[Federal Register: September 18, 2006 (Volume 71, Number 180)]
[Notices]
[Page 54653]
[DOCID:fr18se06-67]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Notice of Application for Non-Project Use of Project Lands and
Waters and Soliciting Comments, Motions To Intervene, and Protests

September 12, 2006.
    Take notice that the following application has been filed with the
Commission and is available for public inspection:
    a. Application Type: Non-Project Use of Project Lands and Waters.
    b. Project No.: 349-115.
    c. Date Filed: August 18, 2006.
    d. Applicant: Alabama Power Company.
    e. Name of Project: Martin Dam Hydroelectric Project.
    f. Location: The project is located on Lake Martin in Tallapoosa
County, Alabama.
    g. Filed Pursuant to: Federal Power Act, 16 U.S.C. 791(a)-825(r)
and 799 and 801.
    h. Applicant Contact: Mr. Keith E. Bryant, Senior Engineer; 600
18th Street North, Birmingham, AL 35203,<PHONE_NUMBER>.
    i. FERC Contact: Any questions on this notice should be addressed
to Isis Johnson at<PHONE_NUMBER>, or by e-mail<EMAIL_ADDRESS>    j. Deadline for filing comments and or motions: October 13, 2006.
    All documents (original and eight copies) should be filed with: Ms.
Magalie R. Salas, Secretary, Federal Energy Regulatory Commission, 888
First Street, NE., Washington, DC 20426. Please include the project
number (P-349-115) on any comments or motions filed. Comments,
protests, and interventions may be filed electronically via the
internet in lieu of paper. See, 18 CFR 385.2001(a)(1)(iii) and the
instructions on the Commission's Web site under the ``e-Filing'' link.
The Commission strongly encourages e-filings.
    k. Description of Request: Alabama Power Company, licensee for the
Martin Dam Hydroelectric Project, has requested Commission approval to
permit The Pointe at Sunset Point LLC to install 30 stationary boat
slips, as well as a separate stationary wooden pier and platform. These
facilities are intended for use by the residents of condominiums that
are located outside the project boundary on adjoining lands. These
facilities would be located on the north side of Blue Creek,
approximately eight stream miles above Martin Dam. Existing structures
within the project boundary at the proposed development site include
ten stationary wooden boat slips and a seawall that protects 974 feet
of shoreline. These structures were previously permitted by the
licensee. A commercial marina, Harbor Pointe, is also located within
one mile of The Pointe at Sunset Point.
    l. Location of the Application: This filing is available for review
at the Commission 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 at
<EMAIL_ADDRESS>or toll-free at<PHONE_NUMBER>, or for TTY,

contact<PHONE_NUMBER>.
    m. Individuals desiring to be included on the Commission's mailing
list should so indicate by writing to the Secretary of the Commission.
    n. Comments, Protests, or Motions to Intervene--Anyone may submit
comments, a protest, or a motion to intervene in accordance with the
requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211,
.214. In determining the appropriate action to take, the Commission
will consider all protests or other comments filed, but only those who
file a motion to intervene in accordance with the Commission's Rules
may become a party to the proceeding. Any comments, protests, or
motions to intervene must be received on or before the specified
comment date for the particular application.
    o. Filing and Service of Responsive Documents--Any filings must
bear in all capital letters the title ``Comments'', ``Recommendations
for Terms and Conditions'', ``Protest'', or ``Motion to Intervene'', as
applicable, and the Project Number of the particular application to
which the filing refers. A copy of any motion to intervene must also be
served upon each representative of the Applicant specified in the
particular application.
    p. Agency Comments--Federal, state, and local agencies are invited
to file comments on the described applications. A copy of the
applications may be obtained by agencies directly from the Applicant.
If an agency does not file comments within the time specified for
filing comments, it will be presumed to have no comments. One copy of
an agency's comments must also be sent to the Applicant's
representatives.

Magalie R. Salas,
Secretary.
 [FR Doc. E6-15428 Filed 9-15-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 81, Number 159 (Wednesday, August 17, 2016)]
[Notices]
[Pages 54858-54867]
[FR Doc No: 2016-19580]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-78549; File No. SR-FINRA-2016-029]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing of a Proposed Rule Change Amending
the Code of Arbitration Procedure for Customer Disputes and the Code of
Arbitration Procedure for Industry Disputes to Require All Parties
Other Than Pro Se Customers To File and Serve Pleadings and Documents
Through the FINRA Office of Dispute Resolution's Party Portal and To
Permit Mediation Parties To Use the Portal

August 11, 2016.
    Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934
(``Exchange Act'' or ``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice
is hereby given that on July 27, 2016, Financial Industry Regulatory
Authority, Inc. (``FINRA'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as described in
Items I, II, and III below, which Items have been prepared by FINRA.
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

    FINRA is proposing to amend the Code of Arbitration Procedure for
Customer Disputes (``Customer Code'') and the Code of Arbitration
Procedure for Industry Disputes (``Industry Code'' and, together with
the Customer Code, ``Codes''), to require all parties, except customers
who are not represented by an attorney or other person (``pro se
customers''), to use the FINRA Office of Dispute Resolution's Party
Portal (``Party Portal'') to file initial statements of claim and to
file and serve pleadings and other documents on FINRA or any other
party. Under the proposed rule change, FINRA would require parties to
use the Party Portal to file and serve correspondence relating to
discovery requests, but would not permit parties to file documents
produced in response to discovery requests through the Party Portal.
FINRA is also proposing to amend the Code of Mediation Procedure
(``Mediation Code'') to permit mediation parties to agree to use the
Party Portal to submit and retrieve all documents and other
communications. In addition, FINRA is revising other provisions in the
Codes to conform to existing practice.
    The text of the proposed rule change is available on FINRA's Web
site at http://www.finra.org, at the principal office of FINRA 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, 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
Background
    In 2004, FINRA implemented an online, web-based arbitration claim
notification and filing system that allowed a claimant \3\ or
claimant's counsel to file voluntarily an arbitration claim through
that system (``online claim filing system'').\4\ Currently, the Codes
allow a claimant to file a claim \5\ either in hard copy or by using
the online claim filing system.\6\ The online claim filing system
allows a claimant to complete forms, submit documents, and pay filing
fees online. Some of the benefits of using the online claim filing
system are that claims are filed and processed more quickly, and the
burden of using hard-copy documents by parties and staff is
significantly reduced.
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    \3\ See Rules 12100(e) and 13100(e). The term ``claimant'' means
a party that files the statement of claim that initiates an
arbitration proceeding.
    \4\ See Notice to Members 04-56.
    \5\ See Rules 12302(a) and 13302(a).
    \6\ See FINRA, Arbitration Online Claim Filing, available at
http://www.finra.org/arbitration-and-mediation/online-claim-filing.
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    In June 2013, FINRA introduced a separate secure, online service
called the Dispute Resolution Portal (``DR Portal'') to facilitate
interactions among parties, arbitrators, mediators, and FINRA staff on
arbitration case-related matters. As further discussed below, the DR
Portal includes both a Party Portal and an Arbitrator and Mediator
Portal. The Party Portal uses an invitation/registration process that
provides a secure way to send and receive arbitration and mediation
case documents. As soon as a party notifies FINRA of the name of the
person who should be given access to the arbitration or mediation case
file (typically the party's representative), FINRA sends an email to
the named person with an invitation to register on the Party Portal via
a personalized Web address link that provides complete access to the
specified case. This invitation/registration process ensures that FINRA
maintains a case specific level of security and access within the Party
Portal. Once registered, the representative can provide other
individuals (such as legal assistants and co-counsel) with access to
appropriate cases on the Party Portal.
    FINRA initially opened the Party Portal to a small number of firms
to gain experience with the technology and to incorporate user
feedback. Over time, FINRA expanded access to the Party Portal, and as
of July 20, 2015, FINRA allowed all parties to use the Party Portal
voluntarily in all arbitration and mediation cases filed as of that
date. Through the Party Portal, parties can, among other things,
receive documents from and send documents to FINRA, receive service \7\
of a claim, submit an answer to a claim, submit additional case
documents, view the status of a case, and select arbitrators.
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    \7\ Service is the process of delivering a pleading (e.g., the
statement of claim or answer) or other documents to the opposing
party.
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    FINRA staff solicited feedback and received suggestions from users
on how to enhance the Party Portal's functionality. Through a series of
quarterly releases, FINRA has upgraded the Party Portal to allow
parties to, among other things, schedule hearings, receive automated
messages when new documents are posted, see an indication of received
documents not yet viewed, and send documents to other Party Portal case
participants. FINRA received positive feedback on the Party Portal from
parties who used the system voluntarily. In light of the positive user
feedback and the various enhancements

that FINRA has made to the system since implementing the Party Portal,
FINRA believes that it would be appropriate to require parties, with
limited exceptions, to use the Party Portal on a mandatory basis.
    The Arbitrator and Mediator Portal is open to all FINRA arbitrators
and mediators to use on a voluntary basis. In this Portal, arbitrators
and mediators can view and update their profile and disclosure
information, access information about their assigned cases, schedule
hearing dates, and view case documents. FINRA has encouraged
arbitrators and mediators to register to use the Arbitrator and
Mediator Portal because it enhances efficiencies at the forum.
Currently, 74 percent of arbitrators and 85 percent of mediators
available to serve on cases have registered to use the Arbitrator and
Mediator Portal.
Proposed Rule Change
    FINRA is proposing to require parties to use the Party Portal to
submit documents and view their arbitration case information and
documents in most instances. There would be an exception for pro se
customers.\8\ FINRA would invite pro se customers to use the Party
Portal, but would not require them to do so. However, if a pro se
customer files a claim using the Party Portal, then FINRA would require
the customer to use the Party Portal for the duration of the
arbitration process.
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    \8\ FINRA would define pro se in the Customer Code as a party
that is not represented by an attorney or others during an
arbitration or mediation. FINRA would not define pro se in the
Industry Code. Under the proposed rule change, FINRA would not
exempt pro se parties from the requirement under the Industry Code
to submit documents through the Party Portal.
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    FINRA would require parties to use the Party Portal to file and
serve correspondence relating to discovery requests, but would not
permit parties to file documents produced in response to discovery
requests through the Party Portal. FINRA believes that maintaining the
correspondence in the Party Portal makes sense because it is part of
the case record. However, depending on the subject of a case, discovery
production can be voluminous, and FINRA does not believe it would be
efficient for the Party Portal to be used as the receptacle for
parties' exchanged discovery. This approach is consistent with our
current practice.
    Finally, under the proposed rule change, since mediation is
voluntary in all instances, FINRA would permit parties to a mediation
proceeding to use the Party Portal on a voluntary basis to submit and
view their mediation case information and documents.
    FINRA is proposing to amend each of the rules in the Codes affected
by required use of the Party Portal. The changes would update the rule
language to reflect how parties comply with the Codes through use of
the Party Portal. FINRA Rules 12300 and 13300 describe how parties file
pleadings \9\ and documents with FINRA and serve pleadings and
documents on other parties through the Party Portal. The terms ``file''
and ``serve''--terms associated with use of the Party Portal--are used
throughout the Codes. Under the proposed rule change, when a party
submits pleadings or documents through the Party Portal, the party has
accomplished both filing with the Director \10\ and, in most instances,
service on all other parties and the arbitrators.\11\ Therefore, in
most of the proposed rule amendments, FINRA would delete references to
parties filing pleadings and documents with the Director at the same
time as on other parties, and providing copies for arbitrators.
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    \9\ FINRA Rule 12100 defines a pleading as ``a statement
describing a party's causes of action or defense. Documents that are
considered pleadings are: a statement of claim, an answer, a
counterclaim, a cross claim, a third party claim, and any replies.''
    \10\ The Director refers to the FINRA Office of Dispute
Resolution Director as described in FINRA Rule 12103 (Director of
Dispute Resolution).
    \11\ For example, FINRA Rule 12304 (Answering Counterclaims)
currently provides that a claimant must directly serve any answer to
a counterclaim on each other party and at the same time must file
the answer to the counterclaim with the Director with additional
copies for the arbitrator. Under the proposed rule change, as
described further in the discussion, once the claimant submits the
answer through the Party Portal, the claimant has also filed the
answer with the Director.
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    For reader convenience, the discussion below only details the
proposed changes to the FINRA rules in the Customer Code. However,
FINRA is proposing to make substantively similar amendments to the
Industry Code. The primary difference between the proposed amendments
to the Customer Code and the Industry Code is that the Customer Code
provides an exemption from required use of the Party Portal for pro se
customers. The Industry Code would not provide an exemption for any
party.
    As a result of the proposed rule change, FINRA would need to update
several cross-references in the Codes. The proposed updates are noted
as applicable. In addition, forum users have indicated that for ease of
citation, they would prefer that FINRA use numbers and letters instead
of bullets. Therefore, FINRA is proposing to replace bullets with
numbers or letters in each of the rules affected by the proposed rule
change. The proposed replacements are noted where applicable.
    In addition to changes in the Codes, FINRA is proposing to amend
the Mediation Code to permit parties to agree to use the Party Portal
to submit and retrieve all documents and other communications and to
view mediation case information. The proposed amendments are discussed
below.
Customer Code
FINRA Rule 12100--Definitions
    FINRA is proposing to amend FINRA Rule 12100 to add new definitions
and to amend several definitions in the Customer Code relating to the
required use of the Party Portal.
    Arbitrator and Mediator Portal--FINRA is proposing to add a new
definition to the rule to define ``Arbitrator and Mediator Portal'' as
the web-based system that allows invited arbitrators and mediators to
access a secure section of FINRA's Web site to submit documents and
information and to view their arbitration and mediation case
information and documents.\12\
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    \12\ See proposed FINRA Rule 12100(a).
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    Claim Notification Letter--FINRA is proposing to add a new
definition to the rule to define ``Claim Notification Letter'' as the
notice that FINRA would send respondents indicating that they have been
named as a party in a statement of claim.\13\ The new definition would
specify that the Claim Notification Letter will provide information
about accessing the Party Portal to obtain a copy of the statement of
claim filed by the claimants and information about the arbitration,
including the hearing location selected by the Director and the
deadline for filing a statement of answer.
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    \13\ See proposed FINRA Rule 12100(f).
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    Day--In the current rule, FINRA defines the term ``day'' as a
calendar day.\14\ The definition provides that if a deadline specified
in the Code falls on a Saturday, Sunday or any FINRA holiday, the
deadline is extended until the next business day. Under the proposed
rule change, other than the statement of claim, which FINRA serves upon
all respondents, parties will be able to serve documents on each other
through the Party Portal on any day and at any time. Service would
occur immediately after FINRA receives a document, regardless of the
day or time of receipt. If, for example, a party submits a document on
a Saturday, the Party Portal will immediately transmit

the documents to the appropriate parties on that day. Certain deadlines
in the Code are triggered by a party's receipt of a pleading.\15\ FINRA
does not believe it would be appropriate to trigger a deadline based on
an opposing party's weekend use of the Party Portal. Therefore, FINRA
is proposing to amend the definition of ``day'' to clarify that if a
party receives pleadings or other documents on a Saturday, Sunday or
any FINRA holiday, the date of receipt shall be the next business day.
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    \14\ See FINRA Rule 12100(j).
    \15\ See FINRA Rules 12304 and 12305 for examples of deadlines
triggered by receipt of a pleading.
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    Non-Public Arbitrator--FINRA is proposing to amend the definition
of non-public arbitrator \16\ to update cross-references in the rule.
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    \16\ See proposed FINRA Rule 12100(r).
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    Party Portal--FINRA is proposing to add a new definition to the
rule to define ``Party Portal'' as the web-based system that is
accessible by arbitration and mediation parties and their
representatives. The Party Portal allows invited participants to access
a secure section of FINRA's Web site to submit documents and view their
arbitration and mediation case information and documents.\17\
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    \17\ See proposed FINRA Rule 12100(t).
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    Pro Se--FINRA is proposing to add a new definition to the rule to
define ``Pro Se'' to mean a party that is not represented by an
attorney or others during an arbitration or mediation.\18\
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    \18\ See proposed FINRA Rule 12100(x). FINRA does not define pro
se in the Industry Code since there would not be an exemption for
any pro se parties in intra-industry disputes.
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    Public Arbitrator--FINRA is proposing to amend the definition of
Public Arbitrator \19\ to update cross-references in the rule.
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    \19\ See proposed FINRA Rule 12100(y).
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    Finally, FINRA would reletter the definitions to reflect the
addition of the new terms.
FINRA Rule 12211--Direct Communication Between Parties and Arbitrators
    Subject to specified limitations, FINRA allows parties that are
represented by counsel to communicate directly with arbitrators during
an arbitration proceeding. FINRA Rule 12211, which outlines the
procedures that parties and arbitrators must follow when they agree to
direct communication, currently indicates that parties may send items
by regular mail, overnight courier, facsimile, or email. Under the
proposed rule change, since parties would be required to use the Party
Portal for transmitting documents to each other, and would continue to
use other methods to send items to the arbitrators, FINRA is proposing
to: (1) Amend FINRA Rule 12211(e) to specify that parties are allowed
to send items to the arbitrators by first-class mail, overnight mail
service, overnight delivery service, hand delivery, email, or facsimile
as specified in an order issued by the arbitrators; (2) amend Rule
12211(f) to delete the requirement that the parties send copies of the
materials they sent to the arbitrators to each other and the Director
at the same time and in the same manner, requiring instead that they
serve the materials on each other and filed with the Director through
the Party Portal; and (3) amend Rule 12211(g) to clarify that parties
must file copies of arbitrator orders and decisions with the Director
through the Party Portal.
    Rule 12211(b) provides that if at some point during an arbitration
a party chooses to appear pro se, which the rule defines in a
parenthetical as meaning ``without counsel,'' then the rule no longer
applies. As stated above, FINRA is proposing to amend Rule 12100 to
define pro se to mean a party that is not represented by an attorney or
others during an arbitration or mediation. The new definition of pro se
in Rule 12100 is inconsistent with the current definition in Rule
12211. Therefore, FINRA is proposing to amend Rule 12211(b) to delete
the reference to ``pro se.'' Instead, the rule would provide that if a
party chooses to appear without counsel, then the rule would no longer
apply.\20\
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    \20\ FINRA is proposing to amend FINRA Rule 13211 to remove the
reference to pro se in the rule. Although FINRA is not proposing to
define pro se in the Industry Code, FINRA believes the amendment
would add clarity to the rule and avoid forum user confusion since
FINRA is proposing to define pro se in the Customer Code.
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FINRA Rule 12300--Filing and Serving Documents
    FINRA is proposing to delete the content in FINRA Rule 12300
(Filing and Serving Documents) in its entirety and replace it with new
language which describes how filing and service, among other things,
would operate when FINRA requires parties to use the Party Portal.
    Party Portal--New Rule 12300(a)(1) would provide that parties must
use the Party Portal to file initial statements of claim and to file
and serve pleadings and any other documents on the Director or any
other party. The rule would also provide that the Director may exercise
authority to permit the use of other means of filing or service in the
case of an extended Party Portal outage or in other extraordinary
circumstances.\21\
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    \21\ An example of an extraordinary circumstance would be a
severe weather event that caused an extended power outage.
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    Rule 12300(a)(2) would provide an exemption for pro se customers
and would outline the procedures for pro se customers who do not wish
to use the Party Portal. While a pro se customer would not be required
to take any affirmative steps to opt out of using the Party Portal, if
a pro se customer files a claim using the Party Portal, then the pro se
customer must use the Party Portal for the duration of the arbitration
process. The Party Portal would include a warning to pro se customers
that if they file their claim using the online filing facility, they
will be required to use the Party Portal for the remainder of the
arbitration proceeding.
    Concerning pro se customers who opt out of using the Party Portal,
Rule 12300(a) would provide that they: (1) May file claims and serve
documents by first-class mail, overnight mail service, overnight
delivery service, hand delivery, email or facsimile; (2) must comply
with the provisions relating to filing an initial statement of claim
outlined in FINRA Rule 12302 (Filing an Initial Statement of Claim);
and (3) must provide proof of service for any documents served outside
of the Party Portal (except for the initial statement of claim because
the Director will serve the Claim Notification Letter or initial
statement of claim on the respondents).
    FINRA does not want parties to use the Party Portal to submit
documents they produce during discovery. Therefore, FINRA is proposing
to provide in Rule 12300(a)(3) that parties shall not file with FINRA
or serve on any other party, through the Party Portal, documents
produced during discovery pursuant to the Rule 12500 Series. Available
service methods for such documents are first-class mail, overnight mail
service, overnight delivery service, hand delivery, email, or
facsimile. This approach is consistent with our current practice.
    Filing--New Rule 12300(b) would provide that with the exception of
pro se customers who opt out of using the Party Portal, parties must
file initial statements of claim and all pleadings and other documents
with the Director through the Party Portal. This includes pleadings and
documents served on pro se customers and other parties by other means.
The rule would provide that parties must file with the Director any
written responses relating to discovery requests under Rules 12506 and
12507, but must not file any of the documents

produced in response to discovery requests as provided in Rule
12300(a)(3).
    The rule would also provide that parties must file arbitrator
ranking lists \22\ through the Party Portal, and that filing is
accomplished on the day of submission through the Party Portal. Filing
by first-class mail or overnight mail is accomplished on the date of
mailing, and filing by any other means is accomplished on the date of
delivery as is provided in the current rules.
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    \22\ See FINRA Rules 12402(d) and 12403(c).
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    Service--New Rule 12300(c) would provide that the Director will
serve the Claim Notification Letter or initial statement of claim on
the respondents. In practice, this means that as a first step FINRA
would serve only the Claim Notification Letter on respondents that are
not identified as customers. If a respondent does not access the Party
Portal and view the statement of claim, FINRA would contact the
respondent and ask if they received the Claim Notification Letter. If
the respondent indicates that they did not receive the letter, FINRA
staff would offer to serve the statement of claim in another manner
such as by email or regular mail to afford the respondent an additional
opportunity to receive the statement of claim and instructions on how
to access the Party Portal.
    Concerning customers, upon receipt of an initial statement of
claim, where a customer is a claimant, FINRA would know if the customer
is represented by counsel or another person. However, where a customer
is a respondent, FINRA would not know if the customer intends to be
represented by counsel or any other individual. Therefore, FINRA would
serve all customer respondents with the initial statement of claim
along with the Claim Notification Letter explaining that parties other
than pro se customers are required to use the Party Portal, and that
pro se customers are invited to use the Party Portal.
    The Claim Notification Letter would specify that except for pro se
customers who opt out of using the Party Portal, parties must serve all
pleadings and other documents, except as provided in Rule 12300(a)(3)
relating to documents produced in discovery, through the Party Portal.
It would explain that parties serve pro se parties who opt out of using
the Party Portal by first-class mail, overnight mail service, overnight
delivery service, hand delivery, email or facsimile. Under the rule,
service would be accomplished on the day of submission through the
Party Portal, on the date of mailing by first-class mail or overnight
mail service,\23\ and on the date of delivery by other means. Finally,
for documents not served through the Party Portal, parties must provide
proof of service to the Director through the Party Portal.
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    \23\ ``Overnight mail'' service includes, for example, overnight
delivery by Federal Express. Common methods parties use at the forum
for overnight mail delivery include Federal Express, United Parcel
Service, and United States Postal Service. ``Other means'' includes,
for example, hand delivery.
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    General Rules--FINRA is proposing to incorporate into proposed Rule
12300(d)(1)(A), the current provision in Rule 12300(g)(1) concerning
the redaction of personal confidential information. The current
provision in Rule 12300(g)(2) specifying that the redaction
requirements do not apply to documents that parties exchange with each
other and do not file with the Director, or to documents parties submit
to a panel at a hearing would be renumbered as Rule 12300(d)(1)(B). The
current provision in Rule 12300(g)(3) providing that the redaction
requirements do not apply to Simplified Arbitrations would be
renumbered as Rule 12300(d)(1)(C).
    Finally, new Rule 12300(d)(2) would provide that a party must serve
any change of email or mailing address during an arbitration on all
other parties and file this information with the Director. The former
rule referred only to ``address'' changes.
FINRA Rule 12301--Service on Associated Persons
    FINRA is proposing to amend FINRA Rule 12301 relating to service on
associated persons to delete the reference to the Director serving the
initial statement of claim on a respondent associated person. As
explained above, under the proposed rule change, associated persons who
are parties to an arbitration would be required to use the Party
Portal. Therefore, FINRA would serve an associated person with a Claim
Notification Letter instead of a statement of claim.
    In practice, FINRA staff will know if an associated person did not
access the Party Portal to view the statement of claim. In such an
instance, FINRA would contact the associated person and ask if he or
she received the Claim Notification Letter. If the associated person
indicates that he or she did not receive the letter, FINRA staff would
offer to serve the statement of claim in another manner such as by
email or regular mail to afford the respondent an additional
opportunity to receive the statement of claim and instructions on how
to access the Party Portal.
    If a member and an associated person who is currently associated
with the member are named as respondents in the same arbitration, and
the Director cannot complete service directly on the associated person
as described above, then the proposed rule would provide that the
Director may serve the member with the Claim Notification Letter on
behalf of the associated person.
12302--Filing and Serving an Initial Statement of Claim
    FINRA is proposing to amend FINRA Rule 12302 to reflect how: (1)
Parties would file an initial statement of claim; (2) parties would
submit required fees; and (3) FINRA would serve the initial statement
of claim through the Party Portal.
    Filing--Since most parties would be required to file an initial
statement of claim through the Party Portal as provided in Rule
12300(a), FINRA is proposing to amend Rule 12302(a) to delete the
reference to filing documents in hard copy or electronically through
the Online Arbitration Claim Filing system. FINRA is also proposing to
amend Rule 12302(b) to delete the instruction to parties to file enough
copies for the Director, each arbitrator and each other party. Once a
party files the initial statement of claim through the Party Portal,
FINRA staff would handle service through the Party Portal or Arbitrator
and Mediator Portal as applicable. If FINRA needs to provide copies of
the documents in another manner, e.g., because a pro se customer has
opted out of using the Party Portal, or an arbitrator is not using the
Arbitrator and Mediator Portal, then FINRA staff would handle
reproduction and distribution of the documents.
    Fees--FINRA is proposing to amend Rule 12302(c) to require the
claimant to pay all required filing fees by credit card or automated
clearing house (``ACH'') through the Party Portal unless the party is a
pro se customer who opts out of using the Party Portal. These payment
options are currently available to forum users and requiring payment
through the Party Portal would make case administration more efficient.
FINRA staff would know immediately if a filing was deficient for lack
of payment and would not have to ensure that checks that parties submit
separately, by U.S. mail or other method, are correctly matched up to
statements of claim submitted through the Party Portal.
    Service--Currently, Rule 12301(d) provides that unless the
statement of claim is deficient, FINRA will send a copy of the
Submission Agreement, the

statement of claim, and any additional materials the claimant submits,
to the other parties and the arbitrators. FINRA is proposing to amend
the rule to specify how staff would serve each subset of participants
in the arbitration case. Specifically, FINRA would:
     Send the Claim Notification Letter to all non-customer
respondent(s) pursuant to Rule 12302; and
     Send the Claim Notification Letter along with a copy of
the Submission Agreement, the statement of claim, and any additional
materials filed by the claimant, to each customer respondent. The
Director would inform the customer that if the customer is pro se, the
customer is not required to use the Party Portal; and
     Send a copy of the Submission Agreement, the statement of
claim, and any additional materials filed by the claimant to each
arbitrator by first-class mail, overnight mail service, overnight
delivery service, hand delivery, email, facsimile or through the
Arbitrator and Mediator Portal, once the panel has been appointed.
    Additional conforming changes--FINRA would amend the title of Rule
12302 to add a reference to ``Service'' since the rule addresses both
filing and service of the initial statement of claim. FINRA is
proposing to reletter the rule and to replace the bullets in Rule
12302(a) with numbers.
12303--Answering the Statement of Claim
    FINRA is proposing to amend FINRA Rule 12303 to reflect how
respondents would answer a statement of claim using the Party Portal.
    Since most parties would be required to serve each other through
the Party Portal, FINRA would eliminate the instruction in Rule
12303(a) for parties to ``directly'' serve each other with the executed
Submission Agreement and answer. FINRA would amend Rule 12303(b) to
provide that if an answer contains a third party claim,\24\ a
respondent must serve the third party with the answer containing the
third party claim and all documents previously served by any party, or
sent to the parties by the Director, by first-class mail, overnight
mail service, overnight delivery service, hand delivery, email or
facsimile, and must file proof of service with the Director through the
Party Portal. The respondent must file the third party claim with the
Director through the Party Portal except as provided in Rule
12300(a)(2). In addition, since parties would file their Submission
Agreement and answer through the Party Portal, FINRA would amend Rule
12303(c) to delete the instruction for a party to file sufficient
copies for the Director and arbitrators. Finally, FINRA is proposing to
replace the bullets in Rule 12303(a) with numbers.
---------------------------------------------------------------------------

    \24\ See current Rule 12100(y), which defines ``Third Party
Claim'' to mean a claim asserted against a party not already named
in the statement of claim or any other previous pleading.
---------------------------------------------------------------------------

12304--Answering Counterclaims
    FINRA is proposing to amend FINRA Rule 12304(a) relating to
answering counterclaims to eliminate the instruction for parties to
``directly'' serve each other with the answer to a counterclaim, as
well as the requirement to file sufficient copies for the Director and
arbitrators.
12305--Answering Cross Claims
    As with answering counterclaims, FINRA is proposing to amend FINRA
Rule 12305(a) relating to answering cross claims to eliminate the
instruction for parties to ``directly'' serve each other with the
answer to a cross claim, as well as the requirement to file sufficient
copies for the Director and arbitrators because filing instructions
would be covered by proposed Rule 12300.
12306--Answering Third Party Claims
    FINRA is proposing to amend FINRA Rule 12306 to reflect how FINRA
would handle a third party claim in the Party Portal.
    As explained in the above discussion on Rule 12303, if a
respondent's answer contains a third party claim, the respondent serves
the third party with the claim and all documents previously served by
the parties or filed with FINRA outside of the Party Portal. Once FINRA
is notified of the third party claim, FINRA can invite the third party
to use the Party Portal.
    Since most parties would be using the Party Portal, FINRA would
eliminate the instruction in Rule 12306(a) for parties to ``directly''
serve each other with the executed Submission Agreement and answer.
Similarly, FINRA would amend Rule 12306(b) to provide that if an answer
to a third party claim also contains a third party claim, a respondent
would be required serve the third party with the answer containing the
third party claim and all documents previously served by any party, or
sent to the parties by the Director, by first-class mail, overnight
mail service, overnight delivery service, hand delivery, email or
facsimile, and must file proof of service with the Director through the
Party Portal. In addition, since parties would file their Submission
Agreement and answer through the Party Portal, FINRA would amend Rule
12306(c) to delete the instruction for a party to file sufficient
copies for the Director and arbitrators. Finally, FINRA is proposing to
replace the bullets in Rule 12306(a) with numbers.
12307--Deficient Claims
    The Customer Code provides that the Director will not serve any
claim that is deficient. FINRA Rule 12307(a) sets forth various reasons
that a claim might be deficient. FINRA is proposing to amend Rule
12307(a) to delete a deficiency that would not be applicable in the
Party Portal--that claimant did not file the correct number of copies
of the Submission Agreement, statement of claim or supporting documents
for service on respondents and for the arbitrators. FINRA is also
proposing to amend the rule relating to the deficiency concerning a
failure to specify the customer's home address at the time of the
events giving rise to the dispute. FINRA would replace home address
with ``city and state,'' to conform to the current practice.\25\
---------------------------------------------------------------------------

    \25\ Industry Code Rule 13307 differs from the Customer Code
rule because there is no reference to a customer's home address.
---------------------------------------------------------------------------

    FINRA is also proposing to replace the bullets in Rule 12307(a)
with numbers and to correct cross-references in the Rule.
12309--Amending Pleadings
    FINRA Rule 12309 specifies procedures for parties to amend
pleadings. Rule 12309(a) applies to amendments made to a statement of
claim or any other pleading before FINRA appoints a panel of
arbitrators. Rule 12309(c) applies to amendments made to add a party to
the case once the ranked arbitrator lists are due to the Director. In
both sections, FINRA is proposing to amend the rule to reflect how
amendments operate in the Party Portal.
    As stated above, Rule 12309(a) describes how parties amend
pleadings before FINRA appoints a panel. FINRA is proposing to amend
Rule 12309(a) to clarify that panel appointment occurs when the
Director sends notice to the parties of the names of the arbitrators on
the panel.
    FINRA would amend Rule 12309(a)(1) to eliminate the requirement for
parties to file sufficient copies of an amended pleading for the
arbitrators and other parties, and to provide that the Director will
serve either the Claim Notification Letter, or the amended statement of
claim, as applicable, under Rules 12300 and 12301. The rule would also
provide

that if an amended pleading adds a party to the arbitration, the party
amending the pleading must serve the new party with the amended
pleading and all documents previously served by any party, or sent to
the parties by the Director, by first-class mail, overnight mail
service, overnight delivery service, hand delivery, email or facsimile,
and must file proof of service with the Director through the Party
Portal. The party amending the pleading must file the amended pleading
with the Director through the Party Portal except as provided in Rule
12300(a)(2).
    Rule 12309(c) explains that after ranked arbitrator lists are due
to the Director, parties may not amend the pleadings to add new parties
until FINRA appoints a panel and the panel grants a motion to add a new
party. Motions to add a party after panel appointment must be served on
all parties, including the party that is the subject of the motion. The
process for serving the new party under Rule 12309(c) is the same as it
is in Rule 12309(a). FINRA is proposing to amend Rule 12309(c) to
provide that the party seeking to amend the pleading to add a party may
serve the party to be added by first-class mail, overnight mail
service, overnight delivery service, hand delivery, email or facsimile.
Service by first-class mail or overnight mail service would be
accomplished on the date of mailing. Service by any other means would
be accomplished on the date of delivery. FINRA would permit the party
to be added to file a response with the Director and serve the response
on all other parties by first-class mail, overnight mail service,
overnight delivery service, hand delivery, email or facsimile. Since
the arbitrators may ultimately decline the motion to add a new party,
FINRA believes it makes sense to allow service by methods other than
the Party Portal while the arbitrators consider the motion.\26\
---------------------------------------------------------------------------

    \26\ FINRA Rule 13309(c) in the Industry Code contains an
erroneous cross-reference to Rule 13404(c). FINRA is proposing to
amend Rule 13309(c) to refer to Rule 13404(d) which relates to the
time frame when ranked lists are due.
---------------------------------------------------------------------------

12310--Answering Amended Claims
    FINRA Rule 12310 describes how parties answer amended claims. Rule
12310(b) provides that if a claim is amended after it has been
answered, but before a panel has been appointed, the respondent has 20
days from ``the time the amended claim is served'' to serve an amended
answer. Since parties would be serving each other through the Party
Portal, FINRA is proposing to amend Rule 12310(b) to delete the phrase
``the time the amended claim is served'' to provide instead that the
respondent has 20 days from ``receipt of the amended claim'' to serve
an amended answer. FINRA uses time of receipt in the rules relating to
parties' time to respond to answers, among other matters, and believes
consistent language would add clarity to the rule.\27\
---------------------------------------------------------------------------

    \27\ See FINRA Rules 12303 (Answering the Statement of Claim),
12304 (Answering Counterclaims), 12305 (Answering Cross Claims), and
12306 (Answering Third Party Claims).
---------------------------------------------------------------------------

    FINRA is also proposing to amend Rule 12310(d) relating to serving
an amended answer to delete the reference to ``directly'' serving each
other party, and providing copies of the pleading for the arbitrators.
    Finally, FINRA is proposing to add clarity to Rule 12310(e)
concerning when a new party's answer is due, by stating that the new
party's ``time to'' answer is governed by Rules 12303 or Rule 12306
(which include a 45 day period for answers).
12400--Neutral List Selection System and Arbitrator Rosters
    FINRA is proposing to amend FINRA Rule 12400(b) relating to its
arbitrator rosters and Rule 12400(c) concerning eligibility for
chairperson roster to update cross-references and replace bullets with
numbers.
12402--Cases With One Arbitrator and 12403--Cases With Three
Arbitrators
    FINRA is proposing to amend FINRA Rules 12402(d)(3) and 12403(c)(3)
concerning striking and ranking arbitrators to provide that parties
must complete arbitrator ranking through the Party Portal unless a
party is a pro se customer who opted out of using the Party Portal. The
rule would list the approved methods for pro se customers to return
ranked lists. FINRA is also proposing to amend to Rule 12402(e) to
replace bullets with numbers.\28\
---------------------------------------------------------------------------

    \28\ The Industry Code rules relating to arbitrator appointment,
while substantially similar to the Customer Code rules, are not
identical to the Customer Code and are numbered differently. FINRA
is proposing to amend FINRA Rule 13404(d) concerning striking and
ranking arbitrators, to provide that parties must complete
arbitrator ranking through the Party Portal. FINRA is proposing to
amend FINRA Rule 13406 relating to appointment of arbitrators to
update a cross-reference and to replace bullets with letters. FINRA
is also proposing to amend FINRA Rule 13411 concerning replacing
arbitrators to update a cross-reference.
---------------------------------------------------------------------------

12404--Additional Parties
    FINRA Rule 12404 describes procedures for newly added parties to
rank and strike arbitrators. FINRA is proposing to amend Rule 12404(a)
to reflect that since parties would complete the ranking and striking
process in the Party Portal, they would no longer ``return'' lists to
the Director. FINRA would also amend this provision to correct a
typographical error by adding ``(s)'' to the term ``list'' in the
paragraph's last sentence because in cases with three arbitrators,
parties return three lists of arbitrators, not just one.
    Rule 12404(b) explains that after ranked arbitrator lists are due
to the Director, parties may not amend pleadings to add new parties
until FINRA appoints a panel and the panel grants a motion to add a new
party. Motions to add a party must be served on all parties. FINRA is
proposing to amend Rule 12404(b) to provide that the party seeking to
amend the pleading must serve the party to be added by first-class
mail, overnight mail service, overnight delivery service, hand
delivery, email or facsimile. Service by first-class mail or overnight
mail service would be accomplished on the date of mailing. Service by
any other means would be accomplished on the date of delivery. FINRA
would permit the party to be added to file a response with the Director
and serve the response on all other parties by first-class mail,
overnight mail service, overnight delivery service, hand delivery,
email or facsimile. Since the arbitrators may ultimately decline the
motion to add a new party, FINRA believes it makes sense to allow
service by methods other than the Party Portal while the arbitrators
consider the motion.
12500--Initial Prehearing Conference
    FINRA Rule 12500(c) describes the subject matter of the initial
prehearing conference and provides that parties may forgo the
conference if they provide certain information (as described in
accompanying bullets) in writing to the Director. FINRA is proposing to
amend the rule to delete the requirement that parties provide copies of
the written submission for the arbitrators. FINRA is also proposing to
replace the bullets with numbers.
12502--Recording Prehearing Conferences and 12606--Record of
Proceedings
    FINRA Rule 12502 provides that FINRA does not record prehearing
conferences unless the panel orders a recording, and FINRA Rule
12606(a) specifies that FINRA records hearings. Both rules provide that
the Director will provide copies of a tape, digital, or other recording
to parties for a nominal fee. FINRA is proposing to amend the rules to
delete the reference to a fee because FINRA currently provides parties
with copies of recordings free of charge. Rule

12606(a) also provides that the panel may order parties to provide a
transcription of the recording. FINRA is proposing to amend Rule
12606(a) to clarify that if the arbitrators order the parties to
provide a transcript, the parties must provide copies for the
arbitrators and must file the transcript with the Director and serve it
on the other parties. Rule 12606(b) provides that parties may make
stenographic records of a hearing. FINRA is proposing to amend Rule
12606(b) to clarify that if the stenographic record is the official
record of the proceeding, the parties must provide copies for the
arbitrators and must file the transcript with the Director and serve it
on the other parties.
    Some FINRA arbitrators have indicated that they prefer to review
long documents in hard copy. Therefore, to ensure efficiency in case
administration, FINRA would continue to require parties to provide
copies of transcripts for the arbitrators.
12503--Motions
    FINRA Rule 12503 specifies how parties make motions at the forum.
Under the proposed rule change, parties would be required to file
motions with the Director and serve other parties through the Party
Portal. Therefore, FINRA is proposing to amend Rule 12503(a)(2) to
delete the requirement that parties serve motions on each other
directly, at the same time and in the same manner, and provide FINRA
with copies for each arbitrator. FINRA would make the same deletions to
Rule 12503(b) relating to responding to motions and Rule 12503(c)
concerning replying to responses to motions.
    FINRA is also proposing to amend Rule 12503(a)(4) to delete the
text specifying how parties make motions to amend a pleading to add a
party to a case, because these motions would be addressed in Rule
12309(c) (discussed above). FINRA would add a cross-reference to Rule
12309(c).
12506--Document Production Lists
    FINRA Rule 12506(a) provides that when the Director serves
respondents with the statement of claim, the Director notifies parties
of the location of the FINRA Discovery Guide and Document Production
Lists on FINRA's Web site. In view of the Party Portal, FINRA is
proposing to amend the rule to delete the reference to ``when the
Director serves the statement of claim.'' The rule would continue to
state that the Director will notify parties of the location of the
FINRA Discovery Guide and Document Production Lists on FINRA's Web
site.
    FINRA Rule 12506(b) specifies, among other matters, the time for
parties to respond to the Document Production Lists. FINRA wants
parties to file their explanations about why they are not timely
producing documents and why they are objecting to production. FINRA
believes that having this correspondence in the Party Portal would be
efficient for FINRA staff and the parties. However, FINRA does not want
the parties to file with the Director the documents and information
that they produce during discovery. Therefore, FINRA is proposing to
amend Rule 12506(b) to specify that parties must serve each other with
documents produced pursuant to the rule by first-class mail, overnight
mail service, overnight delivery service, hand delivery, email or
facsimile as provided in Rule 12300(a)(3). The rule would also provide
that parties are required to file any written responses relating to
discovery, such as objections to producing items in the Document
Production Lists, with the Director through the Party Portal.
    FINRA is also proposing to amend to Rule 12506(b) to replace
bullets with letters.\29\
---------------------------------------------------------------------------

    \29\ The FINRA Discovery Guide and related Document Production
Lists apply only to customer arbitrations. Therefore, the Industry
Code does not contain Document Production Lists. The discovery rules
in the Industry Code that are substantially similar to Rule 12507 in
the Customer Code are Rule 13506 (Discovery Requests) and Rule 13507
(Responding to Discovery Requests). The proposed amendments to Rules
13506 and 13507 are substantively identical to those in Rule 12507.
---------------------------------------------------------------------------

12507--Other Discovery Requests
    FINRA Rule 12507(a) provides that parties may request additional
documents from a party by serving the party directly with a written
request. The rule requires the requesting party to serve copies of the
request on all other parties at the same time. Since parties would be
serving each other through the Party Portal, FINRA is proposing to
amend the rule to delete the requirement for direct service in Rule
12507(a)(1) and the requirement to serve all other parties at the same
time in Rule 12507(a)(2).
    FINRA Rule 12507(b) specifies how parties may respond to an
additional discovery request. The parties can: (1) Produce the
documents or information (Rule 12507(b)(1)(A)); (2) identify specific
documents that will not be produced within the required time and state
when the documents will be produced (Rule 12507(b)(1)(B)); or (3)
object to the request (Rule 12507(b)(1)(C)). As explained earlier,
FINRA does not want parties to file with the Director the documents and
information that they produce during discovery. Therefore, FINRA is
proposing to amend Rule 12507(b)(1)(A) to specify that if a party
produces documents or information pursuant to a request, the party must
serve all other parties with copies of the requested documents or
information by first-class mail, overnight mail service, overnight
delivery service, hand delivery, email or facsimile.
    However, FINRA wants to receive party explanations about why they
are not timely producing documents and why they are objecting to
production. Therefore, FINRA would amend Rule 12507(b)(1)(B) concerning
non-production to provide that a party must file a response with the
Director and serve it on all other parties (through the Party Portal).
FINRA would also amend Rule 12507(b)(1)(C) concerning objections to
provide that a party must file the objection with the Director and
serve it on all other parties (through the Party Portal).
    Finally, FINRA is proposing to replace the bullets in Rule 12507
with numbers.
12508--Objecting to Discovery; Waiver of Objection
    FINRA Rule 12508 addresses party objections to producing documents
and information during discovery. To reflect how parties will be
serving each other through the Party Portal, FINRA is proposing to
amend the rule to delete the requirement that parties serve their
objections on each other at the same time and in the same manner. Since
FINRA wants to receive party explanations about why they are objecting
to production, FINRA is proposing to amend the rule to delete the
statement that objections should not be filed with the Director.
12512--Subpoenas
    FINRA Rule 12512 specifies that arbitrators may issue subpoenas to
parties and non-parties for the production of documents and evidence,
and outlines how FINRA handles motions for subpoenas at the forum. To
reflect how motion practice would operate through the Party Portal,
FINRA is proposing to amend Rule 12512(b) to delete the requirements
that parties provide copies of the subpoena for the arbitrator, and
serve the motion on each other at the same time and in the same manner.
FINRA would make the same amendment to Rule 12512(c) concerning party
objections to subpoenas.
    Rule 12512(d) addresses service of an executed subpoena. FINRA is
proposing to amend the rule to delete the requirement that parties
serve the

subpoena on each other at the same time and in the same manner. In
addition, since non-parties do not have access to the Party Portal,
FINRA would amend the rule to specify that when an arbitrator issues a
subpoena to a non-party, the party must serve the subpoena on the non-
party by first-class mail, overnight mail service, overnight delivery
service, hand delivery, email or facsimile.
    Rule 12512(e) provides for a non-party's objection to a subpoena.
If a non-party receiving a subpoena objects to the scope or propriety
of the subpoena, FINRA permits the non-party to file written objections
with the Director. Under the rule, the party that requested the
subpoena may respond to the objection. FINRA is proposing to amend the
rule to provide that the non-party may file the objection by first-
class mail, overnight mail service, overnight delivery service, hand
delivery, email or facsimile, and that the party must serve the
response on the non-party and file proof of service with the Director.
    Rule 12512(f) outlines procedures for parties to follow when they
receive subpoenaed documents from non-parties. Specifically, the rule
provides that any party that receives documents in response to a
subpoena served on a non-party has five days to provide notice of the
receipt to the other parties. Other parties to the case may request
copies of the documents, and the party in receipt of the documents must
provide them within 10 calendar days of receipt of the request. FINRA
is proposing to amend the rule to specify that a party that receives
documents from a non-party in response to a subpoena must serve the
other parties with notice that the party received the documents. Other
parties to the case may request copies of the subpoenaed documents.
Since FINRA does not want the parties to submit the documents to the
Director, FINRA would amend the rule to provide that the party must
serve the documents on the other parties by first-class mail, overnight
mail service, overnight delivery service, hand delivery, email or
facsimile. The rule would also expressly prohibit parties from filing
the documents with the Director.
12513--Authority To Direct Appearances of Associated Person Witnesses
and Production of Documents Without Subpoenas
    FINRA Rule 12513 authorizes arbitrators to order the appearance of
firm employees and associated persons, and the production of documents
from firms and their employees and associated persons without issuing a
subpoena. FINRA is proposing to amend several provisions in the rule to
reflect how FINRA would handle a party's motion for an arbitrator order
using the Party Portal.
    FINRA is proposing to amend Rule 12513(b) concerning filing the
motion to delete the requirement that a party provide a copy for the
arbitrator and that the party serve the motion on all other parties at
the same time and in same manner as on the Director. FINRA is proposing
to make the same changes to Rule 12513(c) relating to an opposing
party's objection to the motion, and to Rule 12513(d) relating to party
service of an order.
    In addition, since FINRA will not invite a non-party to use the
Party Portal, FINRA is proposing to amend Rule 12513(d) to provide that
if a party obtains an arbitrator's order for a non-party's production,
then the party must serve the order on the non-party. FINRA would also
amend Rule 12513(e) to provide that if the non-party files an objection
to the arbitrator's order, and the party requesting the order wants to
file a response to the objection, then the party must serve the
response on the non-party and provide the Director with proof of
service. Finally, FINRA is proposing to amend Rule 12513(f) to provide
that any party receiving documents from a non-party must serve notice
on all other parties. If any other party requests copies of the
documents, the requesting party must serve them by first-class mail,
overnight mail service, overnight delivery service, hand delivery,
email or facsimile. The amendments would also specify that parties must
not file with the Director the documents produced pursuant to the
order.
12514--Prehearing Exchange of Documents and Witness Lists, and
Explained Decision Requests
    FINRA Rule 12514 sets forth procedures for exchanging documents and
witness lists prior to the first scheduled hearing date and for making
joint party requests for an explained decision. FINRA is proposing to
amend Rule 12514(b) to delete the requirement that parties file their
witness lists with the Director at the same time as they notify other
parties and provide the Director with enough copies for the
arbitrators. Instead, Rule 12514(b) would require that all parties file
their witness lists only with the Director. FINRA would also amend Rule
12514(d) to provide that parties must file with the Director requests
for an explained decision as opposed to submitting them to the
arbitrators.
12701--Settlement
    FINRA Rule 12701 requires parties to notify the Director of
settlements. FINRA is proposing to amend Rule 12701(a) to reflect use
of the Party Portal by replacing ``notify'' with ``file notice with''
the Director.
12800--Simplified Arbitration
    FINRA Rule 12800 provides special procedures for the administration
of disputes involving $50,000 or less, including procedures for parties
to request documents and other information from each other. FINRA is
proposing to amend Rule 12800(d) to provide that parties receiving the
request must produce the requested documents or information to all
other parties by serving the requested documents or information by
first-class mail, overnight mail service, overnight delivery service,
hand delivery, email or facsimile. The proposed rule would specify that
parties must not file the documents with the Director.
12801--Default Proceedings
    FINRA Rule 12801 specifies procedures for initiating default
proceedings against certain respondents (e.g., terminated members).
Since parties would be using the Party Portal to file notice with the
Director and serve other parties with their request to initiate a
default proceeding, FINRA is proposing to amend Rule 12801(b) to delete
the requirements for parties to notify the Director in writing, and
send a copy of the notification to other parties at the same time and
in the same manner. FINRA is also proposing to amend Rule 12801(a) to
replace bullets with numbers.
12901--Member Surcharge
    FINRA Rule 12901 provides that FINRA will assess surcharges against
members under specified circumstances. Rule 12901(a)(3) states that if
the claim is filed by a member, the surcharge is due when the claim is
filed. If the claim is filed against a member, or against an associated
person employed by a member at the time of the events giving rise to
the dispute, the surcharge is due when the claim is served. FINRA is
proposing to amend the rule to provide that if a claim is filed against
a member or associated person, the surcharge is due when the Director
serves the Claim Notification Letter or the initial statement of claim.
FINRA is also proposing to amend Rule 12901(a) and 12901(b) to replace
bullets with letters.

12094--Awards
    FINRA Rule 12904 concerns arbitrator awards and includes, among
other matters, procedures for the Director to serve awards on parties.
The rule provides that the Director serves an award using any method
available and convenient to the parties and the Director, and that is
reasonably expected to cause the award to be delivered to all parties,
or their representative, on the same day. Under the rule, the Director
may serve an award by first class, registered or certified mail, hand
delivery, and facsimile or other electronic transmission. Since the
Director will serve the award through the Party Portal in most
instances, FINRA is proposing to amend Rule 12904(c) to provide only
that the Director will serve the award on each party, or their
representative.
Industry Code Specific Amendments
    As explained earlier, while the discussion details the proposed
amendments to the FINRA rules in the Customer Code, FINRA is also
proposing to make substantively similar amendments to the Industry
Code. In addition to the amendments discussed, FINRA is proposing to
amend rules in the Industry Code that are unique to intra-industry
disputes.
13802--Statutory Employment Discrimination Claims
    FINRA is proposing to amend FINRA Rule 13802(a) relating to
statutory employment discrimination claims to update a cross-reference
concerning the definition of statutory employment discrimination. FINRA
would also amend Rule 13802(c) to replace bullets with numbers.
13804--Temporary Injunctive Orders; Requests for Permanent Injunctive
Relief
    The Industry Code also has special procedures for handling
temporary injunctions with respect to an industry or clearing dispute.
FINRA is proposing to amend FINRA Rule 13804(a) to provide that parties
seeking temporary injunctive relief from a court must file with the
Director a statement of claim requesting permanent injunctive and all
other relief with respect to the same dispute through the Party Portal,
and must serve the statement of claim requesting permanent injunctive
and all other relief on all other parties by overnight delivery
service, hand delivery, email or facsimile. The rule would require
parties to serve all parties at the same time and in the same manner,
unless the parties agree otherwise.
    Cases involving injunctive relief operate on an accelerated time
schedule. It takes FINRA staff some time to review an initial
submission and invite respondent parties to use the Party Portal. In
view of the need to expedite these matters, FINRA believes that parties
should serve each other outside of the Party Portal until FINRA
establishes the identities of all relevant parties and their
representatives, and invites them to access the Party Portal.
Mediation Code
    Under the proposed rule change, FINRA would permit parties to a
mediation proceeding to use the Party Portal on a voluntary basis.
FINRA is proposing to amend the Mediation Code to reflect use of the
Party Portal.
14100--Definitions
    FINRA is proposing to amend FINRA Rule 14100 to define ``Arbitrator
and Mediator Portal'' and ``Party Portal.'' The definitions would be
identical to the definitions in the Codes. FINRA would re-letter the
definitions because of the new additions.
14109--Mediation Ground Rules
    FINRA also is proposing to amend FINRA Rule 14109 to provide that
the parties may agree to use the Party Portal to submit all documents
and other communications to each other, to retrieve all documents and
other communications, and view mediation case information.
Effective Date of Proposed Rule Change
    As noted in Item 2 of the filing, if the Commission approves the
proposed rule change, FINRA will announce the effective date of the
proposed rule change in a Regulatory Notice to be published no later
than 60 days following Commission approval. The effective date will be
no later than 90 days following publication of the Regulatory Notice
announcing Commission approval.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of section 15A(b)(6) of the Act,\30\ 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. The proposed rule change is consistent with section
15A(b)(6) because it would enhance efficiencies for forum users and
would expedite case administration by FINRA.
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    \30\ 15 U.S.C. 78o-3(b)(6).
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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. Most parties are currently
using the Party Portal voluntarily to file claims and retrieve
documents. Thus, under the proposal, the impact on forum users would be
minimal.
    By requiring parties to file their claims online, the proposal
would expedite the case intake process and would ensure better data
accuracy. Prior to implementation of the proposal, however, FINRA would
be required to: (1) Update staff procedures to ensure consistency with
the new rules; (2) provide instructions for customers in plain English
on how to access the Party Portal and use its features; and (3) make
some technological changes to various computer systems to incorporate
the functions under the proposal that are not currently available to
parties.
Economic Impact Assessment
    The proposal is intended to introduce an enhanced technology
platform into the dispute resolution process to create efficiencies in
collecting, preserving and distributing documents, which would expedite
case administration and add new features for parties. Parties that
would be required to use the Party Portal would benefit from these
efficiencies; pro se customers would be exempted (provided they opt out
of using the Party Portal).
    When FINRA activated the Party Portal, FINRA initially limited the
number of firms permitted to use the Party Portal to file and receive
case documents, among other things, as a proof of concept. Customers
initiating claims against one of the invited firms were given the
option of using the Party Portal to administer their case. Soon after
the parties began using the Party Portal, and learned of the benefits
and cost savings realized through the technology, customers and firms
indicated a desire to use the Party Portal. As of May 11, 2016, there
are 18 firms that use the Party Portal to receive service of the
statement of claim and to administer their cases electronically in
every instance. In addition, in most of the remaining cases
administered at the forum, firms and associated persons are opting to
use the Party Portal for case administration after they receive the
statement of claim. As of July 20, 2015, FINRA opened the Party Portal
to accept

all parties in all new cases that wish to use it on a voluntary basis.
    As of May 11, 2016, FINRA has processed 4,932 cases through the
Party Portal. FINRA has invited 13,562 parties (customers, and firms
and associated persons) to register and use the Party Portal. Of the
13,562 parties, 76 percent of customers, including pro se customers,
have been using the Party Portal voluntarily and 82 percent of firms
and associated persons, which includes firm representatives, have been
using the Party Portal voluntarily (78 percent in total). FINRA has
processed over 16,000 party documents through the Party Portal,
including answers, motions, and correspondence. Over 83 percent of
parties have used the Party Portal to view their case-related
correspondence.
    Based on the parties' experience to date with the Party Portal,
along with the feedback provided from current users of this platform,
FINRA believes those parties required to use the Party Portal would
realize the anticipated benefits of the proposal. Further, the adoption
of the Party Portal by parties on a voluntary basis suggests that they
see benefit from its availability and use.
    Under the proposal, most parties would no longer be required to
send paper copies of pleadings or other documents to FINRA. Thus, these
parties would experience cost savings related to the preparation and
mailing of such submissions. Further, parties would be able to serve
each other immediately through the Party Portal, rather than through
other means, which, under current rules, may involve mailing hard
copies to all parties at the same time. FINRA acknowledges that those
customers or firms that have not used the Party Portal previously may
incur some time and effort to learn the Party Portal system, but the
technology requirements (i.e., a computer with Internet access) will be
minimal, and, therefore, should not impede a party's access to the
dispute resolution process.
    FINRA staff understands that requiring pro se customers to use the
Party Portal might impose a higher burden on these individuals given
their potentially limited access to and experience with the required
technology. Thus, staff is proposing to allow pro se customers to opt
out of using the Party Portal. However, pro se customers may choose to
use the Party Portal, which would allow them to benefit equally from
the efficiencies that the Party Portal is anticipated to create. Staff
notes that, as of May 11, 2016, 3,599 pro se customers or customer
representatives have been invited to register, with 4,711 agreeing to
do so (a 76 percent registration rate).

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

    Within 45 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:
    (A) By order approve or disapprove such proposed rule change, or
    (B) institute proceedings to determine whether the proposed rule
change should be 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-2016-029 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-2016-029. 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 20549-1090, 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-2016-029 and should be
submitted on or before September 7, 2016.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\31\
---------------------------------------------------------------------------

    \31\ 17 CFR 200.30-3(a)(12).
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Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-19580 Filed 8-16-16; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 78, Number 115 (Friday, June 14, 2013)]
[Notices]
[Page 35940]
[FR Doc No: 2013-14167]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2013-D-0616]

Content of Premarket Submissions for Management of Cybersecurity
in Medical Devices; Draft Guidance for Industry and Food and Drug
Administration Staff; Availability

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA) is announcing the
availability of the draft guidance entitled ``Content of Premarket
Submissions for Management of Cybersecurity in Medical Devices.'' This
guidance identifies cybersecurity issues that manufacturers should
consider in preparing premarket submissions for medical devices in
order to maintain information confidentiality, integrity, and
availability. This draft guidance is not final nor is it in effect at
this time.

DATES: Although you can comment on any guidance at any time (see 21 CFR
10.115(g)(5)), to ensure that the Agency considers your comment on this
draft guidance before it begins work on the final version of the
guidance, submit either electronic or written comments on the draft
guidance by September 12, 2013.

ADDRESSES: Submit written requests for single copies of the draft
guidance document entitled ``Content of Premarket Submissions for
Management of Cybersecurity in Medical Devices'' to the Division of
Small Manufacturers, International, and Consumer Assistance, Center for
Devices and Radiological Health, Food and Drug Administration, 10903
New Hampshire Ave., Bldg. 66, Rm. 4613, Silver Spring, MD 20993-0002 or
the Office of Communication, Outreach and Development (HFM-40), 1401
Rockville Pike, Suite 200N, Rockville, MD 20852. Send one self-
addressed adhesive label to assist that office in processing your
request, or fax your request to<PHONE_NUMBER>. See the SUPPLEMENTARY
INFORMATION section for information on electronic access to the
guidance.
    Submit electronic comments on the draft guidance to http://www.regulations.gov. Submit written comments to the Division of Dockets
Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852. Identify comments with the docket number
found in brackets in the heading of this document.

FOR FURTHER INFORMATION CONTACT: Abiy Desta, Center for Devices and
Radiological Health, Food and Drug Administration, 10903 New Hampshire
Ave., Bldg. 66, Rm. 1682, Silver Spring, MD 20993-0002,<PHONE_NUMBER>,
<EMAIL_ADDRESS>or Stephen Ripley, Center for Biologics
Evaluation and Research (HFM-17), Food and Drug Administration, 1401
Rockville Pike, Suite 200N, Rockville, MD 20852,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    This draft guidance provides recommendations to consider and
document in FDA medical device premarket submissions to provide
effective cybersecurity management and to reduce the risk that device
functionality is intentionally or unintentionally compromised. The need
for effective cybersecurity to assure medical device functionality has
become more important with the increasing use of wireless, Internet-
and network-connected devices and the frequent electronic exchange of
medical device-related health information.

II. Significance of Guidance

    This draft guidance is being issued consistent with FDA's good
guidance practices regulation (21 CFR 10.115). The draft guidance, when
finalized, will represent the Agency's current thinking on management
of cybersecurity in medical devices. It does not create or confer any
rights for or on any person and does not operate to bind FDA or the
public. An alternative approach may be used if such approach satisfies
the requirements of the applicable statute and regulations.

III. Electronic Access

    Persons interested in obtaining a copy of the draft guidance may do
so by using the Internet. A search capability for all Center for
Devices and Radiological Health guidance documents is available at
http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/default.htm. Guidance documents are also available at
http://www.regulations.gov or from the Center for Biologics Evaluation
and Research at http://www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInformation/default.htm. To receive
``Content of Premarket Submissions for Management of Cybersecurity in
Medical Devices,'' you may either send an email request to
<EMAIL_ADDRESS>to receive an electronic copy of the document or
send a fax request to<PHONE_NUMBER> to receive a hard copy. Please use
the document number 1825 to identify the guidance you are requesting.

IV. Paperwork Reduction Act of 1995

    This draft guidance refers to previously approved collections of
information found in FDA regulations. These collections of information
are subject to review by the Office of Management and Budget (OMB)
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). The
collections of information in 21 CFR part 807, subpart E, have been
approved under OMB control number 0910-0120; the collections of
information in 21 CFR part 812 have been approved under OMB control
number 0910-0078; the collections of information in 21 CFR part 814
have been approved under OMB control number 0910-0231; the collections
of information in 21 CFR part 814, subpart H, have been approved under
OMB control number 0910-0332; and the collections of information in 21
CFR part 820 have been approved under OMB control number 0910-0073.

V. Comments

    Interested persons may submit either electronic comments regarding
this document to http://www.regulations.gov or written comments to the
Division of Dockets Management (see ADDRESSES). It is only necessary to
send one set of comments. Identify comments with the docket number
found in brackets in the heading of this document. Received comments
may be seen in the Division of Dockets Management between 9 a.m. and 4
p.m., Monday through Friday, and will be posted to the docket at http://www.regulations.gov.

    Dated: June 11, 2013.
Leslie Kux,
Assistant Commissioner for Policy.
[FR Doc. 2013-14167 Filed 6-13-13; 8:45 am]
BILLING CODE 4160-01-P


[Federal Register Volume 78, Number 189 (Monday, September 30, 2013)]
[Notices]
[Page 59923]
[FR Doc No: 2013-23722]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER13-2409-000]

Buffalo Dunes Wind Project, LLC; Supplemental Notice That Initial
Market-Based Rate Filing Includes Request for Blanket Section 204
Authorization

    This is a supplemental notice in the above-referenced proceeding,
of Buffalo Dunes Wind Project, LLC's application for market-based rate
authority, with an accompanying rate schedule, noting that such
application includes a request for blanket authorization, under 18 CFR
part 34, of future issuances of securities and assumptions of
liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability is October 15, 2013.
    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
5 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street NE., Washington, DC 20426.
    The filings in the above-referenced proceeding(s) 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 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>.

    Dated: September 24, 2013.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2013-23722 Filed 9-27-13; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 76, Number 158 (Tuesday, August 16, 2011)]
[Notices]
[Page 50811]
[FR Doc No: 2011-20746]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Eighth Meeting: RTCA Special Committee 224: Airport Security
Access Control Systems

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of RTCA Special Committee 224 meeting: Airport Security
Access Control Systems.

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SUMMARY: The FAA is issuing this notice to advise the public of a
meeting of RTCA Special Committee 224: Airport Security Access Control
Systems.

DATES: The meeting will be held September 15, 2011, from 10 a.m. to 4
p.m.

ADDRESS:  The meeting will be held at RTCA, Inc., 1150 18th Street,
NW., Suite 910, Washington, DC 20036.

FOR FURTHER INFORMATION CONTACT: RTCA Secretariat, 1150 18th Street,
NW., Suite 910, Washington, DC 20036, telephone<PHONE_NUMBER>, fax
(202) 833-9434, Web site http://www.rtca.org.

SUPPLEMENTARY INFORMATION: Pursuant to section 10(a)(2) of the Federal
Advisory Committee Act (Pub. L. 92-463, 5 U.S.C., and Appendix 2),
notice is hereby given for a Special Committee 224, Airport Security
Access Control Systems (Update to DO-230B):

Agenda

September 15, 2011

     Welcome/Introductions/Administrative Remarks;
     Review/Approve Summary--Seventh Meeting;
     Proposed Structure Overview;
     Sub Section Workgroup Reports;
     Document Structure Finalization Scheduling;
     Time and Place of Next Meeting;
     Any Other Business;
     Adjourn.
    Attendance is open to the interested public but limited to space
availability. With the approval of the chairman, members of the public
may present oral statements at the meeting. Persons wishing to present
statements or obtain information should contact the person listed in
the FOR FURTHER INFORMATION CONTACT section. Members of the public may
present a written statement to the committee at any time.

    Issued in Washington, DC, on August 9, 2011.
Robert L. Bostiga,
RTCA Advisory Committee.
[FR Doc. 2011-20746 Filed 8-15-11; 8:45 am]
BILLING CODE 4910-13-P