs the listing and trading of Managed Fund Shares
on the Exchange. The Exchange deems the Shares to be equity securities,
thus rendering trading in the Shares subject to the Exchange's existing
rules governing the trading of equity securities.
    The Shares will be offered by the iShares U.S. ETF Trust (the
``Trust''), a Delaware statutory trust. The Trust is registered with
the Commission as an open-end investment company and has filed a
registration statement on behalf of the Fund on Form N-1A
(``Registration Statement'') with the Commission.\5\ BlackRock Fund
Advisors is the investment adviser (``BFA'' or ``Adviser'') to the
Fund.\6\ State Street Bank and Trust Company is the administrator,
custodian, and transfer agent for the Trust. BlackRock Investments, LLC
serves as the distributor for the Trust. The Exchange represents that
the Adviser is not a registered broker-dealer, but is affiliated with
multiple broker-dealers and has implemented fire walls with respect to
such broker-dealers regarding access to information concerning the
composition and/or changes to the Fund's portfolio.\7\ The Exchange
further represents that Adviser personnel who make decisions regarding
the Fund's portfolio are subject to procedures designed to prevent the
use and dissemination of material nonpublic information regarding the
Fund's portfolio.\8\
---------------------------------------------------------------------------

    \5\ See Registration Statement on Form N-1A for the Trust, dated
September 3, 2014 (File Nos. 333-179904 and 811-22649). See also
Investment Company Act Release No. 29571 (January 24, 2011) (File
No. 812-13601).
    \6\ BFA is an indirect wholly owned subsidiary of BlackRock,
Inc.
    \7\ See Notice, supra note 4, at 78126.
    \8\ See id.; see also BATS Rule 14.11(i)(7). The Exchange also
represents that in the event that (a) the Adviser becomes registered
as a broker-dealer or newly affiliated with another broker-dealer,
or (b) any new adviser or sub-adviser is a registered broker-dealer
or becomes affiliated with a broker-dealer, it will implement a fire
wall with respect to its relevant personnel or such broker-dealer
affiliate, as applicable, regarding access to information concerning
the composition and/or changes to the portfolio, and will be subject
to procedures designed to prevent the use and dissemination of
material non-public information regarding such portfolio.
---------------------------------------------------------------------------

    The Exchange has made the following representations and statements
regarding the Fund.\9\ The Fund will seek to maximize tax-free current
income. Generally, the Fund's effective duration \10\ will be 1.2 years
or less, and it is not expected to exceed 1.5 years.
---------------------------------------------------------------------------

    \9\ The Commission notes that additional information regarding
the Trust, the Fund, and the Shares, investment strategies, risks,
net asset value (``NAV'') calculation, creation and redemption
procedures, fees and expenses, portfolio holdings disclosure
policies, distributions, and taxes, among other information, is
included in the Notice and Registration Statement. See supra notes 4
and 5, respectively.
    \10\ The Exchange states that effective duration is a measure of
the Fund's price sensitivity to changes in yields or interest rates.
See Notice, supra note 4, 79 FR at 78126, n.11.
---------------------------------------------------------------------------

    To achieve its objective, the Fund will invest, under normal
circumstances,\11\

at least 80% of its net assets in Municipal Securities \12\ that pay
interest that is exempt from U.S. federal income taxes and the federal
alternative minimum tax (the ``AMT''), along with short-term
instruments and repurchase and reverse repurchase agreements for
Municipal Securities. Under normal circumstances, less than 20% of the
Fund's net assets may be invested in ``Other Investments,'' namely:
Interest rate futures contracts and Municipal Securities that pay
interest that is subject to the AMT.
---------------------------------------------------------------------------

    \11\ The term ``under normal circumstances'' includes, but is
not limited to, the absence of adverse market, economic, political,
or other conditions, including extreme volatility or trading halts
in the financial markets; operational issues causing dissemination
of inaccurate market information; or force majeure type events such
as systems failure, natural or man-made disaster, act of God, armed
conflict, act of terrorism, riot, or labor disruption, or any
similar intervening circumstance.
    \12\ ``Municipal Securities'' are fixed and floating rate
securities issued in the U.S. by U.S. states and territories,
municipalities and other political subdivisions, agencies,
authorities, and instrumentalities of states and multi-state
agencies and authorities and will include only the following
instruments: General obligation bonds, limited obligation bonds (or
revenue bonds), private activity bonds, municipal notes, municipal
commercial paper, tender option bonds, variable rate demand
obligations, municipal lease obligations, stripped securities,
structured securities, when issued securities, and zero coupon
securities. The Fund may also invest in exchange-listed and non-
exchange-listed investment companies that invest in Municipal
Securities. The Exchange represents that structured securities, when
combined with its ``Other Investments'' will not exceed 20% of the
Fund's net assets. See Notice, supra note 4, 79 FR at 78127, n.21.
---------------------------------------------------------------------------

III. Discussion and Commission Findings

    After careful review, the Commission finds that the Exchange's
proposal to list and trade the Shares is consistent with the Exchange
Act and the rules and regulations thereunder applicable to a national
securities exchange.\13\ In particular, the Commission finds that the
proposed rule change is consistent with Section 6(b)(5) of the Exchange
Act,\14\ which requires, among other things, that the Exchange's rules
be designed to promote just and equitable principles of trade, to
remove impediments to and perfect the mechanism of a free and open
market and a national market system, and, in general, to protect
investors and the public interest.
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    \13\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
    \14\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Commission also finds that the proposal to list and trade the
Shares on the Exchange is consistent with Section 11A(a)(1)(C)(iii) of
the Exchange Act,\15\ which sets forth Congress' finding that it is in
the public interest and appropriate for the protection of investors and
the maintenance of fair and orderly markets to assure the availability
to brokers, dealers and investors of information with respect to
quotations for and transactions in securities. Quotation and last-sale
information for the Shares will be available on the facilities of the
Consolidated Tape Association (``CTA''). Information regarding market
price and volume of the Shares will be continually available on a real-
time basis throughout the day on brokers' computer screens and other
electronic services. The previous day's closing price and trading
volume information for the Shares will be published daily in the
financial section of newspapers. The Web site for the Fund will include
a form of the prospectus for the Fund and additional data relating to
NAV and other applicable quantitative information.
---------------------------------------------------------------------------

    \15\ 15 U.S.C. 78k-1(a)(1)(C)(iii).
---------------------------------------------------------------------------

    According to the Exchange, intraday, executable price quotations on
assets held by the Fund are available from major broker-dealer firms,
and for exchange-traded assets, such intraday information is available
directly from the applicable listing exchange.\16\ All such intraday
price information is available through subscription services, such as
Bloomberg, Thomson Reuters and International Data Corporation, which
can be accessed by authorized participants and other investors. Pricing
information for repurchase agreements and securities not listed on an
exchange or national securities market will be available from major
broker-dealer firms and/or subscription services, such as Bloomberg,
Thomson Reuters and International Data Corporation. Quotation and last-
sale information for the underlying exchange-listed investment
companies will be available through CTA. Price information relating to
all other securities held by the Fund will be available from major
market data vendors.
---------------------------------------------------------------------------

    \16\ See Notice, supra note 4, 79 FR at 78130.
---------------------------------------------------------------------------

    On each business day, before commencement of trading in Shares
during Regular Trading Hours on the Exchange, the Fund will disclose on
its Web site the identities and quantities of the portfolio of
securities and other assets (the ``Disclosed Portfolio'') held by the
Fund that will form the basis for the Fund's calculation of NAV at the
end of the business day.\17\ In addition, for the Fund, an estimated
value, defined in BATS Rule 14.11(i)(3)(C) as the ``Intraday Indicative
Value,'' that reflects an estimated intraday value of the Fund's
portfolio, will be disseminated. The Intraday Indicative Value will be
based upon the current value for the components of the Disclosed
Portfolio and will be updated and widely disseminated by one or more
major market data vendors at least every 15 seconds during the
Exchange's Regular Trading Hours.\18\
---------------------------------------------------------------------------

    \17\ The Disclosed Portfolio will include, as applicable, the
names, quantity, percentage weighting and market value of securities
and other assets held by the Fund and the characteristics of such
assets. The Web site and information will be publicly available at
no charge. Under accounting procedures to be followed by the Fund,
trades made on the prior business day (``T'') will be booked and
reflected in NAV on the current business day (``T+1''). Accordingly,
the Fund will be able to disclose at the beginning of the business
day the portfolio that will form the basis for the NAV calculation
at the end of the business day.
    \18\ The Exchange represents that several major market data
vendors display and/or make widely available Intraday Indicative
Values published via the CTA or other data feeds. See id. at 78129,
n.36.
---------------------------------------------------------------------------

    The Commission also believes that the proposal to list and trade
the Shares is reasonably designed to promote fair disclosure of
information that may be necessary to price the Shares appropriately and
to prevent trading when a reasonable degree of transparency cannot be
assured. The Commission notes that the Exchange will obtain a
representation from the issuer of the Shares that the NAV per Share
will be calculated daily and that the NAV and the Disclosed Portfolio
will be made available to all market participants at the same time.\19\
The Exchange will halt trading in the Shares under the conditions
specified in BATS Rule 11.18. Trading may be halted because of market
conditions or for reasons that, in the view of the Exchange, make
trading in the Shares inadvisable. These may include: (1) The extent to
which trading is not occurring in the securities and/or the financial
instruments composing the Disclosed Portfolio of the Fund; or (2)
whether other unusual conditions or circumstances detrimental to the
maintenance of a fair and orderly market are present. Trading in the
Shares also will be subject to Rule 14.11(i)(4)(B)(iv), which sets
forth circumstances under which Shares of the Fund may be halted. The
Exchange prohibits the distribution of material non-public information
by its employees. The Exchange represents that the Adviser is not a
registered broker-dealer, but is affiliated with multiple broker-
dealers and has implemented fire walls with respect to such broker-
dealers regarding access to information concerning the composition and/
or changes to the Fund's portfolio.\20\ The Exchange further represents
that Adviser personnel who make decisions regarding the Fund's
portfolio are subject to procedures designed to prevent the use and
dissemination of material nonpublic

information regarding the Fund's portfolio.\21\ In addition, the
Commission notes that, consistent with BATS Rule 14.11(i)(4)(B)(ii)(b),
the Reporting Authority, as defined in BATS Rule 14.11(i)(3)(D), must
implement and maintain, or be subject to, procedures designed to
prevent the use and dissemination of material, non-public information
regarding the actual components of the portfolio. The Exchange may
obtain information regarding trading in the Shares and the underlying
shares in exchange traded equity securities via the Intermarket
Surveillance Group (``ISG''), from other exchanges that are members or
affiliates of the ISG, or with which the Exchange has entered into a
comprehensive surveillance sharing agreement.\22\ In addition, the
Exchange is able to access, as needed, trade information for certain
fixed income instruments reported to FINRA's Trade Reporting and
Compliance Engine.
---------------------------------------------------------------------------

    \19\ See id. at 78130.
    \20\ See supra note 7 and accompanying text.
    \21\ See Notice, supra note 4, 79 FR at 78131.
    \22\ For a list of the current members of ISG, see
www.isgportal.org. The Exchange notes that not all components of the
Disclosed Portfolio for the Fund may trade on markets that are
members of ISG or with which the Exchange has in place a
comprehensive surveillance sharing agreement.
---------------------------------------------------------------------------

    In support of this proposal, the Exchange has made the following
representations:
    (1) The Shares will be subject to BATS Rule 14.11(i), which sets
forth the initial and continued listing criteria applicable to Managed
Fund Shares.
    (2) The Exchange has appropriate rules to facilitate transactions
in the Shares during all trading sessions.
    (3) Trading of the Shares through the Exchange will be subject to
the Exchange's surveillance procedures for derivative products,
including Managed Fund Shares, and that these procedures are adequate
to properly monitor the trading of the Shares on the Exchange during
all trading sessions and to deter and detect violations of Exchange
rules and the applicable federal securities laws.
    (4) Prior to the commencement of trading, the Exchange will inform
its members in an Information Circular of the special characteristics
and risks associated with trading the Shares. Specifically, the
Information Circular will discuss the following: (a) The procedures for
purchases and redemptions of Shares in Creation Units (and that Shares
are not individually redeemable); (b) BATS Rule 3.7, which imposes
suitability obligations on Exchange members with respect to
recommending transactions in the Shares to customers; (c) how
information regarding the Intraday Indicative Value is disseminated;
(d) the risks involved in trading the Shares during the Pre-Opening
\23\ and After Hours Trading Sessions \24\ when an updated Intraday
Indicative Value will not be calculated or publicly disseminated; (e)
the requirement that members deliver a prospectus to investors
purchasing newly issued Shares prior to or concurrently with the
confirmation of a transaction; and (f) trading information.
---------------------------------------------------------------------------

    \23\ The Pre-Opening Session is from 8:00 a.m. to 9:30 a.m.
Eastern Time.
    \24\ The After Hours Trading Session is from 4:00 p.m. to 5:00
p.m. Eastern Time.
---------------------------------------------------------------------------

    (5) For initial and/or continued listing, the Fund must be in
compliance with Rule 10A-3 under the Act.\25\
---------------------------------------------------------------------------

    \25\ See 17 CFR 240.10A-3.
---------------------------------------------------------------------------

    (6) The Fund may hold up to an aggregate amount of 15% of its net
assets in illiquid assets (calculated at the time of investment), as
deemed illiquid by the Adviser under the 1940 Act.
    (7) The Fund's exposure to reverse repurchase agreements will be
covered by liquid assets having a value equal to or greater than such
commitments.
    (8) Structured securities, when combined with those instruments
held as part of the Other Investments described above, will not exceed
20% of the Fund's net assets.
    (9) As it relates to exchange traded investment companies, the Fund
will only invest in investment companies that trade on markets that are
a member of the ISG or with which the Exchange has in place a
comprehensive surveillance sharing agreement.
    (10) To the extent that the Fund invests in futures contracts, the
Fund will only invest in futures contracts that are traded on an
exchange that is a member of the ISG or with which the Exchange has in
place a comprehensive surveillance sharing agreement.
    (11) A minimum of 100,000 Shares will be outstanding at the
commencement of trading on the Exchange.
    This approval order is based on all of the Exchange's
representations, including those set forth above and in the Notice. For
the foregoing reasons, the Commission finds that the proposed rule
change is consistent with Section 6(b)(5) of the Act \26\ and the rules
and regulations thereunder applicable to a national securities
exchange.
---------------------------------------------------------------------------

    \26\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Exchange Act,\27\ that the proposed rule change (SR-BATS-2014-054) is
hereby approved.
---------------------------------------------------------------------------

    \27\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\28\
---------------------------------------------------------------------------

    \28\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2015-02501 Filed 2-6-15; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 128 (Wednesday, July 3, 2013)]
[Notices]
[Pages 40135-40136]
[FR Doc No: 2013-15991]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

    Take notice that the Commission received the following electric
rate filings:
    Docket Numbers: ER10-2179-019; ER10-2181-019; ER10-2182-019.
    Applicants: Calvert Cliffs Nuclear Power Plant, LLC, Nine Mile
Point Nuclear Station, LLC, R.E. Ginna Nuclear Power Plant, LLC.
    Description: Notice of Non-Material Change in Status of Calvert
Cliffs Nuclear Power Plant, LLC, et al.
    Filed Date: 6/21/13.
    Accession Number: 20130621-5103.
    Comments Due: 5 p.m. ET 7/12/13.

    Docket Numbers: ER11-2560-000; ER11-3156-000.
    Applicants: Entergy Arkansas, Inc.
    Description: Refund Report in Docket Nos. ER11-2560 and ER11-3156
to be effective N/A.
    Filed Date: 6/21/13.
    Accession Number: 20130621-5066.
    Comments Due: 5 p.m. ET 7/12/13.

    Docket Numbers: ER13-1206-001.
    Applicants: PacifiCorp.
    Description: OATT Revised Schedules 3 and 3A Deficiency Filing to
be effective 6/1/2013.
    Filed Date: 6/20/13.
    Accession Number: 20130620-5139.
    Comments Due: 5 p.m. ET 7/11/13.

    Docket Numbers: ER13-1737-000.
    Applicants: Southwest Power Pool, Inc.
    Description: 1636R10 Kansas Electric Power Cooperative, Inc. NITSA
and NOA to be effective 6/1/2013.
    Filed Date: 6/21/13.
    Accession Number: 20130621-5039.
    Comments Due: 5 p.m. ET 7/12/13.

    Docket Numbers: ER13-1738-000.
    Applicants: Alcoa Power Generating Inc.
    Description: Market-Based Rate Tariff Revisions to be effective 6/
21/2013.
    Filed Date: 6/21/13.
    Accession Number: 20130621-5041.
    Comments Due: 5 p.m. ET 7/12/13.

    Docket Numbers: ER13-1739-000.
    Applicants: Alcoa Power Marketing LLC.
    Description: Market-Based Rate Tariff Revisions to be effective 6/
21/2013.
    Filed Date: 6/21/13.
    Accession Number: 20130621-5042.
    Comments Due: 5 p.m. ET 7/12/13.

    Docket Numbers: ER13-1740-000.
    Applicants: Wisconsin Public Service Corporation.
    Description: Revised BAOCA between WPSC and WEPCO to be effective
6/21/2013.
    Filed Date: 6/21/13.
    Accession Number: 20130621-5050.
    Comments Due: 5 p.m. ET 7/12/13.

    Docket Numbers: ER13-1741-000.
    Applicants: Upper Peninsula Power Company.
    Description: Revised BAAOCA Between UPPCO and WEPCO to be effective
6/21/2013.
    Filed Date: 6/21/13.
    Accession Number: 20130621-5054.
    Comments Due: 5 p.m. ET 7/12/13.

    Docket Numbers: ER13-1742-000.
    Applicants: New England Power Pool Participants Committee, ISO New
England Inc.
    Description: MR1 Clarifications to Full Inte. Rules for Price-Res.
Demand-Net Supply to be effective 8/21/2013.
    Filed Date: 6/21/13.
    Accession Number: 20130621-5055.
    Comments Due: 5 p.m. ET 7/12/13.

    Docket Numbers: ER13-1743-000.
    Applicants: Entergy Arkansas, Inc.
    Description: Compliance Filing in Docket Nos. ER11-2560 and ER11-
3156 to be effective 3/1/2012.
    Filed Date: 6/21/13.
    Accession Number: 20130621-5063.
    Comments Due: 5 p.m. ET 7/12/13.

    Docket Numbers: ER13-1744-000.
    Applicants: DPL Energy, LLC.
    Description: Rate Schedule No. 3 to be effective 6/21/2013.
    Filed Date: 6/21/13.
    Accession Number: 20130621-5067.
    Comments Due: 5 p.m. ET 7/12/13.

    Docket Numbers: ER13-1745-000.
    Applicants: GenOn Bowline, LLC.
    Description: Notice of Succession to be effective 6/24/2013.
    Filed Date: 6/21/13.
    Accession Number: 20130621-5070.
    Comments Due: 5 p.m. ET 7/12/13.

    Docket Numbers: ER13-1746-000.
    Applicants: GenOn Marsh Landing, LLC.
    Description: Notice of Succession to be effective 6/24/2013.
    Filed Date: 6/21/13.
    Accession Number: 20130621-5086.
    Comments Due: 5 p.m. ET 7/12/13.

    Take notice that the Commission received the following open access
transmission tariff filings:
    Docket Numbers: OA13-6-000.
    Applicants: Alcoa Power Generating Inc.
    Description: Request for Waiver of Alcoa Power Generating Inc.
    Filed Date: 6/21/13.
    Accession Number: 20130621-5094.
    Comments Due: 5 p.m. ET 7/12/13.
    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.

    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 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.
    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 21, 2013.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2013-15991 Filed 7-2-13; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 79, Number 186 (Thursday, September 25, 2014)]
[Notices]
[Page 57549]
[FR Doc No: 2014-22794]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER12-1653-005]

New York Independent System Operator, Inc.; Notice of Compliance
Filing

    Take notice that, on August 26, 2014, the New York Independent
System Operator, Inc. (NYISO) submitted a filing containing a
demonstration of how its interim market power mitigation proposal meets
the requirements of Order No. 755 \1\ and the Commission's November 6,
2012 order \2\ as a permanent market power mitigation method, to comply
with Ordering Paragraph (B) of the Commission's May 31, 2013 Order.\3\
---------------------------------------------------------------------------

    \1\ Frequency Regulation Compensation in the Organized Wholesale
Power Markets, Order No. 755, FERC Stats. & Regs. ] 31,324 (2011),
order denying reh'g, Order No. 755-A, 138 FERC ] 61,123 (2012).
    \2\ New York Independent System Operator, Inc., 141 FERC ]
61,105 (2012).
    \3\ New York Independent System Operator, Inc. 143 FERC ] 61,194
(2013).
---------------------------------------------------------------------------

    Any person desiring to intervene or to protest the foregoing
compliance portion of this filing must file in accordance with Rules
211 and 214 of the Commission's Rules of Practice and Procedure (18 CFR
385.211, 385.214). Protests will be considered by the Commission in
determining the appropriate action to be taken, but will not serve to
make protestants parties to the proceeding. Any person wishing to
become a party must file a notice of intervention or motion to
intervene, as appropriate. Such notices, motions, or protests must be
filed on or before the comment date. Anyone filing a motion to
intervene or protest must serve a copy of that document on the
Applicant and all the parties in this proceeding.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov. Persons unable to file electronically should submit an
original and 5 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street NE., Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the
``eLibrary'' link and is available for electronic review in the
Commission's Public Reference Room in Washington, DC. There is an
``eSubscription'' link on the Web site that enables subscribers to
receive email notification when a document is added to a subscribed
docket(s). For assistance with any FERC Online service, please email
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.
    Comment Date: 5:00 p.m. Eastern Time on October 9, 2014.

    Dated: September 18, 2014.
Kimberly D. Bose,
Secretary.
[FR Doc. 2014-22794 Filed 9-24-14; 8:45 am]
BILLING CODE 6717-01-P